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07 July 14, 2010 Commission
89513 RECORDS Rivera County Tro€ spodufion Commission MEETING AGENDA TIME/DATE: 9:30 a.m. / Wednesday, July 14, 2010 LOCATION: BOARD ROOM County of Riverside Administrative Center 4080 Lemon Street, First Floor, Riverside lap COMMISSIONERS Res Chair - Bob Buster 1' Vice Chair - Greg Pettis 2nd Vice Chair - John J. Benoit Bob Buster, County of Riverside John F. Tavaglione, County of Riverside Jeff Stone, County of Riverside John J. Benoit, County of Riverside Marion Ashley, County of Riverside Bob Botts / Don Robinson, City of Banning Roger Berg / Jeff Fox, City of Beaumont Joseph DeConinck / To Be Appointed, City of Blythe Ray Quint° / Jim Hyatt, City of Calimesa Mary Craton / Jordan Ehrenkranz, City of Canyon Lake Greg Pettis / Kathleen DeRosa, City of Cathedral City Eduardo Garcia / Steven Hernandez, City of Coachella Karen Spiegel / Steve Nolan, City of Corona Scott Matas / Russell Betts, City of Desert Hot Springs Robin Lowe / Eric McBride, City of Hemet Patrick J. Mullany / Larry Spicer, City of Indian Wells Glenn Miller / Ben Godfrey, City of Indio Terry Henderson / Don Adolph, City of La Quinta Bob Magee / Melissa Melendez, City of Lake Elsinore Wallace Edgerton / Darcy Kuenzi, City of Menifee Bonnie Flickinger / Jesse Molina, City of Moreno Valley Rick Gibbs / Randon Lane, City of Murrieta Malcolm Miller / Kathy Azevedo, City of Norco Richard Kelly / Jim Ferguson, City of Palm Desert Steve Pougnet / Ginny Foat, City of Palm Springs Daryl Busch / Al Landers, City of Perris Ron Meepos / Scott Hines, City of Rancho Mirage Steve Adams / Andy Melendrez, City of Riverside Steve Di Memmo / Vacant, City of San Jacinto Ron Roberts / Jeff Comerchero, City of Temecula Scott Farnam / Bridgette Moore, City of Wildomar Raymond Wolfe, Governor's Appointee Comments are welcomed by the Commission. If you wish to provide comments to the Commission, please complete and submit a Speaker Card to the Clerk of the Board. 11.36.00 RIVERSIDE COUNTY TRANSPORTATION COMMISSION www.rctc.org AGENDA* *Actions may be taken on any item listed on the agenda 9:30 a.m. Wednesday, July 14, 2010 BOARD ROOM County of Riverside Administrative Center 4080 Lemon Street, First Floor, Riverside, CA In compliance with the Brown Act and Government Code Section 54957.5, agenda materials distributed 72 hours prior to the meeting, which are public records relating to open session agenda items, will be available for inspection by members of the public prior to the meeting at the Commission office, 4080 Lemon Street, Third Floor, Riverside, CA, and on the Commission's website, www.rctc.org. In compliance with the Americans with Disabilities Act and Government Code Section 54954.2, if special assistance is needed to participate in a Commission meeting, please contact the Clerk of the Board at (951) 787-7141. Notification of at least 48 hours prior to meeting time will assist staff in assuring that reasonable arrangements can be made to provide accessibility at the meeting. 1. CALL TO ORDER 2. PLEDGE OF ALLEGIANCE 3. ROLL CALL 4. PUBLIC COMMENTS - Each individual speaker is limited to speak three (3) continuous minutes or less. The Commission may, either at the direction of the Chair or by majority vote of the Commission, waive this three minute time limitation. Depending on the number of items on the Agenda and the number of speakers, the Chair may, at his/her discretion, reduce the time of each speaker to two (2) continuous minutes. In addition, the maximum time for public comment for any individual item or topic is thirty (30) minutes. Also, the Commission may terminate public comments if such comments become repetitious. Speakers may not yield their time to others without the consent of the Chair. Any written documents to be distributed or presented to the Commission shall be submitted to the Clerk of the Board. This policy applies to Public Comments and comments on Agenda Items. Under the Brown Act, the Board should not take action on or discuss matters raised during public comment portion of the agenda which are not listed on the agenda. Board members may refer such matters to staff for factual information or to be placed on the subsequent agenda for consideration. Riverside County Transportation Commission Agenda July 14, 2010 Page 2 5. APPROVAL OF MINUTES — JUNE 9, 2010 6. PUBLIC HEARING — RIVERSIDE COUNTY TRANSIT SERVICES FUNDING ALLOCATION FOR FISCAL YEAR 2010/11 Overview This item is for the Commission to: Page 1 1) Conduct a public hearing at the July Commission meeting on the proposed Section 5307 Program of Projects (POP); 2) Approve the FY 2010/1 1 Federal Transit Administration's (FTA) Section 5307 and 531 1 POP for Riverside County; 3) Approve the FY 2010/11 Local Transportation Fund (LTF) and State Transit Assistance (STA) fund allocations for transit; 4) Direct staff to add projects into the Regional Transportation Improvement Plan (RTIP); and 5) Adopt Resolution No. 10-025, "Resolution of the Riverside County Transportation Commission to Allocate State Transit Assistance Funds". 7. ADDITIONS/REVISIONS - The Commission may add an item to the Agenda after making a finding that there is a need to take immediate action on the item and that the item came to the attention of the Commission subsequent to the posting of the agenda. An action adding an item to the agenda requires 2/3 vote of the Commission. if there are less than 2/3 of the Commission members present, adding an item to the agenda requires a unanimous vote. Added items will be placed for discussion at the end of the agenda. 8. CONSENT CALENDAR - All matters on the Consent Calendar will be approved in a single motion unless a Commissioner(s) requests separate action on specific item(s). Items pulled from the Consent Calendar will be placed for discussion at the end of the agenda. 8A. CLOSE-OUT AUDIT Page 18 Overview This item is for the Commission to receive and file the Compliance with Requirements Applicable to the State Transportation Improvement Program (STIP) Planning, Programming and Monitoring (PPM) Program, Project No. PPM 07-6054(044) report. Riverside County Transportation Commission Agenda July 14, 2010 Page 3 8B. FISCAL YEAR 2008/09 TRANSPORTATION DEVELOPMENT ACT AND MEASURE A AUDIT RESULTS Page 24 Overview This item is for the Commission to receive and file the Transportation Development Act (TDA) and Measure A audit results report for the FY 2008/09. 8C. STATE ROUTE 91 TRAFFIC AND REVENUE STUDY SERVICES Overview This item is for the Commission to: Page 33 1) Award Agreement No. 10-31-099-00 to Stantec Consulting Services, Inc. (Stantec) to provide an investment -grade traffic and revenue study for the SR-91 Corridor Improvement Project (SR-91 CIP) for a base amount of $896,252, plus a contingency amount of $89,625, for a total not to exceed amount of $985,877; 2) Authorize the Chair, pursuant to legal counsel review, to execute the agreement on behalf of the Commission; and 3) Authorize the Executive Director to approve contingency work as may be required for the study. 8D. AMENDMENT TO AGREEMENT FOR ON -CALL STRATEGIC PARTNERSHIP ADVISOR SERVICES WITH KPMG CORPORATE FINANCE, LLC Page 45 Overview This item is for the Commission to: 1) Approve Agreement No. 06-66-026-08, Amendment No. 7 to Agreement 06-66-026-00, for toll feasibility and strategic partnership advisor services with KPMG Corporate Finance, LLC (KPMG) for the Interstate 15 Corridor Improvement Project (1-15 CIP) for the amount of $250,000; and 2) Authorize the Chair, pursuant to legal counsel review, to execute the agreement on behalf of the Commission. Riverside County Transportation Commission Agenda July 14, 2010 Page 4 8E. 2010 STATE ROUTE 91 IMPLEMENTATION PLAN UPDATE Page 55 Overview This item is for the Commission to receive and file the 2010 State Route 91 Implementation Plan. 8F. AGREEMENT WITH SOUTHSTAR ENGINEERING & CONSULTING, INC. FOR CONSTRUCTION MANAGEMENT SERVICES AND COOPERATIVE AGREEMENT WITH CALTRANS FOR CONSTRUCTION OF THE INTERSTATE 215 WIDENING PROJECT FROM MURRIETA HOT SPRINGS ROAD TO SCOTT ROAD, NORTH OF THE CITY OF MURRIETA Page 88 Overview This item is for the Commission to: 1) Award Agreement No. 10-31-079-00 to Southstar Engineering & Consulting, Inc. (Southstar) to perform construction management (CM) services, materials testing, and construction surveying for the 1-215 widening, Murrieta Hot Springs Road to Scott Road project, in the city of Murrieta, for the base amount of $4,097,564, plus a contingency amount of $402,436, for a total not to exceed amount of $4.5 million; 2) Authorize the Chair, pursuant to legal counsel review, to execute the agreement on behalf of the Commission; 3) Authorize the Executive Director to approve contingency work as may be required for the project; 4) Approve the Cooperative Agreement No. 10-31-110-00 with Caltrans for construction of the project; and 5) Authorize the Executive Director, pursuant to legal counsel review, to execute the cooperative agreement and future non -funding related amendments to this agreement. Riverside County Transportation Commission Agenda July 14, 2010 Page 5 8G. AGREEMENT WITH THE DEPARTMENT OF CALIFORNIA HIGHWAY PATROL FOR CONSTRUCTION ZONE ENHANCED ENFORCEMENT PROGRAM SERVICES FOR THE STATE ROUTE 74/INTERSTATE 215 INTERCHANGE PROJECT IN THE CITY OF PERRIS AND THE INTERSTATE 215 WIDENING PROJECT FROM MURRIETA HOT SPRINGS ROAD TO SCOTT ROAD, NORTH OF THE CITY OF MURRIETA Page 156 Overview This item is for the Commission to: 1) Approve Agreement No. 10-31-1 13-00 with the Department of California Highway Patrol (CHP) for Construction Zone Enhanced Enforcement Program (COZEEP) traffic control services during construction of the 74/215 interchange project in the city of Perris and the Interstate 215 widening project from Murrieta Hot Springs Road to Scott Road, north of the city of Murrieta, for the amount of $285,978 plus a contingency amount of $28,622 to cover potential change orders encountered during construction, for a total not to exceed amount of $314,600; and 2) Authorize the Chair, pursuant to legal counsel review, to execute the agreements on behalf of the Commission. 8H. FISCAL YEARS 2011-15 MEASURE A FIVE-YEAR CAPITAL IMPROVEMENT PLANS FOR LOCAL STREETS AND ROADS Page 163 Overview This item is for the Commission to approve the FYs 201 1-15 Measure A Five -Year Capital Improvement Plans (CIP) for Local Streets and Roads as submitted. Riverside County Transportation Commission Agenda July 14, 2010 Page 6 81. MEASURE A LOCAL STREETS AND ROADS - MAINTENANCE OF EFFORT BASE YEAR EXTENSION FOR FISCAL YEAR 2010/11 AND THE 2009 MAINTENANCE OF EFFORT GUIDELINES Page 165 Overview This item is for the Commission to: 1) Approve using the 1989 Measure A Maintenance of Effort (MOE) base year amount for the FY 2010/1 1 Measure A Local Streets and Roads MOE certification; 2) For cities incorporated in or after 1989, excluding the cities of Menifee and Wildomar, approve using the Proposition 42 MOE amount for the FY 2010/11 Measure A Local Streets and Roads MOE certification; and 3) Approve the 2009 Measure A Local Streets and Roads MOE Guidelines. 8J. AGREEMENT WITH HDR ENGINEERING INC. FOR CONSTRUCTION MANAGEMENT SERVICES FOR THE PERRIS VALLEY LINE PROJECT Page 175 Overview This item is for the Commission to: 1) Award Agreement No. 10-31-058-00 to HDR Engineering Inc. (HDR), to provide construction management (CM) services for the Perris Valley Line (PVL) project for a base amount of $15,950,146, plus a contingency amount of $1 .6 million, for a total not to exceed amount of $17,550,146; 2) Authorize the Chair, pursuant to legal counsel review, to execute the agreement on behalf of the Commission; 3) Authorize the Executive Director to approve contingency work as may be required for the project; and 4) Authorize the Executive Director, pursuant to legal counsel review, to execute related utility and other local agency agreements necessary for the design and construction of the project. Riverside County Transportation Commission Agenda July 14, 2010 Page 7 8K. COMMERCIAL ADVERTISING POLICY AND CONTENT GUIDELINES, INCIDENTAL USE POLICY, AND NON-COMMERCIAL FREE SPEECH POLICY Page 287 Overview This item is for the Commission to: 1) Adopt a Commercial Advertising Policy and Content Guidelines, and Incidental Use Policy; and 2) Adopt Resolution No. 10-01 1, uA Resolution of the Riverside County Transportation Commission Adopting a Commercial Advertising Policy and Content Guidelines, an Incidental Use Policy Covering Concession Stands, Merchandising, and Contractor Services for Commission -Owned Facilities and Property and a Revised Non -Commercial Free Speech Permit Policy". 8L. FISCAL YEAR 2010/11 AGREEMENTS FOR REGIONAL RIDESHARE SERVICES Overview This item is for the Commission to: Page 305 1) Award Agreement No. 10-41-029-01, Amendment No. 1 to Agreement No. 10-41-029-00, with the San Bernardino Associated Governments (SANBAG) as part of the Commission's continuing bi- county partnership with SANBAG to deliver commuter/employer rideshare services, regional ridematching services, and operation of an Inland Empire 511 system for FY 2010/11; 2) Award Agreement No. 07-41-1 15-02, Amendment No. 2 to Agreement No. 07-41-1 15-00, with Orange County Transportation Authority (OCTA) and Agreement No. 06-41-082-05, Amendment No. 5 to Agreement No. 06-41-082-00, with the Ventura County Transportation Commission (VCTC) for regional ridematching services; and 3) Authorize the Chair, pursuant to legal counsel review, to execute the agreements on behalf of the Commission. Riverside County Transportation Commission Agenda July 14, 2010 Page 8 8M. AGREEMENT WITH THE DEPARTMENT OF CALIFORNIA HIGHWAY PATROL FOR OPERATION OF THE CALL BOX SYSTEM Overview This item is for the Commission to: Page 316 1) Approve Agreement No. 10-45-109-00 with the California Highway Patrol (CHP) for the operation of the call box system for a three- year term, and one one-year option to extend the agreement in the amount of $15,900; and 2) Authorize the Chair, pursuant to legal counsel review, to execute the agreement on behalf of the Commission. 8N. TRANSPORTATION INVESTMENT GENERATING ECONOMIC RECOVERY II TRANSPORTATION INFRASTRUCTURE FINANCE AND INNOVATION ACT PROGRAM Page 324 Overview This item is for the Commission to: 1) Authorize staff to apply for Transportation Investment Generating Economic Recovery II (TIGER II) Transportation Infrastructure Finance and Innovation Act (TIFIA) program for the State Route 91 Corridor Improvement Project (SR-91 CIP); and 2) Authorize staff to support regionally significant projects nominated for TIGER II by members of the Southern California Consensus Group (SCCG), as appropriate. 80. STATE AND FEDERAL LEGISLATIVE UPDATE Overview This item is for the Commission to: Page 328 1) Receive and file an update on state and federal Legislation; 2) Approve the following bill positions: a) AB 1955 (De La Torre) — OPPOSE; b) H.R. 891 (McGovern) — SUPPORT; and c) S. 322 (Schumer) — SUPPORT. Riverside County Transportation Commission Agenda July 14, 2010 Page 9 9. MEASURE A BOND DEBT LIMIT INCREASE Overview This item is for the Commission to: Page 332 1) Adopt Ordinance No. 10-002, "An Ordinance of the Riverside County Transportation Commission Requesting the County of Riverside to Conduct a Special Election on November 2, 2010, for the Purpose of Submitting to the Electors of Riverside County a Measure Which Would Modify the Commission's Authorization Limit to Issue Limited Tax Bonds and, if Approved, Would Authorize Such Increase" to request a measure on the November 2010 ballot to increase the existing Measure A bond limit; and 2) Communicate the approval of the ordinance to the Riverside County Board of Supervisors to seek Board action prior to August 6, 2010, to place the item on the November 2, 2010 ballot. 10. DESIGNATION OF A LOCALLY PREFERRED ALTERNATIVE FOR THE STATE ROUTE 91 CORRIDOR IMPROVEMENT PROJECT Page 338 Overview This item is for the Commission to designate Alternative 2, the General Purpose (GP) + Express Lanes alternative, as the Commission's locally preferred alternative for the State Route 91 Corridor Improvement Project (SR-91 CIP). Riverside County Transportation Commission Agenda July 14, 2010 Page 10 11. AUTHORIZATION FOR ISSUANCE OF TOLL REVENUE BONDS TO FINANCE STATE ROUTE 91 CORRIDOR IMPROVEMENT PROJECT COSTS RELATED TO DESIGN -BUILD PHASE Page 348 Overview This item is for the Commission to: 1) Adopt Resolution No. 10-026, "Resolution Authorizing the Issuance and Sale of Not to Exceed $900,000,000 Aggregate Principal Amount of Riverside County Transportation Commission Toll Revenue Bonds in Two or More Series, the Execution and Delivery of an Indenture, a First Supplemental Indenture, a Second Supplemental Indenture, a Design - Build Agreement and a Cooperative Agreement, and the Taking of All Other Actions Necessary in Connection Therewith"; 2) Approve the form of Indenture between the Commission and U.S. Bank National Association, as Trustee, and authorize the Executive Director to approve and execute the final Indenture; 3) Approve the form of First Supplemental Indenture between the Commission and U.S. Bank National Association, as Trustee, and authorize the Executive Director to approve and execute the final First Supplemental Indenture; 4) Approve the form of Second Supplemental Indenture between the Commission and U.S. Bank National Association, as Trustee, and authorize the Executive Director to approve and execute the final Second Supplemental Indenture; 5) Approve the form of Design -Build Construction Cooperative Agreement (Design -Build Agreement) between the Commission and Caltrans and authorize the Executive Director to approve and execute the final Design -Build Agreement; and 6) Approve the form of Cooperative Agreement between the Commission and the Orange County Transportation Authority (OCTA) and authorize the Executive Director to approve and execute the final Cooperative Agreement. Riverside County Transportation Commission Agenda July 14, 2010 Page 11 12. ITEM(S) PULLED FROM CONSENT CALENDAR AGENDA 13. COMMISSIONERS / EXECUTIVE DIRECTOR REPORT Overview Page 552 This item provides the opportunity for the Commissioners and the Executive Director to report on attended meetings/conferences and any other items related to Commission activities. • Report on the American Public Transportation Association (APTA) Rail Conference 2010, by Commissioners Daryl Busch, Greg Pettis, and Ron Roberts 14. CLOSED SESSION 14A. CONFERENCE WITH REAL PROPERTY NEGOTIATORS Pursuant to Government Code Section 54956.8 Item APN(s) Property Owner(s) 1 455 1 10 002 Sam Jr. and Mary K. Boersma 455-110-003 15. ADJOURNMENT The next Commission meeting is scheduled to be held at 9:30 a.m., Wednesday, September 8, 2010, Board Room, County of Riverside Administrative Center, 4080 Lemon Street, First Floor, Riverside, California. RIVERSIDE COUNTY TRANSPORTATION COMMISSION COMMISSIONER SIGN -IN SHEET JULY 14, 2010 NANIE AGENCY E Mpll i DI GRESS / an belis 0/71' b b�� �� rifiriL (0/4 ooltS A \ v= cv--vi&r--jam r/k4 \i G 1 c,o A vv'N, Nt i I l ems' M o t vo A I �-,..) A r--t LO IL-r-Dr\AP.. \e-__. _3,-,-,- . g tcu G'(bA5" H viz-,-t �-� D ay)- F�fiR1P 3useg wA s %EwiEcui- / _ /�,Ae-- 1/1-0 ram..... v .,) 'Se' caJejL wvt-� �T ZI:� ��.- OP 6 C%i /-S 047 1 E J rZA-C Cr %L J .%. 6ENo t "2----- P(0 (-I "1 -otr.J tio,Qi;c1 L.42-u�P� O ��6L VI V La A-VA6u-o�.1� . S rota- _ CA Ty r9P 1 rfeAs /dC .OtdsS 'o /1//E�4-/e-! be, -a, e)2 �D/L�wo 174-�6-'3' . egg di -a 1'blse' te4c4.4a .Sa," jde, v lt, 6 t e-c..t,_► f\i ./- zN43',.3 A-7-LA / GK- f V, .u. „4-.�7 % 4., 16k-(i (�.✓� ST B V2 Poo 9s/6-f" 7,'ALout Spr; 1,17.i. ,,Slel! J �ii-t� /�eJ� } % I` 1 S, v<�f ` ;iv RIVERSIDE COUNTY TRANSPORTATION COMMISSION ROLL CALL J U LY 14, 2010 Present County of Riverside- District I County of Riverside, District II County otRiversiae,2.D strict;III County of Riverside, District IV _ _ _ County ofRrverstcle, District City of Banning City of Beaumont City of Blythe City of Cagan City of Canyon Lake City of Cati edral`t t City of Coachella City of Corona: City of Desert Hot Springs City of Hemet City of Indian Wells City oflnd'ro City of La Quinta City of Lake Elsinore-° City of Menifee City of Moreno Valley City of Murrieta City of Noreo . City of Palm Desert City of City of Perris City oRanclio$M City of Riverside City of City of Temecula City of Wildar'x Governor's Appointee, Caltrans District 8 Absent O O O Page 1 of 1 Tara Byerly - COMMISSION AGENDA - July 14, 2010 From: Tara Byerly To: Byerly, Tara Date: 7/12/2010 7:20 AM Subject: COMMISSION AGENDA - July 14, 2010 Attachments: agenda_2010_07.pdf Good Morning Commission Alternates: For your information, attached below is the July 14, 2010 Commission Agenda. If you would like to view the detailed information please go to our website at: www.rctc.org. Thank you. Respectfully, Tara S. Byerly Senior Administrative Assistant Riverside County Transportation Commission 4080 Lemon Street, 3rd Floor Riverside, CA 92501 (951) 787-7141 file://C:\Documents and Settings\tbyerly\Local Settings\Temp\XPgrpwise\4C3AC24CRCT... 1/5/2011 DETACH AND SUBMIT TO THE CLERK OF THE BOARD DATE: 3 L y f 11-'� '7.-6;C0 CHECK IF SUBJECT OF PUBLIC COMMENTS: PUBLIC COMMENTS: AGENDA ITEM NO.: (AS LISTED ON THE AGENDA) SUBJECT OF AGENDA ITEM: 61J NAME: i'(��r/ rT 411�/l!" � 6-RNEy gfiw 6� PHONE NO.05-1) � �,3-4 ) jT � ADDRESS: ` PR CiSPL� CT ,grE, I�� Cs �%c4® ✓E STREET CITY ZIP CODE iL REPRESENTING: /C4/g-cb' ✓L�MCW/C1P4L 4-01//.Sp y JK PHONE No.(95 l) 3 .9 NAME OF AGENCY / ORGANIZATION / GROUP J BUSINESS ADDRESS: ' j�S 9 e'EN 7E R. zr GP R o VE 9 2-,5-6 -7 STREET CITY ZIP CODE AGENDA ITEM 5 MINUTES " " " R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N M I N U T E S W e d n e s d a y , J u n e 9 , 2 0 1 0 1 . C A L L T O O R D E R T h e R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n w a s c a l l e d t o o r d e r b y C h a i r B o b B u s t e r a t 9 : 3 3 a . m . i n t h e B o a r d R o o m a t t h e C o u n t y o f R i v e r s i d e A d m i n i s t r a t i v e C e n t e r , 4 0 8 0 L e m o n S t r e e t , R i v e r s i d e , C a l i f o r n i a , 9 2 5 0 1 . 2 . P L E D G E O F A L L E G I A N C E A t t h i s t i m e , C o m m i s s i o n e r J o h n B e n o i t l e d t h e C o m m i s s i o n i n a f l a g s a l u t e . 3 . R O L L C A L L C o m m i s s i o n e r s / A l t e r n a t e s P r e s e n t C o m m i s s i o n e r s A b s e n t S t e v e A d a m s M a r i o n A s h l e y J o h n J . B e n o i t R o g e r B e r g B o b B o t t s B o b B u s t e r J e f f C o m e r c h e r o M a r y C r a t o n J o s e p h D e C o n i n c k S t e v e D i M e m m o W a l l a c e E d g e r t o n S c o t t F a r n a m B o n n i e F l i c k i n g e r R i c k G i b b s T e r r y H e n d e r s o n 4 . P U B L I C C O M M E N T S S t e v e n H e r n a n d e z S c o t t H i n e s R i c h a r d K e l l y B o b M a g e e R o b i n L o w e P a u l M a r c h a n d S c o t t M a t a s G l e n n M i l l e r M a l c o l m M i l l e r P a t r i c k J . M u l l a n y R a y Q u i n t o K a r e n S p i e g e l J o h n F . T a v a g l i o n e R a y W o l f e D a r y l B u s c h S t e v e P o u g n e t J e f f S t o n e C h a i r B u s t e r p r e s e n t e d A n n e M a y e r , E x e c u t i v e D i r e c t o r , w i t h a f i v e - y e a r s e r v i c e a w a r d . C h a i r B u s t e r p r e s e n t e d C a l i f o r n i a T r a n s p o r t a t i o n C o m m i s s i o n ( C T C ) m e m b e r J o e T a v a g l i o n e w i t h a p l a q u e i n r e c o g n i t i o n o f h i s a d v o c a c y f o r p r o j e c t s a l o n g Riverside County Transportation Commission Minutes June 9, 2010 Page 2 the State Route 91 corridor, and most recently, the SR-91 Corridor Improvement Project ISR-91 CIP). Joe Tavaglione expressed his appreciation to the Commission, its staff, and various legislators for helping to keep projects moving forward. Commissioner John Tavaglione expressed his sincere gratitude to Joe Tavaglione. At this time, Commissioner Bob Botts arrived at the meeting. 5. APPROVAL OF MINUTES - MAY 12, 2010 M/S/C (Henderson/Benoit) to approve the minutes of May 12, 2010, meeting as submitted. Abstain: Comerchero and Hines At this time, Commissioner Steven Hernandez arrived at the meeting. 6. PUBLIC HEARING - RESOLUTIONS OF NECESSITY FOR THE ACQUISITION OF FEE, EASEMENT, AND TEMPORARY CONSTRUCTION EASEMENT INTERESTS IN CERTAIN REAL PROPERTY, LOCATED IN RIVERSIDE COUNTY, CALIFORNIA, BY EMINENT DOMAIN, FOR THE CONSTRUCTION AND MAINTENANCE OF IMPROVEMENTS RELATED TO THE STATE ROUTE 91 HIGH OCCUPANCY VEHICLE LANES At this time, Chair Buster opened the public hearing and requested legal counsel explain the nature and scope of the hearing. Steve DeBaun, Legal Counsel, explained the nature and scope of the hearing. Commissioner Steve Adams stated all of these properties are located in the city of Riverside and it is necessary to acquire these properties for the project. He explained the city of Riverside has not received any negative contact from the property owners. Jennifer Harmon, Clerk of the Board, verified the proofs of mailing that certify notices were sent to the property owners of said parcel numbers are on record with the Commission. Min Saysay, Right of Way Manager, explained the Commission is requested to make the four required findings and adopt the resolutions of necessity, • • " " R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n M i n u t e s J u n e 9 , 2 0 1 0 P a g e 3 d e c l a r i n g i t s i n t e n t t o a c q u i r e i n t e r e s t i n r e a l p r o p e r t y t h r o u g h e m i n e n t d o m a i n f o r t h e c o n s t r u c t i o n a n d m a i n t e n a n c e o f t h e H O V l a n e s o n t h e S R - 9 1 i n t h e c i t y o f R i v e r s i d e , a n d h i g h l i g h t e d t h e f o l l o w i n g : " A m a p d e p i c t i n g t h e S R - 9 1 H O V l a n e p r o j e c t ; a n d " G r o u n d a n d a e r i a l v i e w s o f t h e s u b j e c t p r o p e r t i e s . J e n n i f e r H a r m o n s t a t e d t h e r e w e r e n o w r i t t e n o b j e c t i o n s o r p r o t e s t s , h o w e v e r , t h e r e w a s o n e r e q u e s t t o s p e a k o n t h i s m a t t e r . C h a i r B u s t e r c a l l e d u p o n a n y p e r s o n s w i t h a n i n t e r e s t i n t h e p r o p e r t y w h o w i s h t o b e h e a r d o n t h i s m a t t e r . C r a i g J o h n s o n , r e p r e s e n t i n g p r o p e r t y o w n e r J o e H a l e , e x p r e s s e d t h e f o l l o w i n g c o n c e r n s : 1 ) T h e p r o p o s e d 1 . 5 % s l o p e i n c r e a s e o n I v y S t r e e t ; a n d 2 ) T h e C o m m i s s i o n ' s o f f e r o f c o m p e n s a t i o n a s i t d o e s n o t a d d r e s s m a n y a s p e c t s o f c o m p e n s a t i o n r e q u i r e d b y l a w i n c l u d i n g l a c k o f a c c e s s t o t h e p r o p e r t y o w n e r ' s d r i v e w a y d u r i n g c o n s t r u c t i o n , m i t i g a t i o n t o a d d r e s s w e e k l y s t r e e t s w e e p i n g , l o s s o f a r o o m m a t e , a n d m i t i g a t i o n f o r d u s t a n d c l e a n i n g c o s t s i n c u r r e d d u r i n g c o n s t r u c t i o n . H e r e q u e s t e d t h e C o m m i s s i o n r e c o n s i d e r t h e n e e d t o m o v e f o r w a r d i m m e d i a t e l y . H e s t a t e d h e h a s f o r w a r d e d a n a p p r a i s a l t o t h e C o m m i s s i o n ' s a p p r a i s e r t h a t c o n s i d e r s t h e s e i s s u e s . M i n S a y s a y s t a t e d a l l n e g o t i a t i o n s u p t o t h i s t i m e h a v e b e e n h e l d w i t h t h e p r o p e r t y o w n e r . H e c l a r i f i e d t h e l e g a l c o u n s e l r e p r e s e n t i n g t h e H a l e p r o p e r t y w a s h i r e d o n e t o t w o w e e k s a g o , a n d s t a f f w a s i n f o r m e d t h i s m o r n i n g t h a t a n a p p r a i s a l w a s p r e p a r e d a n d d e l i v e r e d t o t h e C o m m i s s i o n ' s a p p r a i s e r . H e c o n f i r m e d s t a f f w i l l c o n s i d e r t h e a p p r a i s a l . S t e v e D e B a u n c l a r i f i e d c o m p e n s a t i o n i s n o t t h e p u r p o s e o f t h i s h e a r i n g a n d r e c o n f i r m e d t h e a p p r a i s a l s u b m i t t e d b y t h e p r o p e r t y o w n e r w i l l b e c o n s i d e r e d . H o w e v e r , t h e a p p r a i s a l d o e s n o t i m p a c t t h e f i n d i n g s t h e C o m m i s s i o n i s c u r r e n t l y b e i n g r e q u e s t e d t o c o n s i d e r . I n r e s p o n s e t o C h a i r B u s t e r ' s r e q u e s t f o r c l a r i f i c a t i o n a b o u t a n a l t e r n a t e d e s i g n f o r t h e s l o p e a t t h e H a l e p r o p e r t y , S t e v e D e B a u n r e p l i e d t h e d e s i g n m e e t s a l l e n g i n e e r i n g r e q u i r e m e n t s a n d w a s p r o v i d e d t o t h e p r o p e r t y o w n e r . H e s t a t e d t h e C o m m i s s i o n w i l l c o n s i d e r a n y c h a n g e s t h a t c o u l d p o s i t i v e l y i m p a c t t h e p r o p e r t y a n d s t i l l m e e t e n g i n e e r i n g r e q u i r e m e n t s . A n n e M a y e r e x p l a i n e d t h e C o m m i s s i o n ' s a c t i o n t o m a k e t h e f o u r f i n d i n g s a n d a d o p t t h e r e s o l u t i o n s o f n e c e s s i t y d o e s n o t p r e c l u d e s t a f f f r o m w o r k i n g c o o p e r a t i v e l y w i t h t h e p r o p e r t y o w n e r a n d C a l t r a n s t o m i n i m i z e t h e i m p a c t o n Riverside County Transportation Commission Minutes June 9, 2010 Page 4 the property. She explained the state and federal process requires the involvement of the property owner to ensure these types of issues are raised as early in the process as possible. She stated the Commission made offers of first -level review to all of the property owners; none of the property owners attended those review sessions. She explained the offer of first -level review is made on all properties brought to the Commission. Commissioner Adams motioned to make the four findings and adopt the resolutions of necessity. He assured the city of Riverside will waive the street sweeping regulation during construction for the property owner. Commissioner Roger Berg expressed strong concern that the Commission's appraiser or staff did not consider other alternatives for the slope increase and access to the street and driveway during construction. Chair Buster replied that as the Commission's executive director explained, there are several opportunities for the property owner to comment at various stages of the process. At this time, Commissioner Paul Marchand arrived at the meeting. Steve DeBaun clarified appraisals consider several different factors and it is staff's position the appraisal is legally sufficient. The Commission is willing to discuss those factors and the impacts the property owner's representative has raised at this hearing. Anne Mayer stated the Commission is required, if a property owner desires, to pay for an independent appraisal. She reiterated the Commission has not yet received the property owner's appraisal and compensation is not the subject of the findings the Commission makes at the hearing. Commissioner Terry Henderson confirmed the careful manner in which the Commission approaches all of these issues and that the Hale property owner will be treated with the utmost care and consideration. Chair Buster called upon any other persons with an interest in the property who wish to be heard on this matter. There were no other requests to speak. Chair Buster then called upon all other persons who wish to be heard on this matter. There were no requests to speak. At this time, Chair Buster closed the public hearing. • • " " R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n M i n u t e s J u n e 9 , 2 0 1 0 P a g e 5 M / S / C / ( A d a m s / L o w e ) t o : 1 ) M a k e t h e f o l l o w i n g f i n d i n g s a s h e r e i n a f t e r d e s c r i b e d i n t h i s r e p o r t : a ) T h e p u b l i c i n t e r e s t a n d n e c e s s i t y r e q u i r e t h e p r o p o s e d p r o j e c t ; b ) T h e p r o j e c t i s p l a n n e d o r l o c a t e d i n a m a n n e r t h a t w i l l b e m o s t c o m p a t i b l e w i t h t h e g r e a t e s t p u b l i c g o o d a n d t h e l e a s t p r i v a t e i n j u r y ; c ) T h e r e a l p r o p e r t y t o b e a c q u i r e d i s n e c e s s a r y f o r t h e p r o j e c t ; a n d d ) T h e o f f e r i s j u s t c o m p e n s a t i o n h a s b e e n m a d e t o t h e p r o p e r t y o w n e r s . 2 ) A d o p t R e s o l u t i o n s o f N e c e s s i t y N o s . 1 0 - 0 1 6 , 1 0 - 0 1 7 , 1 0 - 0 1 8 , 1 0 - 0 1 9 , 1 0 - 0 2 0 , 1 0 - 0 2 1 , 1 0 - 0 2 2 , 1 0 - 0 2 3 , a n d 1 0 - 0 2 4 , " R e s o l u t i o n s o f N e c e s s i t y f o r t h e A c q u i s i t i o n o f F e e , E a s e m e n t , a n d T e m p o r a r y C o n s t r u c t i o n E a s e m e n t I n t e r e s t s i n C e r t a i n R e a l P r o p e r t y , L o c a t e d i n R i v e r s i d e C o u n t y , C a l i f o r n i a , b y E m i n e n t D o m a i n , M o r e P a r t i c u l a r l y D e s c r i b e d a s A s s e s s o r P a r c e l N u m b e r s 2 1 5 - 3 3 2 - 0 2 3 ; 2 1 9 - 0 4 1 - 0 0 8 ; 2 1 9 - 0 4 3 - 0 2 5 a n d 2 1 9 - 0 4 3 - 0 2 6 ; 2 1 9 - 2 8 1 - 0 0 7 ; 2 1 9 - 3 0 1 - 0 0 6 ; 2 2 5 - 2 6 3 - 0 1 5 ; 2 2 5 - 3 5 0 - 0 5 0 ; 2 2 9 - 0 8 1 - 0 0 2 ; 2 2 9 - 1 1 0 - 0 3 5 ; 2 2 9 - 1 1 0 - 0 4 0 , 2 2 9 - 1 1 0 - 0 4 , 2 2 9 - 1 1 0 - 0 4 7 , a n d 2 2 9 - 1 1 0 - 0 5 1 ( C a ! t r a n s P a r c e l N o s . 2 0 8 7 5 - 1 a n d 2 0 8 7 5 - 2 ; 2 0 8 7 4 - 1 ; 2 0 4 2 3 - 1 a n d 2 0 4 2 3 - 2 ; 2 0 8 7 9 - 1 a n d 2 0 8 7 9 - 2 ; 2 0 8 6 7 - 1 ; 2 1 1 0 9 - 1 a n d 2 1 1 0 9 - 2 ; 2 0 4 1 0 - 1 a n d 2 0 4 1 0 - 3 ; 2 0 6 8 6 - 1 a n d 2 0 6 8 6 - 2 ; 2 0 8 6 0 - 1 ; 2 0 8 6 0 - 2 ; 2 0 8 6 0 - 3 ; 2 0 8 6 0 - 4 , 2 0 8 6 0 - 5 , 2 0 8 6 0 - 6 , 2 0 8 6 0 - 7 , 2 0 8 6 0 - 8 , a n d 2 0 8 6 0 - 9 ) , f o r t h e C o n s t r u c t i o n a n d M a i n t e n a n c e o f I m p r o v e m e n t s R e l a t e d t o t h e S t a t e R o u t e 9 / H i g h O c c u p a n c y V e h i c l e L a n e s , F r o m A d a m s S t r e e t t o t h e 6 0 / 9 1 / 2 1 5 I n t e r c h a n g e , i n R i v e r s i d e C o u n t y , C a l i f o r n i a . " A b s t a i n : C a t h e d r a l C i t y N o : B e r g 7 . P U B L I C H E A R I N G P R O P O S E D B U D G E T F O R F I S C A L Y E A R 2 0 1 0 / 1 1 M i c h e l e C i s n e r o s , A c c o u n t i n g a n d H u m a n R e s o u r c e s M a n a g e r , p r e s e n t e d t h e p r o p o s e d B u d g e t f o r F Y 2 0 1 0 / 1 1 , a n d d i s c u s s e d t h e f o l l o w i n g a r e a s : " B u d g e t a d j u s t m e n t s ; " B u d g e t s u m m a r y ; " F u n d i n g s o u r c e s ; " S u m m a r y o f e x p e n d i t u r e s ; Riverside County Transportation Commission Minutes June 9, 2010 Page 6 • Management services; • Regional programs; • Capital program expenditures and highlights; • Functional uses breakdown; • Measure A administration; and • Final steps. Chair Buster announced the continuance of the public hearing from the May 12 meeting and requested comments from the public at this time. No comments were received from the public and the Chair closed the public hearing. Commissioner Paul Marchand commended staff for the budget and motioned to approve the Budget for FY 2010/11. In response to Commissioner Wallace Edgerton's request for clarification regarding debt service, Theresia Trevino, Chief Financial Officer, replied the debt service costs relate to the 2009 bonds, the anticipated 2010 bond issuance, and commercial paper. Anne Mayer noted the proposals for the 2010 bond issuance are included in the Budget for FY 2010/11, however, adoption of the budget does not approve the direct issuance of the bonds. M/S/C (Marchand/Lowe) to adopt the proposed Budget for FY 2010/11. 8. ADDITIONS/REVISIONS There were no additions or revisions to the agenda. 9. CONSENT CALENDAR M/S/C (Ashley/Marchand) to approve the following Consent Calendar items: 9A. RESOLUTION NO. 10-015, RESOLUTION OF THE RIVERSIDE COUNTY TRANSPORTATION COMMISSION ESTABLISHING THE COMMISSION'S APPROPRIATIONS LIMIT FOR FISCAL YEAR 2010/11 Approve Resolution No. 10-015, Resolution of the Riverside County Transportation Commission Establishing the Commission's Appropriations Limit for Fiscal Year 2010/11". • • • Riverside County Transportation Commission Minutes June 9, 2010 Page 7 9B. GOVERNMENTAL ACCOUNTING STANDARDS BOARD STATEMENT NUMBER 54 FUND BALANCE REPORTING AND GOVERNMENTAL FUND TYPE 1) Receive and file the Commission's new fund balance reporting policy; and 2) Approve the commitment of unexpended fund balance at June 30, 2010, in the Right of Way Management fund for right of way management services relating to rail and highway properties. 9C. QUARTERLY FINANCIAL STATEMENTS Receive and file the Quarterly Financial Statements for the nine -month period ended March 31, 2010. 9D. QUARTERLY INVESTMENT REPORT Receive and file the Quarterly Investment Report for the quarter ended March 31, 2010. 9E. SINGLE SIGNATURE AUTHORITY REPORT Receive and file the Single Signature Authority Report for the third quarter ended March 31, 2010. 9F. AGREEMENTS WITH LSA ASSOCIATES, INC. AND ICF INTERNATIONAL FOR ON -CALL ENVIRONMENTAL CONSULTING SERVICES 1) Award the following agreements to provide on -call environmental consulting services for a three-year term in an aggregate amount of $1.2 million: a) Agreement No. 10-31-083-00 to LSA Associates, Inc; and b) Agreement No. 10-31-101-00 to ICF International; 2) Authorize the Chair, pursuant to legal counsel review, to execute the agreements on behalf of the Commission; and 3) Authorize the Executive Director to execute task orders awarded to these consultants under the terms of the agreements. • Riverside County Transportation Commission Minutes June 9, 2010 Page 8 9G. AMENDMENT TO COMMISSION'S COMMUTER RAIL PROGRAM FISCAL YEAR 2006/07 AND FISCAL YEAR 2009/10 SHORT RANGE TRANSIT PLANS 1) Amend the Commission's Commuter Rail Program FY 2006/07 Short Range Transit Plan (SRTP) to reflect a reallocation of $4 million in Federal Transit Administration (FTA) Section 5307 program funds originally approved for the North Main Corona parking structure to the Perris Valley Line (PVL) project; 2) Amend the Commission's Commuter Rail Program FY 2009/10 SRTP to reflect allocation of $9.975 million in FTA Section 5309 program funds and deobligation of $8.8 million in Local Transportation Fund (LTF) funds and $1.175 million in State Transit Assistance (STA) funds for the Southern California Regional Rail Authority (SCRRA) rail car procurement project and reduction of LTF Capital Improvement Program expenditures by $480,000; and 3) Approve reductions to budgeted revenues and expenditures in the LTF, STA, Rail Operations, and Rail Capital funds. 9H. AGREEMENT WITH ELITE ELECTRIC INC. TO PROVIDE LIGHTING MAINTENANCE SERVICES FOR THE FIVE COMMISSION -OWNED COMMUTER RAIL STATIONS AND THE PERRIS TRANSIT CENTER IN RIVERSIDE COUNTY 1) Award Agreement No. 10-24-082-00 to Elite Electric, Inc. (Elite) for lighting maintenance services at the five Commission -owned commuter rail stations and the Perris Transit Center for a three-year period, and two one-year options, for a total contract amount of $550,000; and 2) Authorize the Chair, pursuant to legal counsel review, to execute the agreement, including option years, on behalf of the Commission. • " " R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n M i n u t e s J u n e 9 , 2 0 1 0 P a g e 9 9 1 . P U R C H A S E O F R I G H T O F W A Y F O R T H E S T A T E R O U T E 9 1 C O R R I D O R I M P R O V E M E N T P R O J E C T 1 ) A u t h o r i z e t h e E x e c u t i v e D i r e c t o r t o p u r c h a s e r i g h t o f w a y f o r t h e S t a t e R o u t e 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t ( S R - 9 1 C I P ) , p u r s u a n t t o c o n s u l t a t i o n w i t h a n a d h o c c o m m i t t e e a p p o i n t e d b y t h e C h a i r ; a n d 2 ) A u t h o r i z e t h e E x e c u t i v e D i r e c t o r , p u r s u a n t t o l e g a l c o u n s e l r e v i e w , t o e x e c u t e a l l a g r e e m e n t s r e l a t e d t o t h e p u r c h a s e o f r i g h t o f w a y f o r t h e S R - 9 1 C I P . 9 J . A M E N D M E N T S T O A G R E E M E N T S W I T H D A V I D E V A N S & A S S O C I A T E S , P R O J E C T D E S I G N C O N S U L T A N T S , A N D P S O M A S F O R O N - C A L L R I G H T O F W A Y E N G I N E E R I N G A N D S U R V E Y I N G S E R V I C E S 1 ) A p p r o v e t h e f o l l o w i n g a g r e e m e n t s f o r o n - c a l l r i g h t o f w a y e n g i n e e r i n g a n d s u r v e y i n g s e r v i c e s i n t h e a g g r e g a t e a m o u n t o f $ 4 5 0 , 0 0 0 ; a ) A g r e e m e n t N o . 0 7 - 3 3 - 1 4 3 - 0 1 , A m e n d m e n t N o . 1 t o A g r e e m e n t N o . 0 7 - 3 3 - 1 4 3 - 0 0 , w i t h D a v i d E v a n s & A s s o c i a t e s ; b ) A g r e e m e n t N o . 0 7 - 3 3 - 1 4 5 - 0 1 , A m e n d m e n t N o . 1 t o A g r e e m e n t N o . 0 7 - 3 3 - 1 4 5 - 0 0 , w i t h P r o j e c t D e s i g n C o n s u l t a n t s ; a n d c ) A g r e e m e n t N o . 0 7 - 3 3 - 1 4 4 - 0 2 , A m e n d m e n t N o . 1 t o A g r e e m e n t N o . 0 7 - 3 3 - 1 4 4 - 0 0 , w i t h P s o m a s ; a n d 2 ) A u t h o r i z e t h e C h a i r , p u r s u a n t t o l e g a l c o u n s e l r e v i e w , t o e x e c u t e t h e a g r e e m e n t s o n b e h a l f o f t h e C o m m i s s i o n . 9 K . F I S C A L Y E A R 2 0 1 0 / 1 1 - F I S C A L Y E A R 2 0 1 2 / 1 3 S H O R T R A N G E T R A N S I T P L A N S R e v i e w a n d a p p r o v e , i n c o n c e p t , t h e F Y 2 0 1 0 / 1 1 - F Y 2 0 1 2 / 1 3 S h o r t R a n g e T r a n s i t P l a n s ( S R T P ) f o r t h e c i t i e s o f B a n n i n g , B e a u m o n t , C o r o n a , R i v e r s i d e , P a l o V e r d e V a l l e y T r a n s i t A g e n c y ( P V V T A ) , R i v e r s i d e T r a n s i t A g e n c y ( R T A ) , S u n L i n e T r a n s i t A g e n c y ( S u n L i n e ) , a n d t h e C o m m i s s i o n ' s C o m m u t e r R a i l P r o g r a m . Riverside County Transportation Commission Minutes June 9, 2010 Page 10 9L. FISCAL YEAR 2010/11 MINIMUM FARE REVENUE RATIO FOR RIVERSIDE TRANSIT AGENCY AND SUNLINE TRANSIT AGENCY 1) Reaffirm the methodology used to calculate the required fare box recovery ratio; and 2) Approve the FY 2010/11 minimum fare revenue to operating cost ratio of 17.09% for Riverside Transit Agency (RTA) and 17.97% for SunLine Transit Agency (SunLine). 9M. AMENDMENT TO RIVERSIDE TRANSIT AGENCY'S FISCAL YEAR 2009/10 SHORT RANGE TRANSIT PLAN 1) Approve a modification to Riverside Transit Agency's (RTA) FY 2009/10 operating assistance funding by allocating $50,000 in Measure A funds designated for Specialized Transit/Consolidated Transportation Services Agency (CTSA) for Western Riverside County (Western County); 2) Approve a modification to RTA's FY 2009/10 capital improvement program to reflect an additional $4,007,425 in Transportation Uniform Mitigation Fees (TUMF) and $3,508,333 in FY 2008/09 Proposition 1 B grant funding; and 3) Approve Amendment No. 1 to RTA's FY 2009/10 Short Range Transit Plan (SRTP) to reflect these changes. 9N. AMENDMENT TO SUNLINE TRANSIT AGENCY'S FISCAL YEAR 2009/10 SHORT RANGE TRANSIT PLAN 1) Approve a modification to SunLine Transit Agency's (SunLine) FY 2009/10 operating assistance funding by amending the original amount from $22,735,270 to $21,903,610 due to a combination of decreases in Local Transportation Fund (LTF) funds, Measure A funding, and federal Sections 5307, 5311, and 5317 allocations; 2) Approve a modification to SunLine's FY 2009/10 capital improvement program by using FY 2006/07 carryover funds of $502,865 in State Transit Assistance (STA), replacing previously approved LTF for local match to federally funded capital projects; and using an additional $594,000 in Section 5309 to replace Section 5307 funds for the bus rehabilitation project; 3) Approve a budget adjustment to the FY 2009/10 budget to reflect a reduction of $761,500 in LTF expenditures; and 4) Approve an amendment to SunLine's FY 2009/10 Short Range Transit Plan (SRTP) to reflect these changes. • • • " R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n M i n u t e s J u n e 9 , 2 0 1 0 P a g e 1 1 9 0 . F I S C A L Y E A R 2 0 1 0 / 1 1 S B 8 2 1 B I C Y C L E A N D P E D E S T R I A N F A C I L I T I E S P R O G R A M F U N D I N G R E C O M M E N D A T I O N S A p p r o v e t h e F Y 2 0 1 0 / 1 1 S B 8 2 1 B i c y c l e a n d P e d e s t r i a n F a c i l i t i e s p r o g r a m r e c o m m e n d e d f u n d i n g a s s h o w n i n t h e a t t a c h e d s c h e d u l e . 9 P . S B 8 2 1 B I C Y C L E A N D P E D E S T R I A N F A C I L I T I E S P R O G R A M R E A L L O C A T I O N F O R T H E C I T Y O F B E A U M O N T G r a n t t h e c i t y o f B e a u m o n t ( B e a u m o n t ) a r e a l l o c a t i o n o f u n u s e d S B 8 2 1 f u n d s f r o m i t s F Y 2 0 0 8 / 0 9 C i t y w i d e s i d e w a l k a n d a c c e s s r a m p s p r o j e c t t o i t s F Y 2 0 0 9 / 1 0 B e a u m o n t A v e n u e s i d e w a l k a n d a c c e s s r a m p s p r o j e c t . 9 Q . S B 8 2 1 B I C Y C L E A N D P E D E S T R I A N F A C I L I T I E S P R O G R A M E X T E N S I O N F O R T H E C I T Y O F T E M E C U L A G r a n t t h e c i t y o f T e m e c u l a ( T e m e c u l a ) a n e x t e n s i o n t o J u n e 3 0 , 2 0 1 1 , f o r a p p r o v e d S B 8 2 1 p r o g r a m f u n d s f o r t h e S a n t a G e r t r u d i s C r e e k p e d e s t r i a n / b i c y c l e b r i d g e o v e r c r o s s i n g p r o j e c t . 9 R . F I S C A L Y E A R 2 0 1 0 / 1 1 M E A S U R E A C O M M U T E R A S S I S T A N C E B U S P O O L S U B S I D Y F U N D I N G C O N T I N U A T I O N R E Q U E S T S 1 ) A u t h o r i z e p a y m e n t o f $ 1 , 6 4 5 / m o n t h m a x i m u m p e r b u s p o o l f o r t h e p e r i o d J u l y 1 , 2 0 1 0 t o J u n e 3 0 , 2 0 1 1 t o t h e e x i s t i n g C o r o n a , M i r a L o m a , a n d R i v e r s i d e b u s p o o l s ; a n d 2 ) R e q u i r e s u b s i d y r e c i p i e n t s t o m e e t m o n t h l y b u s p o o l r e p o r t i n g r e q u i r e m e n t s a s s u p p o r t i n g d o c u m e n t a t i o n t o r e c e i v e p a y m e n t s . 9 S . S T A T E A N D F E D E R A L L E G I S L A T I V E U P D A T E R e c e i v e a n d f i l e a n u p d a t e o n s t a t e a n d f e d e r a l l e g i s l a t i o n . A t t h i s t i m e , C o m m i s s i o n e r J o h n B e n o i t l e f t t h e m e e t i n g . 1 0 . P R O P O S E D M E T R O L I N K B U D G E T F O R F I S C A L Y E A R 2 0 1 0 / 1 1 R o b e r t Y a t e s , M u l t i m o d a l S e r v i c e s D i r e c t o r , p r e s e n t e d t h e M e t r o l i n k B u d g e t f o r F Y 2 0 1 0 / 1 1 , h i g h l i g h t i n g t h e f o l l o w i n g a r e a s : " A m a p d e p i c t i n g t h e M e t r o l i n k r o u t e s ; " M e t r o l i n k u p d a t e ; " M e t r o l i n k s a f e t y i n i t i a t i v e s ; Riverside County Transportation Commission Minutes June 9, 2010 Page 12 • Systemwide ridership; • Inland Empire - Orange County Line (IE0C), Riverside Line, and the 91 Line riderships; • 2011 operating budget; • Commission impact; • Commission stations; and • Rail operations issues. At Commissioner Marchand's request, Robert Yates discussed the decrease in ridership over previous years and its correlation to the unemployment rate. Chair Buster briefed the Commission on discussions at the last State Route 91 Advisory Committee meeting regarding reductions in toll lane fees due to the economic downturn and asked if there have been discussions at the Metrolink Board about reducing certain fares in order to attract additional ridership. Commissioner Lowe stated the Metrolink Board, staff, and the public had been trying to reach a solution to balance the budget, including fare increases, for approximately six months. The fare increase proposal was withdrawn. M/S/C (Lowe/Henderson) to: 1) Adopt the preliminary FY 2010/11 Metrolink operating and capital budget; and 2) Allocate the Commission's funding commitment to the Southern California Regional Rail Authority (SCRRA) in an amount not to exceed of $8 million including contingency, in Local Transportation Fund (LTF) funds for train operations and maintenance of way, and $1,224,700 for capital projects to be funded by Federal Transit Administration (FTA) Section 5307 funds. 11. 2010 STATE TRANSPORTATION IMPROVEMENT PROGRAM ADOPTION Shirley Medina, Programming and Planning Manager, presented the 2010 State Transportation Improvement Program (STIP) adoption. Anne Mayer discussed the I-15/French Valley Parkway interchange project and stated the Commission will continue to work with the city of Temecula staff to identify other funding sources. Anne Mayer recognized Grace Alvarez, Staff Analyst; Shirley Medina, Programming and Planning Manager; and Andrea Zureick, Senior Staff Analyst, as staff responsible for funding from federal and state sources to the Commission and keeping projects moving forward. • " R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n M i n u t e s J u n e 9 , 2 0 1 0 P a g e 1 3 C h a i r B u s t e r s t a t e d t h e C o m m i s s i o n i s i m p r e s s e d w i t h t h e n u m b e r o f p r o j e c t s t h a t h a v e r e m a i n e d a c t i v e . M / S / C ( M a r c h a n d / L o w e ) t o r e c e i v e a n d f i l e 2 0 1 0 S t a t e T r a n s p o r t a t i o n I m p r o v e m e n t P r o g r a m ( S T I P ) a d o p t i o n . 1 2 . I T E M ( S ) P U L L E D F R O M C O N S E N T C A L E N D A R A G E N D A T h e r e w e r e n o a g e n d a i t e m s p u l l e d f r o m t h e C o n s e n t C a l e n d a r . 1 3 . C O M M I S S I O N E R S / E X E C U T I V E D I R E C T O R ' S R E P O R T 1 3 A . C h a i r B u s t e r a n n o u n c e d t h e f o r m a t i o n o f t h e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t P r o p e r t y A d H o c C o m m i t t e e , c o m p r i s e d o f C o m m i s s i o n e r s S t e v e A d a m s , B o b B o t t s , S c o t t F a r n a m , M a l c o l m M i l l e r , a n d J e f f S t o n e . 1 3 B . A n n e M a y e r a n n o u n c e d t h e 7 4 / 2 1 5 g r o u n d b r e a k i n g e v e n t w i l l b e h e l d o n M o n d a y , J u n e 1 4 a t 2 : 0 0 p . m . 1 3 C . C o m m i s s i o n e r M a r y C r a t o n : " E x p r e s s e d h e r g r a t i t u d e t o t h e C o m m i s s i o n f o r a p p r o v i n g f u n d i n g f o r t h e b i c y c l e l a n e s f o r R a i l r o a d C a n y o n R o a d i n t h e c i t y o f C a n y o n L a k e ; a n d " A n n o u n c e d t h e o p e n i n g o f N e w p o r t R o a d , a s i x - l a n e r o a d c o n n e c t i n g N e w p o r t R o a d i n w e s t M e n i f e e t o R a i l r o a d C a n y o n R o a d a t t h e e a s t e n d o f C a n y o n L a k e . 1 3 D . C o m m i s s i o n e r K a r e n S p i e g e l a n n o u n c e d t h e c e r e m o n y f o r t h e p l a c e m e n t o f t h e p e d e s t r i a n b r i d g e e x t e n s i o n f o r t h e n e w C o r o n a T r a n s i t C e n t e r w i l l b e h e l d o n M o n d a y , J u n e 1 4 a t 1 0 : 0 0 a . m . A t t h i s t i m e , C o m m i s s i o n e r s G l e n n M i l l e r a n d R a y Q u i n t o l e f t t h e m e e t i n g . 1 4 . C L O S E D S E S S I O N 1 4 A . C O N F E R E N C E W I T H L E G A L C O U N S E L I N I T I A T I O N O F L I T I G A T I O N P u r s u a n t t o G o v e r n m e n t C o d e S e c t i o n 5 4 9 5 6 . 9 ( c ) P o t e n t i a l N u m b e r o f C a s e ( s ) : T w o A p p r o v a l w a s g i v e n t o l e g a l c o u n s e l t o i n i t i a t e a n a c t i o n f o r o n e o f t h e m a t t e r s d i s c u s s e d w i t h t h e C o m m i s s i o n i n c l o s e d s e s s i o n . Riverside County Transportation Commission Minutes June 9, 2010 Page 14 15. ADJOURNMENT There being no further business for consideration by the Riverside County Transportation Commission, the meeting was adjourned at 11:55 a.m. The next Commission meeting is scheduled to be held at 9:30 a.m., Wednesday, July 14, 2010, in the Board Room, at the County of Riverside Administrative Center, 4080 Lemon Street, Riverside, California. Respectfully submitted, 09,JN'i_ Jennifer Harmon Clerk of the Board • " A G E N D A I T E M 6 " P U B L I C H E A R I N G " " " " R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M / S S / O N D A T E : J u l y 1 4 , 2 0 1 0 T O : R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n F R O M : B u d g e t a n d I m p l e m e n t a t i o n C o m m i t t e e F i n a C l e m e n t e , T r a n s i t M a n a g e r T H R O U G H : A n n e M a y e r , E x e c u t i v e D i r e c t o r S U B J E C T : R i v e r s i d e C o u n t y T r a n s i t S e r v i c e s F u n d i n g A l l o c a t i o n f o r F i s c a l Y e a r 2 0 1 0 / 1 1 B U D G E T A N D I M P L E M E N T A T I O N C O M M I T T E E A N D S T A F F R E C O M M E N D A T I O N : T h i s i t e m i s f o r t h e C o m m i s s i o n t o : 1 ) C o n d u c t a p u b l i c h e a r i n g a t t h e J u l y C o m m i s s i o n m e e t i n g o n t h e p r o p o s e d S e c t i o n 5 3 0 7 P r o g r a m o f P r o j e c t s ( P O P ) ; 2 ) A p p r o v e t h e F Y 2 0 1 0 / 1 1 F e d e r a l T r a n s i t A d m i n i s t r a t i o n ' s ( F T A ) S e c t i o n 5 3 0 7 a n d 5 3 1 1 P O P f o r R i v e r s i d e C o u n t y ; 3 ) A p p r o v e t h e F Y 2 0 1 0 / 1 1 L o c a l T r a n s p o r t a t i o n F u n d ( L T F ) a n d S t a t e T r a n s i t A s s i s t a n c e ( S T A ) f u n d a l l o c a t i o n s f o r t r a n s i t ; 4 ) D i r e c t s t a f f t o a d d p r o j e c t s i n t o t h e R e g i o n a l T r a n s p o r t a t i o n I m p r o v e m e n t P l a n ( R T I P ) ; a n d 5 ) A d o p t R e s o l u t i o n N o . 1 0 - 0 2 5 , " R e s o l u t i o n o f t h e R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n t o A l l o c a t e S t a t e T r a n s i t A s s i s t a n c e F u n d s " . B A C K G R O U N D I N F O R M A T I O N : E a c h y e a r , t h r o u g h t h e S h o r t R a n g e T r a n s i t P l a n ( S R T P ) p r o c e s s , t r a n s i t o p e r a t i n g a n d c a p i t a l s u b s i d i e s c o n s i s t i n g o f f e d e r a l , s t a t e , a n d l o c a l r e v e n u e s a r e a l l o c a t e d t o e i g h t t r a n s i t o p e r a t o r s p r o v i d i n g p u b l i c t r a n s p o r t a t i o n i n R i v e r s i d e C o u n t y . A t i t s J u n e 9 , 2 0 1 0 m e e t i n g , t h e C o m m i s s i o n a p p r o v e d t h e F Y 2 0 1 0 / 1 1 - F Y 2 0 1 2 / 1 3 S R T P s i n c o n c e p t f o r t h e c i t i e s o f B a n n i n g , B e a u m o n t , C o r o n a , R i v e r s i d e , t h e C o m m i s s i o n ' s C o m m u t e r R a i l P r o g r a m , P a l o V e r d e V a l l e y T r a n s i t A g e n c y ( P V V T A ) , R i v e r s i d e T r a n s i t A g e n c y ( R T A ) ; a n d S u n L i n e T r a n s i t A g e n c y ( S u n L i n e ) . T h e S R T P s i d e n t i f y e a c h a g e n c y ' s o p e r a t i n g a n d c a p i t a l n e e d s , f u n d i n g s o u r c e s , c o n s o l i d a t e d f i n a n c i a l p l a n , a n d p r o v i d e t h e f r a m e w o r k r e q u i r e d t o c o m p l y w i t h f e d e r a l r e g u l a t i o n s , t h e T r a n s p o r t a t i o n D e v e l o p m e n t A c t ( T D A ) , s t a t e l a w , a n d C o m m i s s i o n - a d o p t e d g u i d e l i n e s a n d p o l i c i e s . T h e S R T P s , w h i c h a r e u p d a t e d a n n u a l l y , p r o v i d e a t h r e e - y e a r o u t l o o k f o r s e r v i c e i m p r o v e m e n t s , p l a n n i n g a c t i v i t i e s , a n d c a p i t a l p r o g r a m s . A s t h e t r a n s p o r t a t i o n p l a n n i n g a g e n c y , t h e C o m m i s s i o n i s r e s p o n s i b l e f o r a l l o c a t i o n o f t r a n s i t f u n d s , p e r f o r m a n c e m o n i t o r i n g , a n d o p e r a t o r o v e r s i g h t . T h e a p p r o v e d S R T P s p r o v i d e t h e b a s i s f o r t h e C o m m i s s i o n ' s o v e r s i g h t A g e n d a I t e m 6 1 activities to help establish system policy, determine appropriate service goals, and provide management with the necessary information to efficiently operate bus and rail services in the county. In January 2010, the Commission received information on the FY 2010/11 revenud projections, which indicated a decrease of approximately 1 1 % in LTF and 4% in Measure A funding compared to the FY 2009/10 original estimates. Faced with significant reductions in both state and local sales tax revenues, Commission staff directed the transit operators to prepare a prudent spending plan aimed at decreasing operating budgets by at least 15%. Several measures were considered by the operators that included trimming of unproductive services, fare increases, streamlining of administrative expenses, and staff reductions, as well as reprogramming of carryover funds from previous years. Through various combinations of the above -referenced cost cutting measures, the reduction target was achieved and is reflected by a system -wide drop in LTF expenditures of approximately 15.1 %. The reduction has also benefited from the additional use of previously unidentified federal Section 5307 funds, as well as carryover funds from other federal grants including Sections 5316 and 5317 and excess funds from the American Recovery and Reinvestment Act (ARRA) stimulus program. Resulting from these measures, staff has been able to limit the draw against on -hand LTF reserves to 2 % . Careful analysis and consideration was made to evaluate every feasible option with the least impact on the core services that each operator provides, and the plans are based on conservative baseline budget estimates that operators can realistically and reasonably expect to receive from known revenue sources. Operations are now more closely aligned with available revenues. SRTP Financial and Ridership Overview Based on submitted SRTPs for FY 2010/11, it is estimated that $157 million in funding is required to support the operating and capital requests for the provision of Riverside County transit services. The following table provides an overview of the operating and capital costs together with projected ridership levels by apportionment area. Agenda Item 6 • • 2 " O p e r a t i n g C a p i t a l T a b l e 1 - F Y 2 0 1 0 / 1 1 O p e r a t i n g , C a p i t a l a n d R i d e r s h i p P r o j e c t i o n s W e s t e r n R i v e r s i d e C o a c h e l l a P a l o V e r d e V a l l e y V a l l e y T o t a l B u s R a i l $ 5 6 , 9 9 6 , 0 2 2 $ 1 1 , 5 6 3 , 9 0 0 $ 2 1 , 3 2 4 , 3 7 9 $ 8 2 9 , 3 6 9 $ 9 0 , 7 1 3 , 6 7 0 7 , 1 2 1 , 8 7 1 1 8 , 4 1 0 , 2 7 2 8 , 9 0 9 , 4 1 6 3 2 2 , 0 0 5 3 4 , 7 6 3 , 5 6 4 T o t a l ( O p e r & C a p i t a l ) 6 4 , 1 1 7 , 8 9 3 2 9 , 9 7 4 , 1 7 2 3 0 , 2 3 3 , 7 9 5 1 , 1 5 1 , 3 7 4 1 2 5 , 4 7 7 , 2 3 4 L e v e r a g e o f C o m m u t e r R a i l F u n d s ' 3 1 , 4 7 5 , 5 0 0 3 1 , 4 7 5 , 5 0 0 G R A N D T O T A L $ 6 4 , 1 1 7 , 8 9 3 $ 6 1 , 4 4 9 , 6 7 2 $ 3 0 , 2 3 3 , 7 9 5 $ 1 , 1 5 1 , 3 7 4 $ 1 5 6 , 9 5 2 , 7 3 4 F Y 1 0 / 1 1 P r o j e c t e d R i d e r s h i p 8 , 1 1 9 , 1 7 2 2 , 9 3 9 , 6 3 9 3 , 7 1 5 , 8 9 1 4 3 , 5 4 5 1 4 , 8 1 8 , 2 4 7 L A M e t r o , O C T A & S A N B A G ' s s h a r e a n d p a s s e n g e r f a r e r e v e n u e s f o r C o m m u t e r R a i l E x p e n s e s A l t h o u g h t h e o p e r a t o r s d e s i g n e d t h e i r r e s p e c t i v e p l a n s t o r e d u c e s p e n d i n g w i t h m i n i m u m e f f e c t o n t r a n s i t s e r v i c e , t h e o v e r a l l e c o n o m i c c l i m a t e w i l l c o n t i n u e t o i m p a c t r i d e r s h i p . A t t a c h m e n t 4 o f t h i s r e p o r t s h o w s t h e f u n d i n g p l a n f o r F Y 2 0 1 0 / 1 1 w i l l g e n e r a t e a p p r o x i m a t e l y 1 4 . 8 m i l l i o n i n r i d e r s h i p , a b o u t 3 % l o w e r t h a n t h i s y e a r ' s p r o j e c t e d r i d e r s h i p . F u n d i n g l e v e l s f o r n e x t y e a r ' s t r a n s i t o p e r a t i o n s r e f l e c t a s y s t e m w i d e d e c r e a s e o f 4 % i n t o t a l o p e r a t i n g e x p e n s e s . W i t h t h e e l i m i n a t i o n o f S T A f u n d i n g s i n c e J u l y 1 , 2 0 0 9 , a n d w i t h o u t n e w S T A f u n d i n g i n F Y 2 0 1 0 / 1 1 , c a p i t a l e x p e n s e s w e r e c u t s i g n i f i c a n t l y b y a b o u t 6 1 % . L a s t y e a r ' s c a p i t a l s p e n d i n g w a s l a r g e l y f u n d e d b y t h e A R R A p r o g r a m f u n d s . F o r F Y 2 0 1 0 / 1 1 , t r a n s i t o p e r a t o r s p r o g r a m m e d t h e i r f u n d i n g s h a r e o f t h e P r o p o s i t i o n 1 B F Y 2 0 0 8 / 0 9 f u n d s , w h i c h w e r e a w a r d e d a n d r e l e a s e d t h i s y e a r . F Y 2 0 1 0 / 1 1 O p e r a t i n g a n d C a p i t a l C o s t s T o i m p l e m e n t t h e S R T P s f o r F Y 2 0 1 0 / 1 1 , t h e r e q u e s t i s t o u t i l i z e a p p r o x i m a t e l y $ 9 0 . 7 m i l l i o n f o r o p e r a t i n g a n d $ 3 4 . 8 m i l l i o n f o r c a p i t a l i n a d d i t i o n , t o " t h e $ 3 1 . 5 m i l l i o n s h a r e f r o m L o s A n g e l e s M e t r o p o l i t a n T r a n s p o r t a t i o n A u t h o r i t y ( M e t r o ) , O r a n g e C o u n t y T r a n s p o r t a t i o n A u t h o r i t y ( O C T A ) , a n d S a n B e r n a r d i n o A s s o c i a t e d G o v e r n m e n t s ( S A N B A G ) t o l e v e r a g e t h e C o m m u t e r R a i l P r o g r a m . T h e c h a r t b e l o w p r o v i d e s a n o v e r v i e w o f t h e o p e r a t i n g a n d c a p i t a l c o s t s b y f u n d i n g s o u r c e r e q u i r e d t o p r o v i d e t r a n s i t s e r v i c e s i n R i v e r s i d e C o u n t y : A g e n d a I t e m 6 3 RIVERSIDE COUNTY: FY 2010/11 OPERATING and CAPITAL COSTS TDA (LTF & STA Funds), $49,954,785 , 32% Carry Over Funds (LTF/STA/5307, $6,770,222, 4% Addll Rail Operating Subsidy paid by SANBAG, OCTA& LA Metro, $17,506,800 , 11% Other Revenues, $1,704,324, 1% Measure A, $11,054,350 , 7% PaccPrger Fares, $26,739,077 , 17% Federal Formula Funds (Sec 5307 & 5311), $30,013,354 , 19% Federal -Discretionary Funds (Sec 5309), $2,150,000, 1% Flop 1B (Cap+Security), $10,352,539 , 7% Sec 5316 & 5317, $707,283, 1% PASSENGER FARE$ Pudic Bus = $12,770,377 Commuter Raa= 313.983.70Q TOTAL = $26,739,077 Of the $156.9 million operating and capital costs identified in the chart approximately $52.7 million (33.6%) is derived from: • Passenger fares; • Commuter rail member agencies' revenue share; • Carryover funds (LTF/STA/Proposition 1 B/5307/5316/5317/ARRA); and • Miscellaneous other revenues (bus shelter advertising, TRIP revenue, Metrolink transfer fares, interest income, etc.). The remaining balance of approximately $104 million (66.4%) consists of federal, state, and local funds (including Proposition 1 B funding) that are allocated through Commission action. Transportation Development Act Funding The TDA provides two funding sources namely: LTF and STA. The LTF funds are derived from 1% cent of the state retail sales tax collected in each county. The State Board of Equalization returns the sales tax revenues to the county of Riverside through the Commission where it is held until the Commission provides written allocation instructions for disbursement. It is estimated that LTF revenue for transit services for FY 2010/1 1 will be $49,101,136, an 11 To decrease compared to the original projected amount for FY 2009/10, and is consistent with the revenue projection provided at the January 2010 Commission meeting. Agenda Item 6 • 4 " " " T h e S T A i s d e r i v e d f r o m s a l e s t a x o n g a s o l i n e a n d d i e s e l f u e l . F i f t y p e r c e n t o f S T A f u n d s a r e a l l o c a t e d a c c o r d i n g t o p o p u l a t i o n . T h e o t h e r 5 0 % i s a l l o c a t e d a c c o r d i n g t o t h e r a t i o o f t h e t o t a l p u b l i c t r a n s i t r e v e n u e s g e n e r a t e d i n e a c h a r e a d u r i n g t h e p r i o r f i s c a l y e a r . I n M a r c h 2 0 0 9 , t h e S T A f u n d i n g f o r t r a n s i t w a s c o m p l e t e l y . e l i m i n a t e d b y t h e s t a t e . T h e r e i s a p p r o x i m a t e l y $ 5 . 4 m i l l i o n i n S T A u n a l l o c a t e d r e s e r v e f u n d s p r o j e c t e d a t t h e e n d o f F Y 2 0 0 9 / 1 0 , a n d o n l y $ 5 , 7 3 0 o f t h i s f u n d b a l a n c e w i l l b e u t i l i z e d b y P a l o V e r d e V a l l e y f o r a c a p i t a l p r o j e c t i n F Y 2 0 1 0 / 1 1 . P r i o r t o a p p r o v i n g t h e S T A a l l o c a t i o n s , t h e C o m m i s s i o n m u s t a d o p t t h e a t t a c h e d r e s o l u t i o n a s s p e c i f i e d i n t h e T D A s t a t u t e s a n d C a l i f o r n i a C o d e o f R e g u l a t i o n s . I n a d d i t i o n t o t h a t r e q u i r e d b y T D A , t h e C o m m i s s i o n a l s o a d o p t e d r e v i s e d p o l i c i e s i n M a r c h 2 0 1 0 f o r t h e F Y 2 0 1 0 / 1 1 b u d g e t . T h e s e p o l i c i e s r e q u i r e a l l o p e r a t o r s t o s p e n d d o w n e x i s t i n g c a p i t a l b a l a n c e s p r i o r t o r e q u e s t i n g a d d i t i o n a l f u n d s . T h i s p o l i c y w i l l e n s u r e t h a t p r o j e c t s a r e e i t h e r c o m p l e t e d o r t h e f u n d s r e p r o g r a m m e d , p r o v i d i n g f o r t h e m o s t e f f i c i e n t u s e o f e x i s t i n g c a p i t a l f u n d s . T h e C o m m i s s i o n m u s t a l l o c a t e f u n d s t o s u p p o r t t h e t r a n s i t s e r v i c e s a n d c a p i t a l p r o j e c t s c o n t a i n e d i n t h e F Y 2 0 1 0 / 1 1 S R T P s i n o r d e r f o r t h e p u b l i c t r a n s i t o p e r a t o r s t o c l a i m L T F a n d / o r S T A f u n d s . T h e r e q u e s t e d a l l o c a t i o n s a r e c o n s i s t e n t w i t h t h e a p p r o v e d S R T P s , a n d t h e f u n d s a r e e x p l i c i t l y f o r t h e p r o j e c t s s t a t e d i n t h e a p p r o v e d p l a n s . T h e T D A a l l o c a t i o n s f o r F Y 2 0 1 0 / 1 1 r e q u e s t e d b y e a c h o p e r a t o r a r e o u t l i n e d i n A t t a c h m e n t 3 . F Y 2 0 1 0 / 1 1 F e d e r a l F u n d i n g R e q u e s t s : S e c t i o n s 5 3 0 7 , 5 3 0 9 , 5 3 1 1 , 5 3 1 6 a n d 5 3 1 7 S e c t i o n 5 3 0 7 F o r m u l a F u n d s T h e r e a r e f o u r u r b a n i z e d a r e a s ( U Z A ) i n R i v e r s i d e C o u n t y t h a t r e c e i v e f e d e r a l o p e r a t i n g a n d c a p i t a l g r a n t f u n d i n g t h r o u g h F T A ' s S e c t i o n 5 3 0 7 p r o g r a m . " R i v e r s i d e / S a n B e r n a r d i n o ; " H e m e t / S a n J a c i n t o ; " T e m e c u l a / M u r r i e t a ; a n d " I n d i o / C a t h e d r a l C i t y / P a l m S p r i n g s . A t t a c h m e n t 2 i s t h e p r o p o s e d S e c t i o n 5 3 0 7 P O P f o r R i v e r s i d e C o u n t y . T h e C o m m i s s i o n m u s t d e v e l o p a n d a p p r o v e a P O P f o r e a c h U Z A a n d c o n d u c t a p u b l i c h e a r i n g p r i o r t o a n o p e r a t o r s u b m i t t i n g i t s S e c t i o n 5 3 0 7 g r a n t a p p l i c a t i o n t o F T A . I f t h e d r a f t P O P i s n o t a m e n d e d t h r o u g h t h e p u b l i c h e a r i n g p r o c e s s , t h e P O P w i l l b e c o m e f i n a l a s p r e s e n t e d a n d w i l l b e i n c l u d e d i n a n a p p r o v e d R T I P , w h i c h i s s u b s e q u e n t l y f o r w a r d e d t o t h e S o u t h e r n C a l i f o r n i a A s s o c i a t i o n o f G o v e r n m e n t s f o r r e v i e w a n d p r o c e s s i n g . T h e S e c t i o n 5 3 0 7 r e q u e s t e d f u n d s s h o w n b e l o w i n c l u d e t h e S e c t i o n 5 3 0 7 R i v e r s i d e - S a n B e r n a r d i n o U Z A a n d $ 1 7 7 , 2 8 8 o f S e c t i o n 5 3 0 7 L o s A n g e l e s / L o n g B e a c h / S a n t a A n a U Z A f u n d s a l l o c a t e d t o t h e C o m m i s s i o n ' s R e g i o n a l C o m m u t e r R a i l P r o g r a m . A g e n d a I t e m 6 5 FY 2010/11 Section 5307 Requested Funds City of Riverside Special Services $ 240,000 RTA 15,691,726 The Commission's Regional Commuter Rail 11,224,700 SunLine 2,164,804 TOTAL $ 29,321,230 The actual Section 5307 apportionments for. FY 2010/11 will not be known until later this calendar year when final appropriations are made by Congress. The POP was developed at the highest anticipated funding amount to allow the operators to proceed with their grant applications and to avoid delays associated with program amendments should the actual apportionments come in lower than estimated. Any excess funds will be carried over to the subsequent fiscal year and will be made available to cover future projects. Section 5309 Discretionary Funds This is a discretionary pool of federal funds designated for public transit operators to purchase replacement or expansion buses and improve facilities. RTA and SunLine have identified projects totaling $2.150 million in Section 5309 discretionary funds for FY 2010/11 programming. RTA's FY 2010/11 earmark project includes procurement of three 40-foot revenue vehicles for replacement. SunLine's Section 5309 earmark will fund additional paratransit vehicles to expand demand response service. The projects must be included in an approved RTIP before the operators can access these funds. FY 2010/11 Section 5309 Earmarks RTA $1,400,000 SunLine 750,000 TOTAL $2,150,000 Section 5311 Formula and Discretionary Funds The FTA Section 5311 program administered by Caltrans is designed t6 provide financial assistance to eligible local public transportation providers in rural areas and communities with a population of less than 50,000. The majority of funds are passed through to counties based on a population formula. Any remaining funds are awarded in a statewide discretionary program by Caltrans for rural capital projects and intercity bus programs. This year's program was prepared using the FY 2009/10 funding level for transit operations since the actual apportionments will not be known until the final appropriations are released. By programming at Agenda Item 6 • • 6 " " w h a t m a y b e t h e s a m e l e v e l o f f u n d i n g , t h e o p e r a t o r s w i l l b e a b l e t o a p p l y f o r m a x i m u m f u n d i n g a n d a v o i d d e l a y s t o a m e n d t h e i r p r o g r a m s . T h e p r o g r a m a l l o c a t e s $ 6 9 2 , 1 2 4 i n f o r m u l a f u n d s f o r R i v e r s i d e C o u n t y , o f w h i c h . 6 1 . 7 % w i l l b e a l l o c a t e d t o R T A a n d 3 8 . 3 % , f o r S u n L i n e . A s i n p r e v i o u s y e a r s , b o t h R T A a n d S u n L i n e i d e n t i f i e d t h e u s e o f S e c t i o n 5 3 1 1 f o r m u l a f u n d s f o r o p e r a t i n g . T h e 6 1 . 7 % / 3 8 . 3 % f o r m u l a w a s a p p r o v e d b y t h e C o m m i s s i o n i n 1 9 8 7 , a n d w a s b a s e d o n t h e l e v e l o f s e r v i c e e a c h a g e n c y o p e r a t e d i n t h e n o n - U Z A o f t h e c o u n t y . N e x t y e a r , t h e s p l i t w i l l b e e v a l u a t e d w i t h t h e p o s s i b l e i n c l u s i o n o f P a l o V e r d e V a l l e y t o s h a r e t h i s n o n - U Z A f u n d i n g . T h e C o m m i s s i o n m u s t d e v e l o p a n d a p p r o v e a S e c t i o n 5 3 1 1 P O P b e f o r e g r a n t s a r e a p p r o v e d . F Y 2 0 1 0 / 1 1 S e c t i o n 5 3 1 1 R e q u e s t e d F u n d s A g e n c y R T A S u n L i n e T O T A L S e c t i o n 5 3 1 6 & 5 3 1 7 F o r m u l a F u n d s A m o u n t $ 4 2 7 , 0 4 1 2 6 5 , 0 8 3 $ 6 9 2 , 1 2 4 % A l l o c a t i o n 6 1 . 7 % 3 8 . 3 % 1 0 0 % A u t h o r i z e d u n d e r t h e S a f e , A c c o u n t a b l e , F l e x i b l e , a n d E f f i c i e n t T r a n s p o r t a t i o n E q u i t y A c t , a L e g a c y f o r U s e r s ( S A F E T E A - L U ) , t w o r e c e n t f e d e r a l p r o g r a m s , n a m e l y S e c t i o n 5 3 1 6 - J o b A c c e s s R e v e r s e C o m m u t e ( J A R C ) a n d S e c t i o n 5 3 1 7 N e w F r e e d o m ( N F ) , w e r e e s t a b l i s h e d t o m e e t t h e t r a n s p o r t a t i o n n e e d s o f l o w - i n c o m e p o p u l a t i o n , w e l f a r e r e c i p i e n t s , a n d p e r s o n s w i t h d i s a b i l i t i e s . A l l p r o j e c t s f u n d e d u n d e r t h i s p r o g r a m m u s t b e d e r i v e d f r o m a l o c a l l y d e v e l o p e d , c o o r d i n a t e d p u b l i c t r a n s i t - h u m a n s e r v i c e s t r a n s p o r t a t i o n p l a n n i n g p r o c e s s . R T A , S u n L i n e , a n d P V V T A w e r e a w a r d e d F Y 2 0 0 7 a n d 2 0 0 8 J A R C a n d N F f u n d i n g a n d p r o g r a m m e d t h e s e f u n d s f o r F Y 2 0 0 9 / 1 0 a n d F Y 2 0 1 0 / 1 1 . F o r F Y 2 0 1 0 / 1 1 , f u n d i n g a l l o t m e n t s a r e u t i l i z e d a s f o l l o w s : R T A S u n L i n e P V V T A T O T A L S e c t i o n 5 3 1 6 - J A R C $ 4 7 3 , 1 6 0 1 3 4 , 7 7 2 5 2 , 4 8 9 $ 6 6 0 , 4 2 1 S e c t i o n 5 3 1 7 - N F $ 6 , 2 3 2 2 3 , 1 3 4 1 7 , 4 9 6 $ 4 6 , 8 6 2 T h e s e f u n d s w i l l b e u s e d t o c o v e r e x p e n s e s f o r R T A ' s C o m m u t e r L i n k 2 1 2 a n d 2 1 7 a n d e x t e n d e d f i x e d r o u t e s e r v i c e s , S u n L i n e ' s e x t e n d e d l a t e n i g h t s e r v i c e a n d P V V T A ' s m o b i l i t y m a n a g e m e n t p r o g r a m . A g e n d a I t e m 6 7 Staff recommendation is to approve the TDA and FTA funds as presented. Any modifications in farebox revenues, federal grants, Measure A funding or carryover funds may require operators to revise their services to operate within the available funding. Fiscal Impact The funding allocations are based on the revenue estimates developed for the FY 2010/11 Commission budget. The budget adopted at the June 9 Commission. meeting included $52.573 million in LTF transit operating expenditures, $4.789 million in LTF transit capital expenditures and $5,839,500 in STA capital expenditures. These budgeted expenditures, which include use of prior year capital allocations, are expected to be funded by FY 2010/11 revenues, as well as available fund balances. Based on these recommended allocations, no budget adjustments are required. Financial Information In Fiscal Year Budget: Yes Year: FY 2010/11 Amount: $49,949,055 (LTF) $ 5,730 (STA} Source of Funds: TDA: LTF and STA Budget Adjustment: No GLA No.: LOCAL TRANSPORTATION FUND STATE TRANSIT ASSISTANCE Western County Bus Palo Verde Valley 601 62 86101 P2210 $ 28,785,380 Western County Rail 241 62 86102 P2203 $ 5,730 601 62 86101 P2213 $ 11,177,400 Coachella Valley 601 62 86.101 P2211 $ 9,314,807 Palo Verde Valley 601 62 86101 P2212 $ 671,468 Fiscal Procedures Approved: \I-41.4,Aim/7,, Date: 06/16/10 Attachments: 1) Resolution No. 10-025 2) Section 5307 Program of Projects 3) TDA Spreadsheets (LTF and STA) 4) FY 2010/2011 and FY 2009/10 Operating and Capital Requests and Ridership Projections Agenda Item 6 • • 8 " " A T T A C H M E N T R E S O L U T I O N N O . 1 0 - 0 2 5 A R E S O L U T I O N O F T H E R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N T O A L L O C A T E S T A T E T R A N S I T A S S I S T A N C E F U N D S W H E R E A S , t h e R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n i s d e s i g n a t e d t h e r e g i o n a l e n t i t y r e s p o n s i b l e f o r t h e a l l o c a t i o n o f S t a t e T r a n s i t A s s i s t a n c e F u n d s w i t h i n R i v e r s i d e C o u n t y ; a n d W H E R E A S , t h e R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n h a s e x a m i n e d t h e S h o r t R a n g e T r a n s i t P l a n s a n d T r a n s p o r t a t i o n I m p r o v e m e n t P r o g r a m ; a n d W H E R E A S , a l l p r o p o s e d e x p e n d i t u r e s i n R i v e r s i d e C o u n t y a r e i n c o n f o r m i t y w i t h t h e R e g i o n a l T r a n s p o r t a t i o n P l a n ; a n d W H E R E A S , t h e l e v e l o f p a s s e n g e r f a r e s i s s u f f i c i e n t f o r c l a i m a n t s t o m e e t t h e f a r e r e v e n u e r e q u i r e m e n t s o f P u b l i c U t i l i t i e s C o d e S e c t i o n s 9 9 2 6 8 . 2 , 9 9 2 6 8 . 3 , 9 9 2 6 8 . 4 , 9 9 2 6 8 . 5 , a n d 9 9 2 6 8 . 9 , a s a p p l i c a b l e ; a n d W H E R E A S , t h e c l a i m a n t i s m a k i n g f u l l u s e o f f e d e r a l f u n d s a v a i l a b l e u n d e r t h e F e d e r a l T r a n s i t A c t ; a n d W H E R E A S , t h e s u m o f t h e c l a i m a n t ' s a l l o c a t i o n s f r o m t h e s t a t e t r a n s i t a s s i s t a n c e f u n d a n d f r o m t h e l o c a l t r a n s p o r t a t i o n f u n d d o e s n o t e x c e e d t h e a m o u n t t h e c l a i m a n t i s e l i g i b l e t o r e c e i v e d u r i n g t h e f i s c a l y e a r ; a n d W H E R E A S , p r i o r i t y c o n s i d e r a t i o n h a s b e e n g i v e n t o c l a i m s t o o f f s e t r e d u c t i o n s i n f e d e r a l o p e r a t i n g a s s i s t a n c e a n d t h e u n a n t i c i p a t e d i n c r e a s e i n t h e c o s t o f f u e l , t o e n h a n c e e x i s t i n g p u b l i c t r a n s p o r t a t i o n s e r v i c e s , a n d t o m e e t h i g h p r i o r i t y r e g i o n a l , c o u n t y w i d e , o r a r e a - w i d e p u b l i c t r a n s p o r t a t i o n n e e d s ; a n d W H E R E A S , t h e p u b l i c t r a n s i t o p e r a t o r s h a v e m a d e a r e a s o n a b l e e f f o r t t o i m p l e m e n t t h e p r o d u c t i v i t y i m p r o v e m e n t s r e c o m m e n d e d p u r s u a n t t o P u b l i c U t i l i t i e s C o d e S e c t i o n 9 9 2 4 4 ; a n d W H E R E A S , t h e c l a i m a n t i s n o t p r e c l u d e d b y a n y c o n t r a c t e n t e r e d i n t o o n o r a f t e r J u n e 2 8 , 1 9 7 9 , f r o m e m p l o y i n g p a r t - t i m e d r i v e r s o r c o n t r a c t i n g w i t h c o m m o n c a r r i e r s o r p e r s o n s o p e r a t i n g u n d e r a f r a n c h i s e o r l i c e n s e ; a n d W H E R E A S , o p e r a t o r s a r e i n f u l l c o m p l i a n c e w i t h S e c t i o n 1 8 0 8 1 . 1 o f t h e V e h i c l e C o d e , a s r e q u i r e d i n P u b l i c U t i l i t i e s C o d e S e c t i o n 9 9 2 5 1 . ATTACHMENT 1 NOW, THEREFORE BE IT RESOLVED by the Riverside County Transportation Commission to allocate State Transit Assistance Funds for FY 2010/11 as detailed in Attachment 3. This resolution shall take effect immediately upon its passage. APPROVED AND ADOPTED this 14`h day of July, 2010. Bob Buster, Chair Riverside County Transportation Commission ATTEST: Jennifer Harmon, Clerk of the Board Riverside County Transportation Commission 10 " R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N P R O G R A M O F P R O J E C T S F T A S E C T I O N 5 3 0 7 F Y 2 0 1 0 / 1 1 U R B A N I Z E D A R E A : R I V E R S I D E / S A N B E R N A R D I N O T o t a l A p p o r t i o n m e n t ( P r o j e c t e d b a s e d o n p r i o r y e a r a c t u a l s ) B u s R a i l T o t a l A T T A C H M E N T 2 P a g e 1 o f 4 A p p o r t i o n m e n t $ 1 0 , 3 2 5 , 4 4 3 $ 4 , 7 3 4 , 5 5 1 $ 1 5 , 0 5 9 , 9 9 4 L a p s i n g F u n d s ( p e r F T A ) C a r r y o v e r $ 5 8 0 9 , 7 9 7 $ 6 , 5 4 8 , 3 8 9 $ 1 2 , 3 5 8 , 1 8 6 T o t a l F u n d s A v a i l a b l e $ 1 6 , 1 3 5 , 2 4 0 $ 1 1 , 2 8 2 , 9 4 0 $ 2 7 , 4 1 8 , 1 8 0 L e s s C u r r e n t R e q u e s t s $ 1 0 , 3 4 8 , 1 3 9 $ 1 1 , 0 4 7 , 4 1 2 $ 2 1 , 3 9 5 , 5 5 1 B a l a n c e ( P r o j e c t e d ) $ 5 , 7 8 7 4 0 1 $ 2 3 5 , 5 2 8 $ 6 , 0 2 2 , 6 2 9 S u b A r e a A l l o c a t i o n R i v e r s i d e , C i t y o f R i v e r s i d e T r a n s i t A g e n c y R C T C ' s C o m m u t e r R a i l " N U M B E R P R O G R A M O F P R O J E C T S $ 2 4 0 , 0 0 0 $ 1 0 , 1 0 8 , 1 3 9 $ 1 1 , 0 4 7 , 4 1 2 T O T A L $ 2 1 , 3 9 5 , 5 5 1 F E D E R A L P R O J E C T D E S I G N A T E D T O T A L A M O U N T S H A R E T Y P E R E C I P I E N T R i v e r s i d e , C i t y o f 1 ) P r e v e n t i v e M a i n t e n a n c e $ 3 0 0 , 0 0 0 $ 2 4 0 , 0 0 0 C a p i t a V O p e r a t i n g S C A G T O T A L : C i t y o f R i v e r s i d e $ 3 0 0 , 0 0 0 $ 2 4 0 , 0 0 0 R i v e r s i d e T r a n s i t A g e n c y 2 ) C a p i t a l i z e d P r e v e n t i v e M a i n t e n a n c e $ 7 , 8 3 4 , 4 9 4 $ 6 , 2 6 7 , 5 9 5 C a p i t a l / O p e r a t i n g S C A G 3 ) C a p i t a l C o s t o f C o n t r a c t i n g $ 6 , 6 2 7 , 5 9 9 $ 3 , 8 4 0 , 5 4 4 C a p i t a l S C A G T O T A L : R i v e r s i d e T r a n s i t A g e n c y $ 1 4 , 4 6 2 , 0 9 3 $ 1 0 , 1 0 8 , 1 3 9 R C T C ' s C o m m u t e r R a i l 4 ) S C R R A R e h a b / R e n o v a t i o n - F Y 1 1 R C T C ' s s h a r e $ 1 , 2 2 4 , 7 0 0 $ 1 , 2 2 4 , 7 0 0 C a p i t a l S C A G 5 ) P e r r i s V a l l e y L i n e ( F Y 1 0 / 1 1 ) $ 1 0 , 0 0 0 , 0 0 0 $ 9 , 8 2 2 , 7 1 2 C a p i t a l S C A G T O T A L : R C T C R a i l $ 1 1 , 2 2 4 , 7 0 0 $ 1 1 , 0 4 7 , 4 1 2 T O T A L : G R A N D T O T A L $ 2 5 , 9 8 6 , 7 9 3 $ 2 1 , 3 9 5 , 5 5 1 A p p r o v e d : 7 / 1 4 / 1 0 ( P e n d i n g ) V A J C l e m e n t e 1 5 3 0 7 \ P O P \ R i v - S a n B e m a r d i n o 1 0 1 1 . x l s 1 1 ATTACHMENT 2 Page 2 of 4 RIVERSIDE COUNTY TRANSPORTATION COMMISSION PROGRAM OF PROJECTS FTA SECTION 5307 FY 20010/11 URBANIZED AREA: HEMET/SAN JACINTO RECIPIENT: RIVERSIDE TRANSIT AGENCY Total Apportionment (Projected based on prior year actuals) Apportionment $1,884,601 Carryover (estimate) $1,558,831 Transfer of Funds (CMAQ) $0 Total Funds Available $3,443,432 Less Current Requests $2,014,134 Balance (Projected) $1,429,298 TOTAL FEDERAL PROJECT DESIGNATED NUMBER PROGRAM OF PROJECTS AMOUNT SHARE TYPE RECIPIENT 1) Operating Assistance $ 23,108,099 $ 1,750,000 Operating Caltrans 2) Capitalized Tire Lease $ 260,907 $ 208,726 Capital Caltrans 3) Maintenance Equipment $ 64,260 $ 51,408 Capital Caltrans 4) Facility Maintenance $ 5,000 $ 4,000 Capital Caltrans TOTAL: $ 23,438,266 $ 2,014,134 Approved: 7/14/10 (pending) 12 V:1JCIemente153071POP\Hemet - San Jacinto UZA10-11.x1s ATTACHMENT 2 Page 3 of 4 RIVERSIDE COUNTY TRANSPORTATION COMMISSION PROGRAM OF PROJECTS FTA SECTION 5307 FY 2010/11 URBANIZED AREA: INDIO/CATHEDRAL CITY/PALM SPRINGS RECIPIENT: SUNLINE TRANSIT AGENCY Total Apportionment (Projected based on prior year actuals) Apportionment $3,533,405 Lapsing Funds (per FTA) $o Carryover $0 Transfer of Funds (CMAQ) $o Total Funds Available $3,533,405 Less Current Requests $2,164,804 Balance (Projected) $1,368,601 TOTAL FEDERAL PROJECT DESIGNATED NUMBER PROGRAM OF PROJECTS AMOUNT SHARE TYPE RECIPIENT 1) Operating Assistance $19,449,379 $924,804 Operating SCAG 2) Bus Rehabilitation $300,000 $240,000 Capital SCAG 3) Transit Enhancement $300,000 $240,000 Capital SCAG 4) Facility Improvement $450,000 $360,000 Capital SCAG 5) Office Furniture $300,000 $240,000 Capital SCAG 6) Maintenance Tools & Equipment $200,000 $160,000 Capital SCAG TOTAL: $20,999,379 $2,164,804 Approved: 7/14/10 (pending) V:1JCIemente153071POP11ndio-Coachella-P Springs 10-11.xls 13 ATTACHMENT Page 4 of 4 RIVERSIDE COUNTY TRANSPORTATION COMMISSION PROGRAM OF PROJECTS FTA SECTION 5307 FY 2010/11 URBANIZED AREA: TEMECULA/MURRIETA RECIPIENT: RIVERSIDE TRANSIT AGENCY Total Apportionment (Projected based on prior year actuals) Apportionment Lapsing Funds (per FTA) Carryover Transfer of Funds (CMAQ) Total Funds Available Less Current Requests Balance (Projected) NUMBER PROGRAM OF PROJECTS 1) Capital Cost of Contracting 2) 3) TOTAL: Revenue Vehicles Type VII buses Capital Maintenance Spares Approved: 7/14/10 (pending) TOTAL AMOUNT $ 6,627,599 $ 968,750 $ 1,666,147 $9,262,496 $3,096,309 $0 $3,569,454 $0 $6,665,763 $3,569,453 $3,096,310 FEDERAL PROJECT DESIGNATED SHARE TYPE RECIPIENT $ 1,461,535 Operating $ 775,000 Capital $ 1,332,918 Capital $3,569,453 SCAG SCAG SCAG V:1JCIemenle15307\PORTemecula-Murrieta 10-11.xis 14 9l • 040Z/94/9 spellysuowoollV V1S 9 dll l I.-01.0Z Ag 'slsoo 6414eiado 10 a/egs 9,01023 s! 006'999' 44$'Iunowe %LITj0'd12iS 10 b alQel lad W 0'E4$ le palewgsa aie slsoo 64eiado s,pea Jalnwwo0 , $ 990`646`64 $ 990`646`64 $ 6L1.'8ZS'SL $ 4£Z`L VSZL $ 495`£9L`4E $ OLWELL`06 $ -m1013aIM A1Nn00 • 894'149 8941.L9 906'61.4 "Intl.'" 900`ZZ£ 69£'6Z8 A311VA 30N3A OlVd :1tl101 990' LL9 994'4L9 906'62.4 41£' 494' 4 900'ZZ£ 69V6Z8 Aoua6V l!suel1 AalleA °PGA oled L09174£'6 LOW44£'6 986'846`0Z 96L'££Z`OE 944`606`8 6L£bZ£`4Z A311VA V1131-13V00 :1V101 - 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Z9S'604'L %09'LZ 059'Pa L $ Oa099't $ Jee0peul (8lewlis3) (uellee(ad) Jeeapoul 0LI60Ad LL/OL AA Y 01460Ad Lt/OL AA % dIHSa301a b1N3WHOV11V • 1600 1V101 %L024- 000'009 %£S'9S- 000'0$9 ZSS'Lb£ %99'L- 4S4'90 L'Z Z99'69Z %98'4- 00996 L'L 11ea :A4uno0 walsaM ens :AtunoO Luolsam Aoua6V 8sue�1 apislanla SODIAlaS leloads eplsJanla LEL'446' L euoioO 4o Apo 000'017L' L tuownea9 0) 40 $ £69'NE $ %90'9- 099'4LZ'L $ L£S'L6 L'L $ 6wuue84o Al10 +oa0poul 01460Ad 4410LAA % J3e0poul 0L/60A4 LL/O LAA nelLY 1N3WNOIluOddV/AONSOV o� 1V11dV0 01‘111Va3d0 suoi eyxid diyslapib pue eisoo !elide° g',unwed() 04/6003 Ad'8 44/040Z Ad ;o uospedwoo • • y1111°111- Allocation of Rift -ding for ' Rfverside County= The Economics of Public Transit Nobody likes transit cuts: In fact, the overwhelming majority of Americans want more public transportation, not less. In a poll conducted by Transportation for America, 82 percent of voters said 'the United States would benefit from an expanded and improved transportation system, such as rail and buses°. The reality: Agencies all across the country including many of our partner agencies in Southem California have had to implement cost reductions, slash service, freeze wages and lay off workers. The Economics of Public Transit The Economics of Public Transit in Riverside County LTF 2008 $62.9 million 2009 $56.1 million 2010 $49.1 million STA 2008 $4.9 million 2009 $0 2010 $0"• i Measure A 2008 $131.6 million 2009 $122.6 million 2010 $106.0 million • STA Originally programmed at $22.9 million for 2008 " $12.9 million in new STA released by Slate 6130/2010 1 Riverside County SRTP and Funding Allocation Process • Short Range Transit Plan process started For FY 2010/2011, RCTC guidance for SRTP preparation requested all operators to implement a 15% reduction in draws against available revenues. Final Step in SRTP and Funding Allocation Process 1 • Staff recommendation of approval for the 2010 transit funding allocation i Operator Actions Taken During SRTP Development ►?CTC • Fare increases, staff reductions, streamlining of administrative expenses, elimination of under -performing service, reduction of service hours, revision of DAR and use of carryover funds • Service now conformed to revenue Draw reduction goal achieved: 15.1 % LTF reserve used: 2% On -going Financial Management • Reserve policy in place approved by Commission 1/2005 • STA to be revisited: $12.8 million recently authorized for Riverside County • New Call for projects for FY 2011-13 to Commission for approval fall of 2010 2 AGENDA ITEM 8A RIVERSIDE COUNTY TRANSPORTATION COMMISSION DATE: July 14, 2010 TO: Riverside County Transportation Commission FROM: Audit Ad Hoc Committee Theresia Trevino, Chief Financial Officer THROUGH: Anne Mayer, Executive Director SUBJECT: Close -Out Audit AUDIT AD HOC COMMITTEE AND STAFF RECOMMENDATION: This item is for the Commission to receive and file the Compliance with Requirements Applicable to the State Transportation Improvement Program (STIP) Planning, Programming and Monitoring (PPM) Program, Project No. PPM 07-6054(044) report. BACKGROUND INFORMATION: The Commission is a recipient of STIP PPM funds and submitted reimbursement claims totaling $1.947 million under Project No. PPM 07-6054(044). A close-out audit of this project is required and was completed in May 2010. The auditor examined management's assertion regarding the reimbursement claims submitted, charges for costs incurred, and compliance and opined that the assertion is fairly stated in all material respects based on the requirements of the State of California Department of Transportation. Attachment: Compliance with Requirements Applicable to the STIP PPM Program, Project No. PPM 07-6054(044) Agenda Item 8A 18 i RIVERSIDE COUNTY TRANSPORTATION COMMISSION Independent Auditor's Report on Compliance with Requirements Applicable to the State Transportation Improvement Program Planning, Programming and Monitoring Program Fund Transfer Agreement and Project No. PPM07-6054(044) For the Period July 20, 2006 through November 2, 2009 Submitted by TCBA THOMPSON, COBB, BAZILIO & ASSOCIATES,PC 21250 Hawthorne Blvd. Suite 150 Torrance, CA 90503 rH 310.792.4640 . Fx 310.792.4331 . www.tcba.com Headquarters: Washington, DC 19 " " " T a b l e o f C o n t e n t s P a g e I n d e p e n d e n t A u d i t o r ' s R e p o r t o n C o m p l i a n c e w i t h R e q u i r e m e n t s A p p l i c a b l e t o t h e S t a t e T r a n s p o r t a t i o n I m p r o v e m e n t P r o g r a m P l a n n i n g , P r o g r a m m i n g , a n d M o n i t o r i n g P r o g r a m I R e p o r t o f R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n ' s C o m p l i a n c e D e c l a r a t i o n s i n C o n n e c t i o n w i t h t h e S t a t e T r a n s p o r t a t i o n I m p r o v e m e n t P r o g r a m P l a n n i n g , P r o g r a m m i n g a n d M o n i t o r i n g P r o g r a m S t a t e A g r e e m e n t a n d P r o j e c t N o . P P M 0 7 - 6 0 5 4 ( 0 4 4 ) 3 2 0 THOMPSON, COBB, BAZIIJO ES ASSOCIATES, PC CERTIRED PUBUC ACCOUNTANTS AND MANAGEMENT„SYSTEMS, AND FINANCIAL CONSULTANTS 21250 HAWTHORNE BOULEVARD 1101 15'" STREET. N.W. 100 PEARL STREET SUITE 150 SUITE 400 14'^ FLOOR TORRANCE, CA 90503 WASHINGTON, DC 20005 HARTFORD, CT 06103 310-792-4640 202-737-3300 203-249-7246 FAX: 310-792-4331 FAX: 202-737-2694 FAX: 203-275-6504 INDEPENDENT AUDITOR'S REPORT ON COMPLIANCE WITH REQUIREMENTS APPLICABLE TO THE STATE TRANSPORTATION IMPROVEMENT PROGRAM PLANNING, PROGRAMMING AND MONITORING PROGRAM To the Board of Commissioners Riverside County Transportation Commission Riverside, California We have examined management's assertion included in the Final Project Expenditure Report dated November 2, 2009, that the Riverside County Transportation Commission (RCTC) complied with the following requirements, which are identified in the Master Agreement Administering Agency -State Agreement for State Funded Projects and Fund Transfer Agreement and Project No. PPM07-6054 (044): • The reimbursement claims for the STIP Planning, Programming and Monitoring Program submitted to the State of California Department of Transportation were for expenditures for transportation purposes used in conformance with Article XIX of the California State Constitution. • The reimbursement claims submitted to the State of California Department of Transportation for the State Transportation Improvement Program (STIP) Planning, Programming and Monitoring Program (Project No. PPM07-6054(044) is supported by payment vouchers and cancelled checks. • The charges for the various categories of eligible project costs incurred by RCTC are fully supported and recorded in RCTC's accounting records accordance with generally accepted accounting principles. • RCTC complied with CFR 49 Part 18, Uniform Administrative Requirements for State and Local Governments, and OMB A-87, Cost Principles for State and Local Governments. Such requirements are applicable to RCTC's reimbursement claim to the State Transportation Improvement Program, which are identified in the Final Project Expenditure Report dated November 2, 2009, for the period July 20, 2006 through November 2, 2009. Management of RCTC is responsible for the assertion. Our responsibility is to express an opinion on the assertion based on our examination. 21 Our examination was conducted in accordance with the attestation standards established by the American Institute of Certified Public Accountants and, accordingly, included examining, on a test basis, evidence supporting management's assertion about RCTC's compliance with those requirements and performing such other procedures as we considered necessary in the circumstances. We believe our examination provides a basis for our opinion. In our opinion, management's assertion referred to above is fairly stated, in all material respects, based on the requirements established by the State of California Department of Transportation. The report is intended solely for the information and use of RCTC and the State of California Department of Transportation and is not intended to be and should not be used by anyone other than these specified parties. liompaoa, eauf, Sazitio t% QOdoe nigd, YC Torrance, CA April 22, 2010 • • • 22 " " 4 0 8 0 L e m o n S t r e e t , 3 r d F l o o r " R i v e r s i d e , C A M a i l i n g A d d r e s s : P . O . B o x 1 2 0 0 8 " R i v e r s i d e , C A 9 2 5 0 2 - 2 2 0 8 ( 9 5 1 ) 7 8 7 - 7 1 4 1 " F o x ( 9 5 1 ) 7 8 7 - 7 9 2 0 " w w w . r c t c . o r g R i v e r s i d e C a n n y T r a n s p i r l W i o n ( o m i s s i o n A p r i l 2 2 , 2 0 1 0 R E P O R T O F R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N ' S C O M P L I A N C E D E C L A R A T I O N S I N C O N N E C T I O N W I T H T H E S T A T E T R A N S P O R T A T I O N I M P R O V E M E N T P R O G R A M P L A N N I N G , P R O G R A M M I N G A N D M O N I T O R I N G P R O G R A M S T A T E A G R E E M E N T A N D P R O J E C T N O . P P M 0 7 - 6 0 5 4 ( 0 4 4 ) I n c o n n e c t i o n w i t h t h e S t a t e T r a n s p o r t a t i o n I m p r o v e m e n t P r o g r a m ( S T I P ) P l a n n i n g , P r o g r a m m i n g , a n d M o n i t o r i n g P r o g r a m F u n d T r a n s f e r A g r e e m e n t a n d P r o j e c t N o . P P M 0 7 - 6 0 5 4 ( 0 4 4 ) , w e m a k e t h e f o l l o w i n g c o m p l i a n c e d e c l a r a t i o n s : I . R e i m b u r s e m e n t c l a i m s f o r t h e S T I P P l a n n i n g , P r o g r a m m i n g a n d M o n i t o r i n g P r o g r a m s u b m i t t e d t o t h e S t a t e o f C a l i f o r n i a D e p a r t m e n t o f T r a n s p o r t a t i o n w e r e f o r e x p e n d i t u r e s f o r t r a n s p o r t a t i o n p u r p o s e s u s e d i n c o n f o r m a n c e w i t h A r t i c l e X I X o f t h e C a l i f o r n i a S t a t e C o n s t i t u t i o n . 2 . T h e r e i m b u r s e m e n t c l a i m s s u b m i t t e d t o t h e S t a t e o f C a l i f o r n i a D e p a r t m e n t o f T r a n s p o r t a t i o n f o r t h e S t a t e T r a n s p o r t a t i o n I m p r o v e m e n t P r o g r a m ( S T I P ) P l a n n i n g , P r o g r a m m i n g a n d M o n i t o r i n g P r o g r a m ( P r o j e c t N o . P P M 0 7 - 6 0 5 4 ( 0 4 4 ) a r e s u p p o r t e d b y p a y m e n t v o u c h e r s a n d c a n c e l l e d c h e c k s . 3 . T h e c h a r g e s f o r t h e v a r i o u s c a t e g o r i e s o f e l i g i b l e p r o j e c t c o s t s i n c u r r e d b y R C T C a r e f u l l y s u p p o r t e d a n d r e c o r d e d i n R C T C ' s a c c o u n t i n g r e c o r d s i n a c c o r d a n c e w i t h g e n e r a l l y a c c e p t e d a c c o u n t i n g p r i n c i p l e s . 4 . R C T C c o m p l i e d w i t h C F R 4 9 P a r t 1 8 , U n i f o r m A d m i n i s t r a t i v e R e q u i r e m e n t s f o r S t a t e a n d L o c a l G o v e r m n e n t s , a n d O M B A - 8 7 , C o s t P r i n c i p l e s f o r S t a t e a n d L o c a l G o v e r n m e n t s . 5 . W e h a v e c o m p l i e d w i t h a l l r e p o r t i n g a n d t i m i n g c o n d i t i o n s r e q u i r e d b y t h e a f o r e m e n t i o n e d a g r e e m e n t . 6 . T o t a l r e i m b u r s a b l e c o s t s a s s o c i a t e d w i t h t h e S T I P , P l a n n i n g , P r o g r a m m i n g a n d M o n i t o r i n g P r o g r a m f o r t h e c o n t r a c t p e r i o d J u l y 2 0 , 2 0 0 6 t h r o u g h N o v e m b e r 2 , 2 0 0 9 w a s $ 1 , 9 4 7 , 0 0 0 . A n n e M a y e r , E x e u t i v e D i r e c t o r T h e r e s i a T r e v i n o , C h i e f F i n a n c i a l O f f i c e r 2 3 " A G E N D A I T E M 8 B " " R I V E R S / D E C O U N T Y T R A N S P O R T A T I O N C O M M / S S / O N D A T E : J u l y 1 4 , 2 0 1 0 T O : R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n F R O M : A u d i t A d H o c C o m m i t t e e T h e r e s i a T r e v i n o , C h i e f F i n a n c i a l O f f i c e r T H R O U G H : A n n e M a y e r , E x e c u t i v e D i r e c t o r S U B J E C T : F i s c a l Y e a r 2 0 0 8 / 0 9 T r a n s p o r t a t i o n D e v e l o p m e n t A c t a n d M e a s u r e A A u d i t R e s u l t s A U D I T A D H O C C O M M I T T E E A N D S T A F F R E C O M M E N D A T I O N : T h i s i t e m i s f o r t h e C o m m i s s i o n t o r e c e i v e a n d f i l e t h e T r a n s p o r t a t i o n D e v e l o p m e n t A c t ( T D A ) a n d M e a s u r e A a u d i t r e s u l t s r e p o r t f o r t h e F Y 2 0 0 8 / 0 9 . B A C K G R O U N D I N F O R M A T I O N : I n M a r c h 2 0 0 8 , M a y e r H o f f m a n M c C a n n P . C . ( M H M ) w a s s e l e c t e d t o p e r f o r m t h e f i n a n c i a l a n d c o m p l i a n c e a u d i t s a n d a g r e e d - u p o n p r o c e d u r e s ( a u d i t s ) o f R i v e r s i d e C o u n t y ' s T D A c l a i m a n t s a n d M e a s u r e A r e c i p i e n t s , r e s p e c t i v e l y , e x c e p t f o r t h e R i v e r s i d e T r a n s i t A g e n c y ( R T A ) a n d t h e c i t y o f B e a u m o n t . T h e R T A a n d t h e c i t y o f B e a u m o n t a u d i t s w e r e c o m p l e t e d b y t h e i r a u d i t o r s . T h e F Y 2 0 0 8 / 0 9 a u d i t s r e p r e s e n t t h e s e c o n d y e a r t h a t M H M p e r f o r m e d t h e s e a u d i t s f o r t h e C o m m i s s i o n . T h e f i r m a n d t h e o t h e r a g e n c i e s ' a u d i t o r s h a v e c o m p l e t e d t h e a u d i t s o f a n d i s s u e d t h e a u d i t r e p o r t s f o r t h e l o c a l g o v e r n m e n t s , n o n - p r o f i t a g e n c i e s , a n d t r a n s i t a g e n c i e s t h a t r e c e i v e d T D A a n d M e a s u r e A f u n d s , w i t h t h e e x c e p t i o n o f C o u r t A p p o i n t e d S p e c i a l A d v o c a t e ( C A S A ) f o r R i v e r s i d e C o u n t y . T h e f o l l o w i n g i s a s u m m a r y o f t h e a u d i t s p e r f o r m e d : T D A A r t i c l e 3 ( b i c y c l e a n d p e d e s t r i a n p r o j e c t s ) T D A A r t i c l e 4 ( t r a n s i t ) T D A A r t i c l e 8 ( l o c a l s t r e e t s a n d r o a d s ) M e a s u r e A s p e c i a l i z e d t r a n s i t M e a s u r e A l o c a l s t r e e t s a n d r o a d s A g e n d a I t e m 8 B T o t a l T y p e o f P r o c e d u r e P e r f o r m e d F i n a n c i a l a n d c o m p l i a n c e a u d i t F i n a n c i a l a n d c o m p l i a n c e a u d i t F i n a n c i a l a n d c o m p l i a n c e a u d i t A g r e e d - u p o n p r o c e d u r e s A g r e e d - u p o n p r o c e d u r e s 1 2 2 1 2 2 5 2 4 Following are highlights of the results of these audits: TDA Article 3 (Bicycle and Pedestrian Projects) • Seven jurisdictions have deferred revenues and/or fund balances aggregating $1,134,850 that have not been expended. Since funding is based on approved projects, remaining funds related to completed projects should be returned to the Commission. TDA Article 4 (Transit) • All transit operators met the fare ratio requirement. TDA Article 8 (Local Streets and Roads) • The city of Blythe has a fund deficit of $825,554, although Article 8 funds have not been approved since 2007, as funds are used primarily for transit needs. Measure A Specialized Transit • Questioned costs approximating $57,000 for amounts not included in the Measure A specialized transit funding agreements for five agencies were identified, and overhead costs for one agency exceeded the Commission's policy limit of 8% of revenues by approximately $5,000. • Five agencies did not meet the required cash or in -kind match requirement; two agencies did not meet their service goals. • For the third quarter performance reports tested, four agencies had minor discrepancies when comparing reported amounts to source documents. • Four agencies had excess funds approximating $38,377 as of June 30, 2009 that the Commission may request be returned. • Allocations for salaries and other expenditures for two Measure A specialized transit agencies are based on estimates or budgeted amounts rather than actual time spent. Measure A Local Streets and Roads • Three cities have fund balances that are in excess of three years of revenues. The Commission policy suggests that such amounts should not exceed three years. • Three cities have recorded indirect cost or overhead expenditures, which are not identified on the five-year capital improvement plans (CIP) approved by the Commission. The overhead charged by one of these cities is approximately 87% of the Measure A revenues it received and is considered excessive. Measure A policies require that expenditures should be identified on the five-year CIP and that overhead should not exceed 8% of revenues. Agenda Item 813 • 25 " S t a f f i s i n t h e p r o c e s s o f r e s o l v i n g t h e s i g n i f i c a n t m a t t e r s a n d c o n s i d e r i n g c h a n g e s t o p o l i c i e s a n d / o r p r o g r a m a d m i n i s t r a t i o n . A t t a c h e d i s t h e s u m m a r y o f t r a n s p o r t a t i o n a n d t r a n s i t f u n d o p e r a t i o n s a n d r e l a t e d a u d i t r e s u l t s f o r t h e v a r i o u s t y p e s o f T D A ( A r t i c l e s 3 , 4 , a n d 8 ) a n d M e a s u r e A ( s p e c i a l i z e d t r a n s i t a n d l o c a l s t r e e t s a n d r o a d s ) f u n d i n g . E a c h s c h e d u l e p r o v i d e s i n f o r m a t i o n f o r e a c h c l a i m a n t a n d r e c i p i e n t r e g a r d i n g t h e r e v e n u e s , e x p e n d i t u r e s / e x p e n s e s , a n d c h a n g e i n f u n d b a l a n c e / n e t a s s e t s f o r t h e y e a r e n d e d J u n e 3 0 , 2 0 0 9 , a n d o t h e r f i n a n c i a l a n d c o m p l i a n c e i n f o r m a t i o n . 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Jayp•V'Anew WO's/1%i t tc9'st9 s B NUS t LOB'LLZ'L t 014999'L t 009'az'L it 07roc S B9t'LOC C C99'9M t 61.Z'660'L $ yONOOOw l'OOPsaWs 14uawweno6J IN :omunea L99'/9 9rtk:;l..c/t�l opueylt 1 eLpN9 1 toAmnoo I 00944 OLpull 60049 Wed 9Ci090'L • PNOON gnP81 Pemsl PBnsPI. penal 'penal'. eese0 Wid OIPuI til$M ueglq seu05 a9ayae00 (HO E $ 600Z'OC soar Poem AIM oppeyo5 epeofd put ela+lf ONO1 V Nneee61 AGENDA ITEM 8C • RIVERSIDE COUNTY TRANSPORTATION COMMISSION DATE: July 14, 2010 TO: Riverside County Transportation Commission FROM: Michael Blomquist, Toll Program Director THROUGH: Anne Mayer, Executive Director SUBJECT: State Route 91 Traffic and Revenue Study Services WESTERN RIVERS/DE COUNTY PROGRAMS AND PROJECTS COMMITTEE AND STAFF RECOMMENDATION: This item is for the Commission to: 1) Award Agreement No. 10-31-099-00 to Stantec Consulting Services, Inc. (Stantec) to provide an investment -grade traffic and revenue study for the SR-91 Corridor Improvement Project (SR-91 CIP) for a base amount of $896,252, plus a contingency amount of $89,625, for a total not to exceed amount of $985,877; 2) Authorize the Chair, pursuant to legal counsel review, to execute the agreement on behalf of the Commission; and 3) Authorize the Executive Director to approve contingency work as may be required for the study. BACKGROUND INFORMATION: Project Description The SR-91 CIP is part of the Commission's 2009 Measure A 10-Year Western Riverside County Highway Delivery Plan. The SR-91 CIP will widen the SR-91 freeway with a new general purpose lane from Interstate 15 to the Orange County line, improve ramps and local interchanges throughout Corona, reconstruct portions of the 91 /15 interchange, and extend the existing 91 Express Lanes (toll lanes) into Riverside County. Project Funding Plan The proposed project funding plan consists of three key sources: 1) Toff Revenue Bonds — Issued by the Commission and repaid from net project revenues. Agenda Item 8C 33 2) Transportation Infrastructure Finance and innovation Act (TIFIA) Loan Subordinate debt to the toll revenue bonds to be obtained by the. Commission from the US Department of Transportation TIFIA program and repaid from net project revenues. 3) Commission Contribution - To be funded by the Commission from Measure A sales tax revenues, both on a pay-as-you-go basis and through sales tax revenue commercial paper and bonds issued by the Commission. The successful sale of toll revenue bonds is dependent on many factors including the preparation of an investment -grade traffic and revenue study. This traffic and revenue study needs to support the Commission obtaining investment -grade toll revenue bond ratings from Moody's Investor Service (Moody's), Fitch Ratings (Fitch), and/or Standard & Poor's Rating Service (S+P). Selection Process A request for qualifications (RFQ) for consulting services associated with the development of an investment -grade traffic and revenue study for the SR-91 CIP was issued on May 11, 2010. The selection criteria in the RFQ included the following requirements and/or considerations: • Recent traffic and revenue studies that supported a bond issuer who has successfully obtained investment -grade toll revenue bond ratings from Moody's, Fitch, and/or S + P; • Recent experience in preparing traffic and revenue studies for high -occupancy toll or express lane projects; • Experience in performing work on projects of similar scope and complexity; • Knowledge of the SR-91 corridor, regional traffic, and adjoining toll facilities; and • Qualifications of project staff, particularly the project manager. Four firms - Halcrow Consulting, Inc. (Ha[crow), Hatch Mott MacDonald, Stantec, and Wilbur Smith Associates - submitted statements of qualification (SOQ) prior to the June 3 deadline. An evaluation committee was appointed to review the SOQs received and to conduct firm interviews. The evaluation committee members included representatives from Commission staff and the SR-91 CIP's financial advisory and project construction management teams. Based on the committee's evaluation of written SOQ submittals, and pursuant to the terms of the RFQ, the committee shortlisted two of the four offerors and invited those firms to the interview portion of the evaluation and selection process. The short listed firms included: Agenda Item 8C • 34 " " S t a n t e c " W i l b u r S m i t h A s s o c i a t e s I n t e r v i e w s w i t h t h e s h o r t l i s t e d f i r m s w e r e c o n d u c t e d o n J u n e 1 6 , a n d a f t e r f i n a l s c o r i n g b y t h e e v a l u a t i o n c o m m i t t e e , S t a n t e c w a s d e t e r m i n e d t o b e t h e m o s t q u a l i f i e d a m o n g t h e t w o f i r m s . T h e t h i r d a n d f o u r t h m o s t q u a l i f i e d f i r m s w e r e H a l c r o w a n d H a t c h M o t t M a c D o n a l d , r e s p e c t i v e l y . C o m m i s s i o n s t a f f r e q u e s t e d t h a t S t a n t e c s u b m i t a c o s t p r o p o s a l a n d s c h e d u l e o f s e r v i c e s f o r t h e d e v e l o p m e n t o f a n i n v e s t m e n t - g r a d e t r a f f i c a n d r e v e n u e s t u d y f o r t h e S R - 9 1 C I P . S u b s e q u e n t l y , s t a f f n e g o t i a t e d t h e s c o p e ( i n c l u d i n g t h e a p p r o p r i a t e l e v e l o f e f f o r t , l a b o r c a t e g o r i e s / m i x , e t c . ) , c o s t , a n d s c h e d u l e p r o p o s a l s u b m i t t e d b y S t a n t e c f o r t h e p r o j e c t s e r v i c e s a n d e s t a b l i s h e d a f a i r a n d r e a s o n a b l e p r i c e . A p r e - a w a r d a u d i t o f S t a n t e c ' s p a y r o l l , i n c l u d i n g o v e r h e a d r a t e s , a n d a c c o u n t i n g s y s t e m b y a c e r t i f i e d p u b l i c a c c o u n t i n g f i r m r e t a i n e d b y t h e C o m m i s s i o n i s c u r r e n t l y u n d e r w a y . T h e f i n a l n e g o t i a t e d p r i c e w a s d e e m e d f a i r a n d r e a s o n a b l e b a s e d o n a n i n d e p e n d e n t c o s t e s t i m a t e , a n d a c o s t / p r i c e a n a l y s i s c o n d u c t e d b y s t a f f , i n c l u d i n g c o m p a r i s o n w i t h s i m i l a r s e r v i c e s p r o v i d e d b y f i r m s o n p r o j e c t s o f a c o m p a r a b l e s i z e a n d c o m p l e x i t y . P r i c e n e g o t i a t i o n s r e s u l t e d i n a c o n t r a c t a m o u n t o f $ 8 9 6 , 2 5 2 . T h i s r e f l e c t s a n i n e p e r c e n t c o s t s a v i n g s f r o m i t s i n i t i a l p r o p o s a l . B a s e d o n t h e f o r e g o i n g e v a l u a t i o n p r o c e s s , s t a f f r e c o m m e n d s S t a n t e c f o r c o n t r a c t a w a r d a s i t w a s d e t e r m i n e d t o b e t h e h i g h e s t r a n k e d f i r m a m o n g t h e f o u r p a r t i c i p a t i n g f i r m s . S i g n i f i c a n t f a c t o r s f o r t h i s r a t i n g i n c l u d e t h e f o l l o w i n g : " E x t e n s i v e a n d r e c e n t e x p e r i e n c e p e r f o r m i n g t r a f f i c a n d r e v e n u e s t u d i e s b o t h w i t h i n t h e S R - 9 1 c o r r i d o r a n d t h r o u g h o u t S o u t h e r n C a l i f o r n i a f o r t h e C o m m i s s i o n , O r a n g e C o u n t y T r a n s p o r t a t i o n A u t h o r i t y , T r a n s p o r t a t i o n C o r r i d o r A g e n c i e s , S a n B e r n a r d i n o A s s o c i a t e d G o v e r n m e n t s , a n d S a n D i e g o A s s o c i a t i o n o f G o v e r n m e n t s ; " T o p n o t c h , n a t i o n a l l y - r e c o g n i z e d e x p e r t s i n p e r f o r m i n g i n v e s t m e n t - g r a d e t r a f f i c a n d r e v e n u e s t u d i e s a n d e x p e r i e n c e d t e a m a s s e m b l e d t o p r o v i d e s e r v i c e s ; " S u p e r i o r u n d e r s t a n d i n g o f t h e C o m m i s s i o n ' s t o l l p r o g r a m , r e c e n t t r a f f i c a n d r e v e n u e s t u d y e f f o r t s f o r t h e C o m m i s s i o n , a n d . S R - 9 1 c o r r i d o r d e m a n d a n d p r i c i n g r e l a t i o n s h i p s ; a n d " A b i l i t y t o i m m e d i a t e l y c o m m e n c e i n v e s t m e n t - g r a d e w o r k b y u s i n g _ t h e e x i s t i n g t r a f f i c a n d r e v e n u e m o d e l a n d r e l a t e d e x p e r i e n c e a n d r e s o u r c e s . U t i l i z i n g e x i s t i n g t r a f f i c a n d r e v e n u e m o d e l s t h a t S t a n t e c h a s d e v e l o p e d f o r o t h e r a g e n c i e s w o u l d m i n i m i z e d a t a c o l l e c t i o n c o s t s , a n d c o u l d p o t e n t i a l l y r e s u l t i n o v e r a l l c o s t s a v i n g s t o t h e C o m m i s s i o n . A g e n d a I t e m 8 C 3 5 Staff Recommendation Staff recommends the Commission award Agreement No. 10-31-099-00 to Stantec to provide an investment -grade traffic and revenue study for the SR-91 CIP. Further, staff recommends that the Commission authorize the Chair, pursuant to legal counsel review, to execute the agreement on behalf of the Commission and authorize the Executive Director to approve contingency work up to the total not to exceed amount as required for the agreement. Final contract amount may change pending results of the pre -award audit. Financial Information In Fiscal Year Budget: Yes Year: FY 2010/11 Amount: $ 985,877 Source of Funds: Commercial Paper and 2009 Measure A Budget Adjustment: No GL/Project Accounting No.: 003028 65520 00009 0000 262 31 65520 Fiscal Procedures Approved: \ 40 Date: 06/16/10 Attachments: 1) Exhibit A - Scope of Work 2) Exhibit B - Schedule 3) Exhibit C - Cost of Services Agenda Item 8C • 36 ATTACHMENT 1 EXHIBIT "A" SCOPE OF WORK WORK ELEMENTS The services requested by the Commission are itemized below and are intended to generally define work elements but are not intended to constitute a comprehensive list of all work items to be performed. Services to be performed by the Consultant shall include, but not be limited to, the following work tasks: Evaluate Data Analysis; Data Collection and Field Investigations The Consultant will compile and review all existing information regarding traffic levels and counts on State Route 91 in Riverside County (The Project) and other relevant highways and roadways affecting traffic in the SR-91 vicinity, including existing toll facilities in the region. The Consultant will collect and review all existing information regarding traffic levels and counts on State Route 91 in Riverside County (the Project) and other relevant highways and roadways that affect traffic patterns in the SR-91 corridor, including existing toll facilities in the region from RCTC, Riverside County Planning and Engineering Departments, local jurisdictions, and other agencies that may have collected recent and relevant traffic counts. By comparing the existing traffic information to the Project's data needs, the Consultant will identify additional data collection needs. The data will be compiled and analyzed for consistency and completeness; to identify any discrepancies in the data and identifying geographic areas (i.e., locations along the corridor) where the additional data will provide the most benefit. The Consultant will observe network and traffic patterns and trip characteristics and collect or supplement available travel time data on key links within the network. Field investigations will include origin/destination studies, stated preference surveys, license plate surveys and other data collection as necessary. Additionally the Consultant will obtain and incorporate the most current information available regarding future highway improvement programs for the Project and the corridor, including state and local plans. The Consultant will undertake the necessary supplemental traffic counting program in the SR-91 corridor, resulting in a more focused and accurate picture of traffic in the corridor. Permanent count stations (PeMS and Ca!trans Census stations) do not provide vehicle class information, which is crucial for toll revenue forecasting, and the speed data from the permanent count stations has not been calibrated or validated (not proven reliable). As such, it is expected that this Project will require additional mainline freeway traffic counts for the eastbound and westbound general purpose lanes at up to six different locations on SR-91 in Riverside County (and possibly on 1-15 or other relevant freeways). It should be noted that it is of particularly useful in HOT lanes studies to undertake a "radar" traffic count, which provides an accurate traffic count across multiple lanes, with the associated speed of traffic at the time of the count, and categorize the vehicles by vehicle length. The radar vehicle counts (categorized by vehicle -lengths) and speeds are available for each individual traffic lane in 5-minute intervals. This facilitates the evaluation of the relative volume/capacity ratios as well as revealing the times when demand 37 " " T h e f o l l o w i n g m a j o r t a s k s w i l l b e p e r f o r m e d t o s u p p o r t t h e t r a f f i c a n d r e v e n u e f o r e c a s t i n g e f f o r t : 1 . D a t a A s s e s s m e n t . D e m o g r a p h i c f o r e c a s t i n p u t s a d o p t e d b y R C T C , O C T A , S C A G a n d o t h e r r e g i o n a l f o r e c a s t i n g s e r v i c e s ( b o t h p r i v a t e a n d p u b l i c ) h a v e d i f f e r e n t t i m e p e r i o d s a n d . s o c i o e c o n o m i c f a c t o r d i s a g g r e g a t i o n . A s s u c h , d e m o g r a p h i c i n p u t s s p e c i f i c a t i o n s w i l l b e e s t a b l i s h e d , a l l e x i s t i n g d a t a r e s o u r c e s w i l l b e r e v i e w e d a n d a s s i m i l a t e d i n c l u d i n g t h e f o r e c a s t i n g w o r k u s e d i n p r i o r f i n a n c i n g s f o r r e l a t e d f a c i l i t i e s , a " m a j o r i s s u e " l i s t w i l l b e p r e p a r e d t o p r o v i d e f o c u s t o d a t a g a t h e r i n g , a n a l y s i s a n d f o r e c a s t i n g , a n d a n i n t e r v i e w l i s t w i l l b e p r e p a r e d . T h e f o r e g o i n g w i l l b e a c c o m p l i s h e d t h r o u g h c l i e n t m e e t i n g s , f i e l d t r i p s a n d r e v i e w o f d o c u m e n t a t i o n . 2 . A f o r e c a s t f o r a b a s e y e a r a n d d e s i g n a t e d f u t u r e y e a r s f o r t h e r e g i o n a n d f o r t h e s u b - r e g i o n a l p l a n n i n g a r e a s w i l l b e p r e p a r e d . T h e f o r e c a s t w i l l c o n s i d e r o f f i c i a l l y a d o p t e d f o r e c a s t s ( a n d a l l a s s o c i a t e d a s s u m p t i o n s a b o u t f u t u r e e v e n t s a n d c o n d i t i o n s e m b e d d e d i n t h o s e f o r e c a s t s ) , f o r e c a s t s b y o t h e r u n i t s o f S t a t e g o v e m m e n t , n a t i o n a l a n d l o c a l f o r e c a s t i n g s e r v i c e s , u n i v e r s i t i e s a n d f i n a n c i a l i n s t i t u t i o n s . L o n g - t e r m t r e n d s o n j o b a n d h o u s e h o l d s f o r m a t i o n s a n d i n c o m e w i l l b e c o n s i d e r e d a s w i l l h i s t o r i c a l r e s p o n s e s o f t h e e c o n o m y t o b u s i n e s s c y c l e s . P a r t i c u l a r a t t e n t i o n w i l l b e f o c u s e d o n c u r r e n t e c o n o m i c c o n d i t i o n s r e f l e c t e d i n t h e b a s e y e a r a n d t h e i m p e n d i n g e c o n o m i c r e c o v e r y e x p e c t e d t o s p a n i n t o t h e 2 0 1 0 t o 2 0 1 5 f o r e c a s t i n c r e m e n t . 3 . T h e f o r e g o i n g w i l l b e s u p p l e m e n t e d b y a n i n t e r v i e w p r o g r a m r e a c h i n g e c o n o m i c d e v e l o p m e n t d e p a r t m e n t s , m a j o r e m p l o y e r s , r e a l e s t a t e p r o f e s s i o n a l s , a n d o t h e r r e l a t e d o r g a n i z a t i o n s t o d e v e l o p a n u n d e r s t a n d i n g o f b u s i n e s s e x p a n s i o n o r c o n t r a c t i o n p l a n s a n d t h e c o n s i d e r a t i o n s a f f e c t i n g t h e m . I n t e r v i e w s w i l l a l s o b e c o n d u c t e d w i t h m a j o r r e a l e s t a t e b r o k e r a g e h o u s e s a n d d e v e l o p e r s t o p r o v i d e f i r s t h a n d i n f o r m a t i o n o n m a r k e t o p e r a t i o n s , l o c a t i o n c o n s i d e r a t i o n s , a n d c o n s t r a i n t s t o f u t u r e d e v e l o p m e n t o f r e s i d e n t i a l a n d n o n - r e s i d e n t i a l p r o p e r t i e s , a n d a c t i v e a n d p l a n n e d p r o j e c t s t h a t w i l l d i r e c t l y i m p a c t t r a f f i c i n t h e c o r r i d o r . 4 . P u b l i c p o l i c y i n i t i a t i v e s t h a t w i l l d i r e c t l y a n d m a t e r i a l l y i m p a c t f u t u r e l a n d u s e p a t t e m s a n d i n t e n s i t y w i l l b e r e v i e w e d a n d t h e i r i m p l i c a t i o n s d o c u m e n t e d a n d f a c t o r e d i n t o f o r e c a s t s . 5 . T h e C o n s u l t a n t w i l l m a k e a p p r o p r i a t e s u b - r e g i o n a l a n d T A Z a s s i g n m e n t s f o r t h o s e c h a r a c t e r i s t i c s s p e c i f i e d b y t h e t r a f f i c a n d r e v e n u e m o d e l . T h e a s s i g n m e n t p r o c e s s w i l l u t i l i z e t h e r e g i o n a l f o r e c a s t f r a m e w o r k e s t a b l i s h e d i n W o r k S t e p 2 a n d a l l d a t a a n d i n f o r m a t i o n d e v e l o p e d i n W o r k S t e p s 3 a n d 4 . I m p o r t a n t l y , t h e m e t h o d o l o g y a s s e s s e s t h e v a l u e s c o n t a i n e d i n t h e t r a f f i c m o d e l i n p u t s , a n d m a k e s a d j u s t m e n t s b y T A Z o n a n e x c e p t i o n b a s i s w h e r e w a r r a n t e d . T h i s i s a n i t e r a t i v e p r o c e s s w h e r e t h e r e a s o n a b l e n e s s o f s m a l l a r e a a s s i g n m e n t s a r e c o n t i n u a l l y t e s t e d a g a i n s t s u b r e g i o n a l a n d r e g i o n a l c o n t r o l t o t a l s . 3 9 Refine Traffic Model • The Consultant will develop a transportation model incorporating trip tables, network assumptions, diversion methodology and other factors. The available regional traffic models — OCTAM, RivTAM and SCAG — are of very special interest and utility. OCTAM was developed by OCTA, and has been modified by the Consultant over time to accommodate the special needs of toll diversion into the model set-up. The regional model has multiple time periods, and is adequate for the estimation of toll traffic and revenue. Corridor volumes and characteristics will be reviewed from initial outputs of the regional model. Adjustments to the model to reflect toll imposition and commercial vehicle attributes will also be developed. This is a particularly complicated process because the HOT lanes and general purpose lanes are so close that the choice between them at any time is obvious. This effort assumes up to three design altematives (with varying ingress -egress points) with two model years for each alternative. 1. Evaluate available model plafforms — review validation reports and user documentation. Interested in specifics on time of day modeling, vehicle classes and toll implementation. • RivTAM — Riverside County Traffic Analysis Model, developed in 2009 in TransCAD. Uses the SCAG regional model inputs and parameters with refined zone structure and roadway network.. • RCTC model platform used for the SR 91 study completed by PB. • OCTAM version 3.3 model platform as modified by Stantec. 2. Possible Model Enhancements • Three vehicle types — SOV, HOV 2 & HOV 3. HOV 3 free on SR 91. (Will also explore how commercial vehicles are handled in model stream) • Review and revise, if possible, time of day factors • Review and revise, if possible, peak spreading factors • Review and revise, if possible, value of time parameters (cost & time coefficients) • Implement highway assignment/toll diversion using CUBE. 3. Incorporate base and future year socioeconomic forecasts into model stream 4. Incorporate background network improvements for 2010, 2020 and 2035 focusing on the SR 91 corridor within Riverside County. • Meet with staff at RCTC to obtain and review information on current and proposed projects in the study area. • Review additional projects contained in SR 91 Implementation Plan and SR 91 Corridor Improvement Plan • Review base year network (2010) for completeness and revise if necessary • Code future year projects into background networks for 2020 and 2035 40 " " " 5 . V a l i d a t e b a s e y e a r ( 2 0 1 0 ) m o d e l b y t i m e p e r i o d ( A M , P M , M i d d a y a n d N i g h t ) " D e v e l o p a s e r i e s o f s c r e e n - l i n e l o c a t i o n s f o r v a l i d a t i o n p u r p o s e s , i n c l u d i n g t o l l l o c a t i o n s a t W i n d y R i d g e a n d o n S R 9 1 H O T l a n e s . U s e c o u n t s c o l l e c t e d a s p a r t o f t h e p r o j e c t a n d a n y o t h e r r e l i a b l e , a v a i l a b l e d a t a w i t h i n t h e P r o j e c t c o r r i d o r . M a r k e t S h a r e A n a l y s i s T h e C o n s u l t a n t t e a m w i l l d e v e l o p a m a r k e t s h a r e a n a l y s i s f o r t h e P r o j e c t . T h e C o n s u l t a n t h a s e x t e n s i v e e x p e r i e n c e w i t h H O T l a n e s p r o j e c t s t h r o u g h o u t N o r t h A m e r i c a , i n c l u d i n g C a l i f o m i a , T e x a s , C o l o r a d o , a n d V i r g i n i a . I n p a r t i c u l a r , t h r o u g h i t s l o n g t e r m i n v o l v e m e n t w i t h S R - 9 1 , a s u b s t a n t i a l d a t a b a s e o f H O T l a n e u s a g e a n d r e v e n u e p o t e n t i a l u n d e r a r a n g e o f t r a f f i c a n d t o l l c o n d i t i o n s h a s b e e n a s s e m b l e d . F r o m t h e s e d a t a , a s e r i e s o f " m a r k e t s h a r e c u r v e s " d e n o t i n g s p l i t s b e t w e e n t o l l e d H O T l a n e s a n d a d j a c e n t g e n e r a l p u r p o s e l a n e s h a s b e e n c a l c u l a t e d . T h i s i n f o r m a t i o n i s p a r t i c u l a r l y h e l p f u l i n t h e p r e l i m i n a r y t e s t i n g o f a l t e r n a t i v e t o l l c o n c e p t s a n d i n t h e p r e l i m i n a r y e v a l u a t i o n o f r e l a t e d o p e r a t i n g p o l i c i e s . T r a f f i c a n d R e v e n u e M o d e l D e v e l o p m e n t T h e C o n s u l t a n t w i l l f o r e c a s t a n n u a l t r a f f i c b y v e h i c l e t y p e a n d c o m p u t e t o l l r e v e n u e s f o r t h e p l a n n e d 5 0 y e a r t o l l f a c i l i t y t e r m f o r t h e B a s e C a s e t h a t r e f l e c t s t h e m o s t p r o b a b l e u s a g e u n d e r p r e v a i l i n g c o n d i t i o n s . T h e f i n a l r e s u l t s o f a l l t h e p r i o r w o r k e f f o r t s i s t o p r o v i d e a p r o j e c t o f f i r s t t h e t r a f f i c c o n d i t i o n s i n t h e c o r r i d o r f o r e a c h a l t e r n a t i v e a n d s e c o n d l y , t h e r e v e n u e a s s o c i a t e d w i t h e a c h a l t e r n a t i v e . F o r t h i s p r o j e c t , i t w i l l b e g i n w i t h t h e r e g i o n a l t r a f f i c m o d e l w h i c h w i l l b e u s e d t o c r e a t e t h e h o u r l y t r a f f i c d e m a n d f o r t h e p r o j e c t f r o m t h e m a r k e t s h a r e c u r v e s . T h e s e e s t i m a t e s w i l l b e r e f i n e d b y t h e u s e o f t h e m i c r o - s i m u l a t i o n m o d e l , a l l o f w h i c h w i l l t h e n b e u s e d t o c r e a t e p r o j e c t i o n s o f t r a f f i c a n d r e v e n u e . S e n s i t i v i t y A n a l y s e s I n c o n s u l t a t i o n w i t h t h e C o m m i s s i o n , t h e C o n s u l t a n t w i l l p e r f o r m a n u m b e r o f s e n s i t i v i t y a n a l y s e s t o t e s t t h e r e v e n u e i m p a c t o f c h a n g e s i n v a r i o u s a s s u m p t i o n s . I t i s e n v i s i o n e d t h a t a s c o i o - e c o n o m i c a n d v a l u e o f t i m e a n a l y s i s w o u l d b e p e r f o r m e d t o d e t e r m i n e t h e l i k e l y r a n g e o f t o l l r e v e n u e f o r e c a s t t h a t t h e P r o j e c t c o u l d p o t e n t i a l l y c a p t u r e u n d e r d i f f e r i n g s c e n a r i o s . T h e C o n s u l t a n t w i l l e v a l u a t e b r o a d s y s t e m a t i c s e n s i t i v i t i e s a s w e l l a s l o c a l i z e d d e t a i l e d a r e a s o f r e v e n u e s e n s i t i v i t y a l l w h i c h a r e m e a n t t o p r o v i d e t h e f i n a n c i a l c o m m u n i t y w i t h a s e n s e o f h o w t h e m o d e l w o r k s a n d w h a t s o r t o f e n v e l o p e w i t h i n w h i c h t h e f o r e c a s t i s m e a n t t o o p e r a t e . T o l l P r i c i n g M e t h o d o l o g y T h e C o n s u l t a n t w i l l a d v i s e t h e C o m m i s s i o n r e g a r d i n g t h e a p p r o p r i a t e t o l l p r i c i n g r e g i m e a n d m e t h o d o l o g y t h a t t a k e s i n t o a c c o u n t t h e c o n g e s t i o n p r i c i n g c o n c e p t o f t h e S R - 9 1 c o r r i d o r a n d t h e t o l l p r i c i n g r e g i m e o f t h e e x i s t i n g 9 1 E x p r e s s L a n e s . H O T l a n e s a n d m a n a g e d l a n e s r e l y o n a d e v e l o p m e n t o f o p e r a t i n g p o l i c y d u r i n g t h e i n i t i a l d e v e l o p m e n t . A s s h o w n i n p r a c t i c e a m o n g t h e v a r i o u s H O T l a n e s i n o p e r a t i o n t o d a y , t h e s e p o l i c i e s a r e w i d e l y v a r i a b l e . C r i t i c a l a m o n g t h e p o l i c y d e c i s i o n s t o m a k e a r e : 4 1 " L i k e l y u s e r s ( t r a n s p o n d e r s o n l y , v i d e o u s e , i d e n t i f i c a t i o n o f H O V + c u s t o m e r s ) " A c c e s s t o l a n e s ( d i r e c t c o n n e c t o r s v e r s u s w e a v i n g i n g r e s s / e g r e s s ) " P r i c i n g p o l i c y ( s t a t i c v a r i a b l e ( a s i n S R 9 1 , b e l o w ) v e r s u s d y n a m i c ( a s I - 1 5 ) ) " R e l a t i o n s h i p o f t r a f f i c t o t o l l r a t e s ; t y p i c a l l y m o s t H O T l a n e s u s e t h e p a t t e m s o f t r a f f i c t o e s t a b l i s h t h e v a l u e o f t h e t o l l b y h o u r . I n v e s t m e n t G r a d e T r a f f i c a n d R e v e n u e R e p o r t T h e C o n s u l t a n t w i l l d e l i v e r a m I n v e s t m e n t G r a d e T r a f f i c R e p o r t , f i r s t a s a D r a f t f o r R C T C t e a m r e v i e w a n d t h e n a s a F i n a l , f o r u s e a s p a r t o f t h e f i n a n c i n g f o r t h e p r o j e c t M e e t i n g s a n d P r e s e n t a t i o n s M e e t i n g s w i l l b e h e l d d u r i n g t h e c o u r s e o f t h e P r o j e c t ; b u d g e t f o r s u c h m e e t i n g s d u r i n g t h e d e v e l o p m e n t o f t h e P r o j e c t a n d p r i o r t o t h e d e l i v e r y o f t h e T r a f f i c a n d R e v e n u e r e p o r t a r e i n c l u d e d w i t h i n e a c h w o r k t a s k . M e e t i n g s w i t h t h e f i n a n c i a l c o m m u n i t y ( r a t i n g a g e n c i e s , i n s u r e r s , e t c . ) a r e n o t i n c l u d e d w i t h i n t h e a t t a c h e d b u d g e t a n d w i l l b e h a n d l e d o n a t i m e a n d m a t e r i a l s b a s i s " " 4 2 " " " E X H I B I T B - S C H E D U L E T a b l e 1 R E S O U R C E S T A F F I N G S C H E D U L E H o u r s p e r w e e k b y f i r m A T T A C H M E N T J u l y ' A u g u s t ' S e p t e m b e r ' O c t o b e r ' N o v e m b e r ' D e c e m b e r ' J a n u a r y ' F e b r u a r y ( M a r c h ( A p r i l ' M a y R u n e ' W e e k U 1 2 3 4 5 6 9 8 9 1 0 1 1 1 2 1 3 1 4 1 5 1 6 1 2 1 8 1 9 2 0 2 1 2 2 2 3 2 4 2 5 2 6 2 7 2 8 2 9 3 0 3 1 3 2 3 3 3 4 3 5 3 6 3 2 3 8 3 9 4 0 4 1 4 2 4 3 4 4 4 5 4 6 H o u r s T a s k p e r T a s k R e v i e w o f e x i s t i n g d a t a R e v i e w e x i s t i n g t r a f f i c d a t a S t a n t e c 1 2 1 2 2 2 1 2 2 2 2 . 7 3 R e v i e w o t h e r a v a i l d o c u m e n t s S t a n t e c 2 2 1 2 2 2 2 2 2 2 1 2 7 2 R e v i e w s o c i o e c o n o m i c d a t a S t a n t e c 4 4 4 a 4 4 4 4 e 4 4 4 4 8 l o c a l P B 2 4 2 4 2 4 2 4 2 4 2 4 1 4 5 n a t i o n a l P B 2 3 2 3 2 3 2 3 2 3 2 3 1 3 8 e x i s t i n g a n d f u t u r e l a n d u s e _ . . . . _ . . _ P B m O 9 2 9 2 9 2 9 2 4 5 4 5 5 5 1 A d d i t i o n a l d a t a c o l l e c t i o n p l a n n i n g S t a n t e c 3 6 1 6 1 6 1 6 1 6 1 6 O R S 2 2 2 2 2 2 2 2 2 2 2 2 s u r v e y s t r a f f i c S t a n t e c 7 3 n 2 2 n D N S 4 0 4 0 4 0 a u s u r v e y s a / d S t a n t e c 2 2 2 2 2 3 2 2 D N S 3 2 3 2 3 2 3 2 S u r v e y s u m m a r i z a t i o n S t a n t e c 2 6 2 6 2 6 2 6 D N S 2 1 2 1 2 3 2 1 M o d e l d e v e l o p m e n t e x i s t i n g v a l i d a t i o n S t a n t e c 3 2 3 2 3 2 3 2 3 2 3 2 3 2 3 2 3 2 B a s e Y e a r M o d e l a n d C a l i b r a t i o n R e p o r t S t a n t e c 6 4 6 4 6 4 6 4 6 4 5 4 D N S 2 7 2 2 n 2 7 2 7 2 2 t o l l e q u a t i o n s - S t a n t e c 5 6 5 6 5 6 5 6 R e v e n u e 5 O 1 - e 8 9 9 7 3 f u t u r e m o d e l s S t a n t e c o p t i m i z a t i o n o f t o l l s S t a n t e c P r e l i m i n a r y F o r e c a s t s S t a n t e c S e n s i t i v i t i e s S t a n t e c M i c r o s i m u l a t i o n S t a n t e c T o i l P r i c i n g M e t h o d o l o d y S t a n t e c F i n a l R e p o r t R a t i n g A g e n c y T O T A L H O U R S 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 4 5 4 5 4 5 4 5 2 3 2 3 2 3 2 3 2 3 2 3 2 3 2 3 2 3 2 3 2 3 2 3 9 6 1 3 2 1 0 8 1 6 0 1 0 8 1 2 8 1 0 4 8 2 2 8 8 3 8 4 1 6 0 2 2 4 2 4 0 1 8 0 5 9 5 9 5 9 5 9 5 9 2 9 6 5 9 5 9 5 9 5 9 2 3 6 2 8 0 1 2 0 S t a n t e c 5 3 5 8 5 6 5 8 2 3 2 P B 3 2 3 2 3 2 3 2 1 2 8 D R S S t a n t e c f i b 6 6 1 3 2 P B 4 8 4 6 9 6 D N S S t a n t e c 4 4 4 4 3 3 3 R R R 8 P B a D N S 4 3 n 0 r n 8 3 , 2 2 0 1 . 0 5 8 0 6 6 2 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 " E X H I B I T C - C P O F S E R V I C E S T a b l e 2 S u m m a r y o f C o s t s a n d R a n g e o f R a t e s A T T A C H M E N T 3 " H o u r s S a l a r y C o s t s O v e r h e a d C o s t s F i x e d F e e C o s t s S a l a r y T o t a l D i r e c t C o s t s T O T A L S t a n t e c 3 , 2 2 0 $ 1 7 6 , 4 4 3 $ 3 0 4 , 5 9 4 $ 4 8 , 1 0 4 $ 5 2 9 , 1 4 1 $ 1 9 , 5 5 0 $ 5 4 8 , 6 9 1 P B 1 , 0 5 8 $ 5 2 , 2 1 0 $ 8 4 , 2 1 4 $ 1 3 , 6 4 2 $ 1 5 0 , 0 6 7 $ 4 6 , 0 0 0 $ 1 9 6 , 0 6 7 D K S 6 6 2 $ 3 4 , 6 3 0 $ 6 1 , 2 5 6 $ 9 , 5 8 9 $ 1 0 5 , 4 7 5 $ 4 6 , 0 2 0 $ 1 5 1 , 4 9 5 T O T A L 4 , 9 4 0 $ 2 6 3 , 2 8 3 $ 4 5 0 , 0 6 5 $ 7 1 , 3 3 5 $ 7 8 4 , 6 8 2 $ 1 1 1 , 5 7 0 $ 8 9 6 , 2 5 2 S t a n t e c P a r s o n s B r i n c k e r h o f f D K S P r i n c i p a l P r o j e c t M a n a g e r S r E n g i n e e r / P l a n n e r P r o j e c t E n g i n e e r / P l a n n e r A s s o c E n g i n e e r / P l a n n e r T e c h n i c i a n F r o m $ 9 0 . 0 0 $ 5 0 . 0 0 $ 6 0 . 0 0 $ 4 0 . 0 0 $ 3 0 . 0 0 $ 3 0 . 0 0 R a n g e o f H o u r l y r a t e s T o $ 1 2 0 . 0 0 $ 7 5 . 0 0 $ 1 0 5 . 0 0 $ 5 5 . 0 0 $ 4 5 . 0 0 $ 4 0 . 0 0 F r o m T o P r i n c i p a l $ 6 0 . 0 0 $ 1 1 0 . 0 0 P r o j e c t M a n a g e r $ 4 0 . 0 0 $ 6 0 . 0 0 C o n s u l t a n t $ 4 0 . 0 0 $ 6 0 . 0 0 A s s o c i a t e C o n s u l t a n t $ 2 5 . 0 0 $ 4 0 . 0 0 S e n i o r S u p e r v i s i n g P l a n n e r $ 5 0 . 0 0 $ 8 0 . 0 0 S u p e r v i s i n g P l a n n e r $ 4 0 . 0 0 $ 6 5 . 0 0 S e n i o r / L e a d P l a n n e r $ 3 0 . 0 0 $ 6 0 . 0 0 F r o m T o P r i n c i p a l $ 4 5 . 0 0 $ 9 0 . 0 0 P r o j e c t M a n a g e r $ 4 0 . 0 0 $ 7 0 . 0 0 I T S S p e c i a l i s t $ 4 5 . 0 0 $ 7 0 . 0 0 S r E n g i n e e r / P l a n n e r $ 3 5 . 0 0 $ 6 0 . 0 0 A s s o c i a t e E n g i n e e r / P l a n n e r $ 3 0 . 0 0 $ 4 5 . 0 0 A s s i s t a n t E n g i n e e r / P l a n n e r $ 2 0 . 0 0 $ 3 5 . 0 0 G r a p h i c s D e s i g n e r $ 2 0 . 0 0 $ 3 5 . 0 0 C A D / G I S S p e c i a l i s t $ 2 0 . 0 0 $ 3 5 . 0 0 . E n g i n e e r i n g T e c h n i c i a n $ 1 5 . 0 0 $ 3 0 . 0 0 A d m i n i s t r a t i v e A s s i s t a n t $ 1 5 . 0 0 $ 3 5 . 0 0 A c c o u n t i n g $ 2 0 . 0 0 $ 4 5 . 0 0 4 4 " A G E N D A I T E M 8 D " RIVERSIDE COUNTY TRANSPORTATION COMMISSION DATE: July 14, 2010 TO: Riverside County Transportation Commission FROM: Western Riverside County Programs And Projects Committee Khalid Bazmi, Toll Project Manager Michael Blomquist, Toll Program Director THROUGH: Anne Mayer, Executive Director SUBJECT: Amendment to Agreement for On -Call Strategic Partnership Advisor Services with KPMG Corporate Finance, LLC WESTERN RIVERSIDE COUNTY PROGRAMS AND PROJECTS COMMITTEE AND STAFF RECOMMENDATION: This item is for the Commission to: 1) Approve Agreement No. 06-66-026-08, Amendment No. 7 to Agreement 06-66-026-00, for toll feasibility and strategic partnership advisor services with KPMG Corporate Finance, LLC (KPMG) for the Interstate 15 Corridor Improvement Project (1-15 CIP) for the amount of $250,000; and 2) Authorize the Chair, pursuant to legal counsel review, to execute the agreement on behalf of the Commission. BACKGROUND INFORMATION: In February 2006, the Commission entered into an agreement with KPMG for the purpose of providing strategic partnership advisor services for project financing alternatives and evaluation of potential toll road corridors in Riverside County. The project approval and environmental document (PA/ED) work phase completion for the SR-91 and 1-15 CIPs is scheduled for 2011 and 2012, respectively, under separate agreements with engineering firms. During the last 18 months, KPMG has completed the following. tasks: • Performed level one and level two toll feasibility analyses for the SR-91 CIP and level one toll feasibility analysis for the 1-15 CIP; • Financial analysis for the potential development of a public -private partnership (P3) on the SR-91 CIP to enhance revenue producing opportunities; and Agenda Item 8D 45 " A n a l y s i s o f f i n a n c i a l m o d e l i n g s c e n a r i o s f o r t h e S R - 9 1 C I P i n c l u d i n g a n a v a i l a b i l i t y p a y m e n t m o d e l . T h e c o n t i n u e d s e r v i c e s o f K P M G a r e d e s i r a b l e t o s u p p o r t t h e P A / E D w o r k a n d t o a s s i s t t h e C o m m i s s i o n i n s u c c e s s f u l l y m o v i n g t h e s e p r o j e c t s f o r w a r d i n t o t h e d e s i g n , c o n s t r u c t i o n , a n d o p e r a t i o n p h a s e s . T h e m a j o r t a s k s o f K M P G ' s s c o p e o f w o r k w i l l i n c l u d e : " P r o v i d i n g f i n a n c i a l a n a l y s i s t o a s s e s s p r o j e c t f e a s i b i l i t y a n d s u b s e q u e n t t r a n s a c t i o n s t r u c t u r i n g ; " P e r i o d i c u p d a t i n g o f f i n a n c i a l a n a l y s e s t o c o n f i r m v i a b i l i t y o f 1 - 1 5 C I P a s c o s t a n d p r o j e c t s c o p e a r e d e v e l o p e d a n d u p d a t e d . T h e s e a n a l y s e s t y p i c a l l y i n c l u d e r e v i e w s o f r e v e n u e , c o s t , a n d s c h e d u l e i n p u t s f r o m t h e e n g i n e e r i n g t e a m ; m o d i f i c a t i o n s t o t h e f i n a n c i n g s t r a t e g y ; a n d c h a n g e s t o t h e p r o j e c t p h a s i n g o r s c o p e a n d s e n s i t i v i t y r u n s t o d e t e r m i n e t h e i m p a c t o f v a r i a n c e s i n d e m a n d , c o n s t r u c t i o n c o s t s , a n d g e n e r a l i n f l a t i o n ; " P r o v i d i n g l e v e l t w o t o l l f e a s i b i l i t y a n a l y s i s f o r s e v e r a l s e c t i o n s o f t h e 1 - 1 5 C I P , i n c l u d i n g : A r e a A - C a j a l c o R o a d t o H i d d e n V a l l e y P a r k w a y , A r e a B - E I C e r r i t o R o a d t o S R - 6 0 , a n d A r e a C - I n d i a n T r u c k T r a i l R o a d t o H i d d e n V a l l e y P a r k w a y ; a n d " P r e p a r i n g f i n a n c i a l a n a l y s i s f o r t h e p o t e n t i a l d e v e l o p m e n t o f a P 3 o n t h e 1 - 1 5 C I P t o e n h a n c e r e v e n u e p r o d u c i n g o p p o r t u n i t i e s . T h e a d d i t i o n a l f i n a n c i a l a d v i s o r y s e r v i c e s r e q u i r e d a n d o u t l i n e d a b o v e w i l l b e p r o v i d e d b y K P M G f o r $ 2 5 0 , 0 0 0 . S t a f f a n t i c i p a t e s e x p e n d i n g t h i s a m o u n t t h r o u g h F Y 2 0 1 0 / 1 1 . T h e a m o u n t i s i n c l u d e d i n t h e F Y 2 0 1 0 / 1 1 b u d g e t . T h i s w i l l b r i n g t h e t o t a l c o n t r a c t a m o u n t t o $ 1 , 4 7 4 , 7 3 6 . F i n a n c i a l I n f o r m a t i o n I n F i s c a l Y e a r B u d g e t : Y e s Y e a r : F Y 2 0 1 0 / 1 1 A m o u n t : $ 2 5 0 , 0 0 0 S o u r c e o f F u n d s : 2 0 0 9 M e a s u r e A B u d g e t A d j u s t m e n t : N o G L / P r o j e c t A c c o u n t i n g N o . : 0 0 3 0 2 7 0 0 0 0 0 0 0 0 0 2 6 2 3 1 6 5 5 2 0 F i s c a l P r o c e d u r e s A p p r o v e d : \ A 6 v i D a t e : 0 6 / 1 6 / 1 0 A t t a c h m e n t : D r a f t A g r e e m e n t N o . 0 6 - 6 6 - 0 2 6 - 0 8 A g e n d a I t e m 8 D " " " 4 6 Agreement No. 06-66-026-08 AMENDMENT NO. 7 TO AGREEMENT FOR STRATEGIC PARTNERSHIP ADVISOR SERVICES 1. PARTIES AND DATE This Amendment No. 7 to the Agreement for Strategic Partnership Advisor Services is made and entered into this day of , 2010 by and between the RIVERSIDE COUNTY TRANSPORTATION COMMISSION ("Commission") and KPMG Corporate Finance LLC ("Consultant"). 2. RECITALS 2.1 The Commission and the Consultant have entered into an agreement dated February 8, 2006 for the purpose of providing Strategic Partnership Advisor Services (the "Master Agreement") for a total compensation of $ 200, 000. 2.2 The Commission and the Consultant have entered into Amendment No. 1 to the Master Agreement, dated November 14, 2006 for the purpose of providing additional compensation ($105,000) for the ongoing provision of Strategic Partnership Advisor Services and extending the term of the Master Agreement until January 31, 2008. 2.3 The Commission and the Consultant have entered into Amendment No. 2 to the Master Agreement dated February 14, 2007 for the purpose of providing additional compensation ($340,000) for the ongoing provision of Strategic Partnership Advisor Services. 2.4 The Commission and the Consultant have entered into Amendment No. 3 to the Master Agreement dated January 31, 2008 for the purpose of extending the term of the Master Agreement until February 9, 2012. 2.5 The Commission and the Consultant have entered into Amendment No. 4 to the Master Agreement dated July 11, 2008 for the purpose of making consulting services available to the San Bernardino Associated Governments through the Master Agreement. 2.6 The Commission and the Consultant have entered into Amendment No. 5 to the Master Agreement dated November 12, 2008 for the purpose of KPMG Amendment No. 7 (RCTC Doc. No. 06-66-026-08) Page 1 47 providing additional compensation ($250,000) for the ongoing provision of Strategic Partnership Advisor Services. 2.7 The Commission and the Consultant have entered into Amendment No. 6 to the Master Agreement dated October 28, 2009 for the purpose of providing additional compensation ($329,736) for the ongoing provision of Strategic Partnership Advisor Services. 2.8 The parties now desire to amend the Master Agreement to provide additional compensation for the continued provision of Strategic Partnership Advisor Services, as described in Attachments #1, #2, #3, and #4, hereto. TERMS 2.9 The maximum compensation under the Master Agreement, as previously amended, is hereby increased by Two Hundred and Fifty Thousand Dollars ($250,000). 2.10The total contract value for the Master Agreement, as heretofore amended, shall not exceed One Million, Four Hundred and Seventy Four Thousand, Seven Hundred Thirty Six Dollars ($1,474,736). 2.1 1 Consultant shall continue to provide the Services described in Attachments #1, #2, #3 and #4, hereto, as directed by the Commission. 2.12"Section 3.12.6 is amended to read as follows: Section 3.12.6 Verification of Coverage. Consultant shall furnish Commission with original certificates of insurance effecting coverage required by this Agreement on forms satisfactory to the Commission. The certificates for each insurance policy shall be signed by a person authorized by that insurer to bind coverage on its behalf. All certificates must be received and approved by the Commission before work commences." 2.13Except as amended by this Amendment, all provisions of the Master Agreement, as amended by Amendments No. 1 through No. 6, including without limitation the indemnity and insurance provisions, shall remain in full force and effect and shall govern the actions of the parties under this Amendment. KPMG Amendment No. 7 (RCTC Doc. No. 06-66-026-08) Page 2 48 " " " S I G N A T U R E P A G E T O A M E N D M E N T N O . 7 T O A G R E E M E N T F O R S T R A T E G I C P A R T N E R S H I P A D V I S O R S E R V I C E S I N W I T N E S S W H E R E O F , t h e p a r t i e s h e r e t o h a v e e x e c u t e d t h e A g r e e m e n t o n t h e d a t e f i r s t h e r e i n a b o v e w r i t t e n . R I V E R S I D E C O U N T Y K P M G C o r p o r a t e F i n a n c e T R A N S P O R T A T I O N C O M M I S S I O N L L C B y : B o b B u s t e r , C h a i r S i g n a t u r e A P P R O V E D A S T O F O R M : B y : B e s t , B e s t & K r i e g e r L L P G e n e r a l C o u n s e l N a m e T i t l e K P M G A m e n d m e n t N o . 7 ( R C T C D o c . N o . 0 6 - 6 6 - 0 2 6 - 0 8 ) P a g e 3 4 9 " K P M G C o n t r a c t # 0 6 - 6 6 - 0 2 6 - 0 8 S c o p e o f W o r k , A m e n d m e n t # 7 S e c t i o n 1 . T a s k s . A s a m e m b e r o f t h e R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n ( R C T C ) t o l l i n g t e a m , K P M G w i l l p a r t i c i p a t e a n d a d v i s e a s a p p r o p r i a t e r e g a r d i n g t h e f o l l o w i n g t a s k s : 1 W o r k s h o p s , c o n f e r e n c e c a l l s o r m e e t i n g s w i t h R C T C a n d o t h e r m e m b e r s o f t h e t o l l i n g t e a m t o f u r t h e r d e f i n e t h e p r o j e c t ( s ) a n d a s s i s t i n a n a l y z i n g p o t e n t i a l d e v e l o p m e n t a p p r o a c h e s . 2 W o r k w i t h R C T C s t a f f a n d o t h e r m e m b e r s o f t h e t o l l i n g t e a m t o a n a l y z e t h e I - 1 5 a n d / o r o t h e r r e q u e s t e d p r o j e c t ( s ) u s i n g t h e " b a s e c a s e " p r o c u r e m e n t m o d e l ( i . e . , D e s i g n - B u i l d ) s e l e c t e d b y R C T C f o r a s s e s s m e n t . " I n c o n s u l t a t i o n w i t h R C T C s t a f f a n d o t h e r m e m b e r s o f t h e t o l l i n g t e a m , a n a l y z e a p r e l i m i n a r y f i n a n c i n g s t r a t e g y b a s e d o n a s s o c i a t e d a s s u m p t i o n s f r o m s i m i l a r p r o j e c t s . " O b t a i n i n p u t s d e v e l o p e d b y o t h e r m e m b e r s o f t h e p r o j e c t t e a m s a n d i n c o r p o r a t e t h e m i n t o t h e f i n a n c i a l a n a l y s i s . I n p u t s t h a t w i l l n e e d t o b e p r o v i d e d i n c l u d e t i m i n g o f p h a s e s , a n t i c i p a t e d t r a f f i c a n d r e v e n u e , c a p i t a l c o s t s , o p e r a t i n g c o s t s . " R e v i e w a l l a s s u m p t i o n s a n d i n p u t s w i t h R C T C a n d r e c e i v e a p p r o v a l o f s u c h i n p u t s a n d a s s u m p t i o n s . " U n d e r t a k e f i n a n c i a l a n a l y s e s t o a s s e s s t h e e s t i m a t e d p u b l i c s e c t o r c o n t r i b u t i o n t o t h e p r o j e c t ( s ) . R e f i n e a n d / o r u p d a t e t h e f i n a n c i a l a n a l y s e s , a s r e q u e s t e d b y R C T C . 3 A s r e q u e s t e d , p e r f o r m s e n s i t i v i t y a n a l y s i s o f t h e k e y b a s e c a s e a n a l y s i s a s s u m p t i o n s , f o r e x a m p l e , c h a n g e s i n d e m a n d ( r e v e n u e ) , i n t e r e s t r a t e s a n d c o s t s . 4 W o r k w i t h R C T C s t a f f a n d o t h e r m e m b e r s o f t h e t o l l i n g t e a m t o a n a l y z e t h e 1 - 1 5 a n d / o r o t h e r p r o j e c t ( s ) u s i n g o n e o r m o r e " P 3 " p r o c u r e m e n t m o d e l ( s ) ( e . g . , D B F O M , D B F O , D B F M ) s e l e c t e d b y R C T C f o r a s s e s s m e n t . " I n c o n s u l t a t i o n w i t h R C T C s t a f f a n d o t h e r m e m b e r s o f t h e t o l l i n g t e a m , a n a l y z e a p r e l i m i n a r y f i n a n c i n g s t r a t e g y b a s e d o n a s s o c i a t e d a s s u m p t i o n s f r o m s i m i l a r p r o j e c t s . " O b t a i n i n p u t s d e v e l o p e d b y o t h e r m e m b e r s o f t h e p r o j e c t t e a m s a n d i n c o r p o r a t e t h e m i n t o t h e f i n a n c i a l a n a l y s i s . I n p u t s t h a t w i l l n e e d t o b e p r o v i d e d i n c l u d e t i m i n g o f p h a s e s , a n t i c i p a t e d t r a f f i c a n d r e v e n u e , c a p i t a l c o s t s , o p e r a t i n g c o s t s . " U n d e r t a k e f i n a n c i a l a n a l y s e s t o a s s e s s t h e e s t i m a t e d p u b l i c s e c t o r c o n t r i b u t i o n t o t h e p r o j e c t ( s ) . R e f i n e a n d / o r u p d a t e t h e f i n a n c i a l a n a l y s e s , a s r e q u e s t e d b y R C T C . 5 A s r e q u e s t e d , p e r f o r m s e n s i t i v i t y a n a l y s i s o f t h e k e y P 3 a n a l y s i s a s s u m p t i o n s , f o r e x a m p l e , c h a n g e s i n d e m a n d ( r e v e n u e ) , i n t e r e s t r a t e s a n d c o s t s . 6 D r a f t r e p o r t s a n d p r e s e n t a t i o n s r e g a r d i n g r e s u l t s o f f i n a n c i a l a n a l y s e s . ( S e e S e c t i o n 3 . D e l i v e r a b l e s , b e l o w . ) 7 P a r t i c i p a t e i n c a l l s , m e e t i n g s , a n d / o r w o r k s h o p s t o d i s c u s s r e s u l t s . 5 0 8 Assist in the development of preliminary schedules for project delivery, including pre - procurement and procurement. 9 Assist in identifying near -term, mid-term and long-term issues, steps and "to-do" items that are consistent with preliminary project schedules. 10 Undertake any other agreed -to activities related to the project(s) directed by RCTC as provided for within the budget identified in Attachment 3. Section 2. Client Participation and Responsibilities. During the development of this Statement of Work, we have been guided by certain assumptions about the project scope, and level of RCTC's involvement and support. 2.1. RCTC. Support. We will require the support of RCTC's personnel in order to achieve timely completion of the project. Support includes, but is not limited to, the collection of all relevant documents (paper or electronic) and the scheduling of and coordination of meetings. 2.2 Project Management. RCTC will designate a management level individual to oversee the conduct of this project, including coordination of RCTC resources needed and review of draft deliverables. RCTC personnel assigned to the project will review draft deliverables on a timely basis. Section 3. Deliverables At the request of RCTC, KPMG shall provide draft summaries of the results of each financial analysis, in writing, whether as a separate deliverable or as part of a collaborative work product with RCTC and/or other technical and legal advisors. The draft deliverables will be provided to RCTC for review, comment and approval prior to final delivery. KPMG may send final reports/deliverables electronically for RCTC's convenience. However, only the final hard -copy report should be viewed as our work product. The deliverables presented as part of this engagement are for the internal use of RCTC and are not to be relied upon by third parties, in whole or in part, or used for any other purpose. We disclaim any intention or obligation to update or revise the observations whether as a result of new information, future events or otherwise. Should additional documentation or other information become available which impacts upon the observations reached in our deliverables, we reserve the right to amend our observations and summary documents accordingly. Section 4. Other Matters. KPMG will provide our services in accordance with the terms and conditions of Statement of Work. Such services are not intended to be an audit, examination, attestation, special report or agreed -upon procedures engagement as those services are defined in American Institute of Certified Public Accountants (AICPA) literature applicable to such engagements conducted by independent auditors. Accordingly, these services will not result in the issuance of a written communication to third parties by KPMG directly reporting on financial data or internal control or expressing a conclusion or any other form of assurance. 51 " " " K P M G C o n t r a c t # 0 6 - 6 6 - 0 2 6 - 0 8 S c h e d u l e , A m e n d m e n t # 7 K P M G w i l l p e r f o r m t h e s c o p e o f w o r k i n t i m e - f r a m e c o n s i s t e n t w i t h t h e s c h e d u l e f o r a n a l y s i s r e q u e s t e d b y R C T C . T h i s s c h e d u l e f o r t h e 1 - 1 5 P r o j e c t S t u d y A r e a B i s d e s c r i b e d i n A t t a c h m e n t # 3 . T h e s c h e d u l e f o r a d d i t i o n a l a n a l y s e s w i l l b e d e t e r m i n e d u p o n R C T C ' s r e q u e s t . 5 2 KPMG Contract #06-66-026-08 Project Budget, Amendment #7 verside County Transportation Com ni issicn MG 2010.11 Workplan and Budget 5 Project ",Y 1 r. Ti-Lt, �Y'.4..�Af Reconcile input (review, identity issues discuss with team; review wry changes) June 1.0 3.0 5.0 90 Perform preliminary cash flow analysis June 2.0 2.0 5.0 9.0 Compile financing assumptions for client review and approval June 2.0 2.0 2.0 6.0 Model refinements to incorporate 3 separate project phases June/July 0.0 5.0 20.0 25.0 Perform financial analysis July 0.0 5.0 100 15.0 Quality control review of financial analysis July 0.0 50 00 5.0 Summaize results of analysis and prepare presentation July 0.0 5 0 10.0 150 Senior review of presentation draft/ update presentation to reflect comments Jury 2.0 20 2.0 6.0 ReNew draft presen[alion of results with project advisor teem: revise as needed July 2.0 2.0 2.0 6.0 Conference call / meeting to present and discuss results M obtain diem direction for next steps July 6.0 3.0 0.0 9.0 Other related activities (review /communications) July/August 5.0 5.0 0.0 10.0 Follow up analysis/meetings August 18.0 12.5 7.5 38.0 Contingency (2S%) 9.5 12.9 15.9 383 Total 47.5 64A 79A 191.3 I Applicable hourly billing rates• $555 $400 $320 Est(erated7fourlyFell _ , m "-':' f: 26,3F65. ,$ "25.750 -i 26.490 S 7 73, g "[S llYL� i �'AT: Reconcile input (review. Identify issues:discuss with team; review any changes) 1.0 �30 5.0� 9.0 Perform preliminary cash flow analysis 2.0 2.0 6.0 9.0 Compile financing assumptions for client review and approval 1.0 2.0 2.0 5.0 Perform financial analysis 0.0 5.0 10.0 15.0 Quality control review of financial analysis 0.0 5.0 0.0 5.0 Summarize results of analysis and prepare presentation 00 5.0 10.0 150 Senior review of presentation draft/ update presentation to reflect comments 20 2.0 2.0 6.0 Review draft presentation of results w lth project advisor team; revise as needed 2.0 2.0 20 60 Conference call/ meeting to present and discuss results and obtain client direction for next steps 8.0 4.0 00 12.0 Other related activities(review/ communications) 5.0 5.0 0.0 /0.0 Follow up amysis/meetings 18.0 12.5 7.5 38,0 Contingency RS%) 9.8 11.9 10.9 32.5 Total 48.8 59A 54.4 162.5 Applicable hourly billing rates 5555 5400 $320 ., Eitlmeted Nourliceee• .. _ , u .- " . _ ., , 5 275056_ 4-2$,150 , -C411;400 $ ;8$ 6S'.-- 'fEs0Rialted tiaF=i't5Troject(Stutly410WX;W ,x ,".- a.- 1. ^^---- -.L $'_. JO'S#:49:500 `ty4,400 5' 4.5,739-.,; Other Analyses Discuss project objectives and P3 pemmeterswith client and project team Facilitate client consideration of tisk valuation methodology / approach Compile P3 financing and lex assumptions for client review and approval Update financial model for P3 structure I perfemm analyses Quality control review of financial model adjustments Summarize results of analysis and prepare presentation Senior review of presentation Matt / update presentation to reflect comments Review drag presentation of results with project advisor team; revise as needed Conference call / meeting to present and discuss results and obtain client direction for next steps Other related activities (review /communications) Follow up analysis / meetings 25% contingency Total 5.0 5.0 5.0 1 D.0 10.0 5.0 8.0 12.0 6.0 10.0 20.0 30.0 10.0 7.5 3.0 30 20 2.0 8.0 4.0 5.0 5.0 20.0 /2.5 7.5 17.8 22.8 18.4 BfiB 113.8 91.9 15.0 3.0 2.0 15.0 25.0 26.0 600 10.0 22.5 9.0 6.0 12.0 10.0 40.0 58.9 294.4 Applicable hourly billing 55 $400 $320 Fatim ated HourlyFeee 3 49,256 s ):4000 F 29,500- 5 12A151 Total All Analyses Estimated Total Hours 185.0 237.5 225.6 668.1 Estimated Total Buda at for Hourly Fees: $ - 102A75 95,000 $ 72,200 5- 269,875... :`loss Estimated Carry-over Balance from FY2005,10 Budget $ 39,875 Pius Budget for Reimbursement : ofOuf-ol-Pecket Expenses s 2000 Eatimatetl Thal Budget' for FY?O1Gd1(FeesanOBtpensea( $ :250,000.>. Rates reflect FY 2010-11 discounts. See Attachment d4 for details_ 53 KPMG Contract #06-66-026-08 Schedule of Rates, Amendment #7 Managing Director / Partner * Director / Senior Manager Associate Director / Manager Associate / Senior Associate * $ 555.00 $ 515.00 $ 400.00 $ 320.00 * For FY 2010-11 Rates, Managing Director/Partner rate has been reduced from $595 per hour to $555 per hour and Associate / Senior Associate rate has been reduced from $325 to $320 per hour. The total discount resulting from these changes is estimated to be approximately $9,000 for the budget in Attachment #3. 54 i AGENDA ITEM 8E " " R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N D A T E : J u l y 1 4 , 2 0 1 0 T O : R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n F R O M : J o h n S t a n d i f o r d , D e p u t y E x e c u t i v e D i r e c t o r T H R O U G H : A n n e M a y e r , E x e c u t i v e D i r e c t o r S U B J E C T : 2 0 1 0 S t a t e R o u t e 9 1 I m p l e m e n t a t i o n P l a n U p d a t e S T A F F R E C O M M E N D A T I O N : T h i s i t e m i s f o r t h e C o m m i s s i o n t o r e c e i v e a n d f i l e t h e 2 0 1 0 S t a t e R o u t e 9 1 I m p l e m e n t a t i o n P l a n . B A C K G R O U N D I N F O R M A T I O N : I n 2 0 0 2 , A B 1 0 1 0 a u t h o r e d b y f o r m e r A s s e m b l y m a n L o u C o r r e a a l l o w e d t h e O r a n g e C o u n t y T r a n s p o r t a t i o n A u t h o r i t y ( O C T A ) t o p u r c h a s e t h e 9 1 E x p r e s s L a n e s f r a n c h i s e f r o m t h e C a l i f o r n i a P r i v a t e T r a n s p o r t a t i o n C o m p a n y . T h e p u r c h a s e a g r e e m e n t w a s c o m p l e t e d i n J a n u a r y 2 0 0 3 , a t a c o s t o f $ 2 0 7 . 5 m i l l i o n . A B 1 0 1 0 a l s o e l i m i n a t e d t h e e x i s t i n g n o n - c o m p e t e c l a u s e i n t h e f r a n c h i s e a g r e e m e n t t h a t p r o h i b i t e d a n y c a p a c i t y - e n h a n c i n g i m p r o v e m e n t s f r o m b e i n g m a d e t o S R - 9 1 u n t i l t h e y e a r 2 0 3 0 . S B 1 3 1 6 p a s s e d i n A u g u s t 2 0 0 8 , a u t h o r i z e d t h e C o m m i s s i o n t o i m p o s e t o l l s f o r 5 0 y e a r s o n t r a n s p o r t a t i o n f a c i l i t i e s o n i t s p o r t i o n o f S R - 9 1 , a n d a u t h o r i z e d t o l l r e v e n u e s t o b e u s e d f o r c o n s t r u c t i n g a n d o p e r a t i n g t o l l f a c i l i t i e s o n S R - 9 1 i n R i v e r s i d e C o u n t y . T h e p u r c h a s e o f t h e 9 1 E x p r e s s L a n e s a n d t h e e l i m i n a t i o n o f t h e n o n - c o m p e t e c l a u s e h a s a l l o w e d m u c h n e e d e d i m p r o v e m e n t s t o b e p l a n n e d a n d i m p l e m e n t e d w i t h i n t h e S R - 9 1 c o r r i d o r . O C T A , t h e C o m m i s s i o n , a n d C a l t r a n s D i s t r i c t s 8 a n d 1 2 h a v e b e e n c o o r d i n a t i n g t h e s e i m p r o v e m e n t s . S B 1 3 1 6 r e q u i r e d c r e a t i o n o f a n e w a d v i s o r y c o m m i t t e e w i t h s p e c i f i c r e s p o n s i b i l i t i e s a p p o i n t e d b y b o a r d m e m b e r s f r o m O C T A a n d t h e C o m m i s s i o n . S B 1 3 1 6 a l s o r e q u i r e d t h e c o n t i n u a t i o n o f a n n u a l u p d a t e s o f a n i m p l e m e n t a t i o n p l a n o f S R - 9 1 i m p r o v e m e n t s f o r t h e L e g i s l a t u r e . A s s p e l l e d o u t i n t h e l e g i s l a t i o n , t h e 2 0 1 0 S t a t e R o u t e 9 1 I m p l e m e n t a t i o n P l a n w a s c o m p l e t e d b y O C T A , i n c o n s u l t a t i o n w i t h C a l t r a n s a n d t h e C o m m i s s i o n , a n d d e t a i l s p r o p o s e d p r o j e c t s a n d c o m p l e t i o n s c h e d u l e s f o r t r a n s p o r t a t i o n i m p r o v e m e n t s t o M e t r o l i n k , e x p r e s s b u s , f r e e w a y s a n d i n t e r c h a n g e s , n e w e a s t - w e s t h i g h w a y c o r r i d o r s , a n d h i g h - s p e e d r a i l . A t t a c h m e n t : 2 0 1 0 S t a t e R o u t e 9 1 I m p l e m e n t a t i o n P l a n A g e n d a I t e m 8 E 5 5 " " T A B L E O F C O N T E N T S T A B L E O F C O N T E N T S S E C T I O N 1 : 2 0 1 0 S T A T U S R E P O R T A N D U P D A T E 1 S E C T I O N 2 : I M P L E M E N T A T I O N P L A N 7 B Y Y E A R 2 0 1 3 g B Y Y E A R 2 0 1 5 1 1 B Y Y E A R 2 0 2 3 1 6 B Y Y E A R P O S T - 2 0 2 5 / 2 0 3 0 2 1 S E C T I O N 3 : C O M P L E T E D P R O J E C T E X H I B I T S 2 7 S E C T I O N 4 : R E F E R E N C E S 3 0 2 0 1 0 S R - 9 1 I M P L E M E N T A T I O N P L A N 5 7 " S E C T I O N 1 : 2 0 1 0 S T A T U S R E P O R T A N D U P D A T E " I N T R O D U C T I O N P r e v i o u s l a w a u t h o r i z e d t h e C a l i f o m i a D e p a r t m e n t o f T r a n s p o r t a t i o n ( C a l t r a n s ) t o e n t e r i n t o f r a n c h i s e a g r e e m e n t s w i t h p r i v a t e c o m p a n i e s t o c o n s t r u c t a n d o p e r a t e f o u r d e m o n s t r a t i o n t o l l r o a d p r o j e c t s i n C a l i f o m i a . T h i s r e s u l t e d i n t h e d e v e l o p m e n t o f t h e 9 1 E x p r e s s L a n e s f a c i l i t y i n O r a n g e C o u n t y . T h e f o u r - l a n e , 1 0 - m i l e t o l l r o a d r u n s a l o n g t h e m e d i a n o f t h e R i v e r s i d e F r e e w a y ( S t a t e R o u t e 9 1 ) i n n o r t h e a s t O r a n g e C o u n t y b e t w e e n t h e O r a n g e / R i v e r s i d e C o u n t y L i n e a n d t h e C o s t a M e s a F r e e w a y ( S t a t e R o u t e 5 5 ) . S i n c e t h e 9 1 E x p r e s s L a n e s c a r r i e d i t s f i r s t v e h i c l e o n D e c e m b e r 2 7 , 1 9 9 5 , t h e f a c i l i t y h a s s a v e d u s e r s o v e r 3 2 m i l l i o n h o u r s o f c o m m u t i n g t i m e . W h i l e t h e 9 1 E x p r e s s L a n e s f a c i l i t y h a s i m p r o v e d t r a v e l t i m e a l o n g t h e S t a t e R o u t e 9 1 ( S R - 9 1 ) c o r r i d o r , p r o v i s i o n s i n t h e f r a n c h i s e a g r e e m e n t b e t w e e n C a l t r a n s a n d t h e p r i v a t e f r a n c h i s e e , t h e C a l i f o r n i a P r i v a t e T r a n s p o r t a t i o n C o m p a n y ( C P T C ) , p r o h i b i t e d C a l t r a n s a n d c o u n t y t r a n s p o r t a t i o n a g e n c i e s f r o m a d d i n g t r a n s p o r t a t i o n c a p a c i t y o r o p e r a t i o n a l i m p r o v e m e n t s t o t h e S R - 9 1 c o r r i d o r f r o m t h e O n t a r i o F r e e w a y ( I n t e r s t a t e 1 5 ) i n R i v e r s i d e C o u n t y t o t h e O r a n g e / L o s A n g e l e s C o u n t i e s b o r d e r t h r o u g h t h e y e a r 2 0 3 0 . C o n s e q u e n t l y , t h e p u b l i c a g e n c i e s w e r e b a r r e d f r o m a d d i n g n e w l a n e s , i m p r o v i n g i n t e r c h a n g e s , a n d a d d i n g o t h e r i m p r o v e m e n t s t o d e c r e a s e c o n g e s t i o n o n t h e S R - 9 1 f r e e w a y . R e c o g n i z i n g t h e n e e d t o e l i m i n a t e t h e n o n - c o m p e t e p r o v i s i o n o f t h e f r a n c h i s e a g r e e m e n t , G o v e r n o r G r a y D a v i s s i g n e d A s s e m b l y B i l l 1 0 1 0 ( L o u C o r r e a ) ( A B 1 0 1 0 ) i n t o l a w i n S e p t e m b e r 2 0 0 2 , p a v i n g t h e w a y f o r m u c h - n e e d e d c o n g e s t i o n r e l i e f f o r t h o u s a n d s o f d r i v e r s w h o u s e S R - 9 1 t o t r a v e l b e t w e e n R i v e r s i d e a n d O r a n g e C o u n t i e s e a c h d a y . T h e b i l l a l l o w e d t h e O r a n g e C o u n t y T r a n s p o r t a t i o n A u t h o r i t y ( O C T A ) t o p u r c h a s e t h e 9 1 E x p r e s s L a n e s f r a n c h i s e a n d e l i m i n a t e t h e e x i s t i n g c l a u s e t h a t p r o h i b i t e d a n y c a p a c i t y - e n h a n c i n g i m p r o v e m e n t s f r o m b e i n g m a d e t o S R - 9 1 u n t i l t h e y e a r 2 0 3 0 . T h e p u r c h a s e a g r e e m e n t f o r t h e 9 1 E x p r e s s L a n e s w a s c o m p l e t e d i n J a n u a r y 2 0 0 3 , p l a c i n g t h e r o a d i n p u b l i c h a n d s a t a c o s t o f $ 2 0 7 . 5 m i l l i o n . W i t h t h e e l i m i n a t i o n o f t h e n o n - c o m p e t e p r o v i s i o n t h r o u g h A B 1 0 1 0 a n d t h e s u b s e q u e n t 9 1 E x p r e s s L a n e s p u r c h a s e b y t h e O C T A , O r a n g e C o u n t y a n d R i v e r s i d e C o u n t y p u b l i c o f f i c i a l s . a n d C a l t r a n s D i s t r i c t s 8 a n d 1 2 h a v e b e e n c o o r d i n a t i n g i m p r o v e m e n t p l a n s f o r S R - 9 1 . S e n a t e B i l l 1 3 1 6 ( L o u C o r r e a ) ( S B 1 3 1 6 ) w a s s i g n e d i n t o l a w i n A u g u s t 2 0 0 8 a s a n u p d a t e t o t h e p r o v i s i o n s o f A B 1 0 1 0 . S B 1 3 1 6 a u t h o r i z e s O C T A t o t r a n s f e r i t s r i g h t s a n d i n t e r e s t s i n t h e R i v e r s i d e C o u n t y p o r t i o n o f S R - 9 1 t o l l l a n e s b y a s s i g n i n g t h e m t o t h e R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n ( R C T C ) , a n d a u t h o r i z e s R C T C t o i m p o s e t o l l s f o r 5 0 y e a r s . S B 1 3 1 6 a l s o r e q u i r e s O C T A , i n c o n s u l t a t i o n w i t h C a l t r a n s a n d R C T C , t o a n n u a l l y i s s u e a p l a n a n d a p r o p o s e d c o m p l e t i o n s c h e d u l e f o r S R - 9 1 i m p r o v e m e n t s f r o m S t a t e R o u t e 5 7 ( S R - 5 7 ) t o I n t e r s t a t e 1 5 ( 1 - 1 5 ) . T h e p r e v i o u s S R - 9 1 I m p l e m e n t a t i o n P l a n i n c l u d e d a w e s t e r l y p r o j e c t l i m i t o f S t a t e R o u t e 5 5 ( S R - 5 5 ) . T h i s p l a n e s t a b l i s h e s a p r o g r a m o f p r o j e c t s e l i g i b l e f o r f u n d i n g b y t h e u s e o f p o t e n t i a l e x c e s s t o l l r e v e n u e a n d o t h e r f u n d s . T h i s 2 0 1 0 S R - 9 1 I m p l e m e n t a t i o n P l a n ( P l a n ) i s t h e r e s u l t o f t h e r e q u i r e m e n t t o p r o v i d e t h e S t a t e L e g i s l a t u r e w i t h a n a n n u a l I m p l e m e n t a t i o n P l a n f o r S R - 9 1 i m p r o v e m e n t s a n d b u i l d s o n t h e 2 0 0 9 r e p o r t , w h i c h w a s a m a j o r u p d a t e o f t h e p r e v i o u s a n n u a l I m p l e m e n t a t i o n P l a n s . T h i s y e a r ' s u p d a t e i n c l u d e s p r o j e c t s i d e n t i f i e d i n t h e R i v e r s i d e C o u n t y O r a n g e C o u n t y M a j o r I n v e s t m e n t S t u d y ( M I S ) a s w e l l a s o t h e r p r o j e c t d e v e l o p m e n t e f f o r t s a n d f u n d i n g p r o g r a m s s u c h a s t h e R C T C 1 0 - Y e a r W e s t e m C o u n t y H i g h w a y D e l i v e r y P l a n t h a t o u t l i n e s a n u m b e r o f p r o j e c t s s u c h a s t h e e x t e n s i o n o f H i g h O c c u p a n c y T o l l ( H O T ) L a n e s f r o m t h e O r a n g e / R i v e r s i d e C o u n t y L i n e t o 1 - 1 5 , t h e C a l i f o r n i a T r a n s p o r t a t i o n C o m m i s s i o n ( C T C ) C o r r i d o r M o b i l i t y I m p r o v e m e n t A c c o u n t ( C M I A ) t h a t p r o v i d e s a f u n d i n g s o u r c e f o r t r a n s p o r t a t i o n p r o j e c t s , t h e e x t e n s i o n o f t h e M e a s u r e A p r o g r a m t h a t p r o v i d e s f u n d i n g f o r t r a n s p o r t a t i o n p r o j e c t s i n R i v e r s i d e C o u n t y , a n d t h e R e n e w e d M e a s u r e M p r o g r a m t h a t p r o v i d e s f u n d i n g f o r t r a n s p o r t a t i o n p r o j e c t s i n O r a n g e C o u n t y . T h e 2 0 1 0 P l a n i n c l u d e s a n o v e r v i e w , i d e n t i f i c a t i o n o f i s s u e s a n d n e e d s , t i m e f r a m e s f o r p r o j e c t p a c k a g e s t o i m p r o v e m o b i l i t y o n S R - 9 1 , a n d a r e l i s t e d b a s e d o n a l o g i c a l s e q u e n c e f o r 2 0 1 0 S R - 9 1 I M P L E M E N T A T I O N P L A N 1 5 8 implementation. Project descriptions include conceptual lane diagrams (as appropriate), cost estimates (in 2009 dollars, or as noted), and discussion of key considerations that need to be addressed in the planning and development of each project. This plan will provide OCTA, RCTC, and Ca!trans with a framework to implement SR-91 and other related improvements. Future annual plan updates will continue to refine the scope, cost, and schedule of each project included in this version of the plan. SR-91 CORRIDOR CONDITIONS Project Limits The project study limits encompass the segment of SR-91 from west of the junction of SR-57 and SR-91 in the City of Anaheim in Orange County, to east of the junction of SR-91 and 1-15 in the City of Corona in Riverside County. The freeway segment is approximately 20.3 miles long, and includes approximately 12.7 miles within Orange County and approximately 7.6 miles within Riverside County. Traffic Conditions Summary A review of traffic conditions in the Corridor indicates that the existing carrying capacity of the facility is inadequate to accommodate current and future peak demand volumes, and that Level of Service (LOS) F prevails in the peak direction during the entire peak period, where LOS F is defined as the worst freeway operating condition and is defined as a density of more than 45 passenger cars/lane/mile. The results also indicate that there are several physical constraints that generate unacceptable traffic queues. The following list summarizes the deficiencies identified along the SR-91 Corridor: ❖ Heavy traffic volumes from 1-15 (North and South) converge with SR-91. The weaving and merging condition is complicated by the dose proximity of the Westbound (WB) Main Street off -ramp. ❖ High demand from several on -ramps within the eastem segment exacerbates traffic conditions during rush hours. ❖ An eastbound (EB) general purpose (GP) lane is dropped just east of the Corona Expressway (State Route 71). The second EB High Occupancy Vehicle (HOV) lane becomes a GP lane. Heavy downstream congestion forces traffic to exit at the Green River off -ramp. The backup caused by the off -ramp blocks the right lane of the mainline freeway. ❖ High traffic volumes from Gypsum Canyon Road and Santa Ana Canyon Road contribute to congestion on the mainline. ❖ The Foothill Transportation Corridor (State Route 241) merges with SR-91 causing additional congestion in the EB direction. Both EB lanes from State Route 241 (SR-241) are dropped prior to State Route 71 (SR-71). ❖ Heavy traffic reentering the freeway merges at slow speeds from existing WB and EB truck scales, impacting the general-purpose lanes. ❖ SR-55 merges with SR-91. An EB lane on SR-91 is dropped at Lakeview Avenue and a second EB lane is dropped at Imperial Highway creating a severe merge condition. WB SR-91 drops a GP lane and a 91 Express Lane to SB SR-55, which contributes to mainline congestion. This drop also occurs on the left-hand side of SR-91 as opposed to the typical right-hand exit. ❖ High demand from Weir Canyon Road, Imperial Highway and Lakeview Avenue. ❖ WB traffic entering SR-91 at Lakeview Avenue weaving through three lanes from WB SR-91 to southbound (SB) SR-55 contributes to mainline congestion. PROJECT SUMMARY Many of the projects identified in this 2010 Plan are based on the MIS that was completed in January 2006. The projects are presented based on potential implementation schedules and priorities established in the MIS as well as through subsequent project development. Table 1 summarizes the various projects in the 2010 Plan, and they are outlined below by implementation schedule (see Section 2 for detailed project summaries): ❖ The first set of projects is anticipated to be completed by 2013 and includes two improvements at a total cost of approximately $149 million. The projects include the EB SR-91 lane addition from SR-241 to SR-71, and new travel lanes between SR-55 and SR-241. These projects are in the process of final 2010 SR-91 IMPLEMENTATION PLAN 2 59 " " d e s i g n , c o n s t r u c t i o n , o r p r o c u r e m e n t a n d i m p l e m e n t a t i o n , a s n o t e d i n t h e p r o j e c t s u m m a r i e s . T h e 2 0 1 5 i m p r o v e m e n t s i n c l u d e f o u r p r o j e c t s , w i t h a t o t a l c o s t o f a p p r o x i m a t e l y $ 1 . 9 5 b i l l i o n . T h e p r o j e c t s i n c l u d e i n t e r c h a n g e i m p r o v e m e n t s a t S R - 7 1 / S R - 9 1 ; t h e I n i t i a l S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t ( C I P ) w i l l w i d e n S R - 9 1 b y o n e G P l a n e i n e a c h d i r e c t i o n e a s t o f t h e C o u n t y L i n e , c o l l e c t o r - d i s t r i b u t o r ( C D ) r o a d s a n d d i r e c t s o u t h c o n n e c t o r s a t 1 - 1 5 / S R - 9 1 , e x t e n s i o n o f 9 1 E x p r e s s L a n e s t o 1 - 1 5 , a n d s y s t e m i n t e r c h a n g e i m p r o v e m e n t s ; a n e w W B l a n e a t T u s t i n A v e n u e ; a n d a S R - 2 4 1 / S R - 9 1 H O V / H O T d i r e c t c o n n e c t o r . S o m e o f t h e s e p r o j e c t s m a y b e c o m e c o m p o n e n t s o f P o s t - 2 0 2 5 / 2 0 3 0 p r o j e c t s . V' F o u r p r o j e c t s f o r i m p l e m e n t a t i o n b y 2 0 2 3 i n c l u d e t h e M e t r o l i n k s h o r t - t e r m e x p a n s i o n p l a n , E x p r e s s B u s i m p r o v e m e n t s , a s i g n i f i c a n t e x p a n s i o n o f M e t r o l i n k s e r v i c e a n d s t a t i o n i m p r o v e m e n t s , a n d S R - 9 1 i m p r o v e m e n t s b e t w e e n S R - 5 7 a n d S R - 5 5 . O C T A , R C T C , a n d C a ! t r a n s w i l l b e i n i t i a t i n g p r e l i m i n a r y p l a n n i n g a c t i v i t i e s f o r t h e s e p r o j e c t s t o e n s u r e r e a d i n e s s w h e n l o c a l , s t a t e , o r f e d e r a l f u n d i n g b e c o m e s a v a i l a b l e . C o n s e q u e n t l y , t h e r e m a y b e o p p o r t u n i t i e s t o a d v a n c e t h e s e p r o j e c t s I f a d d i t i o n a l f u n d i n g i s m a d e a v a i l a b l e . P r o j e c t s f o r i m p l e m e n t a t i o n b y 2 0 2 3 w o u l d c o s t a p p r o x i m a t e l y $ 8 0 5 m i l l i o n . " P r o j e c t s f o r P o s t - 2 0 2 5 / 2 0 3 0 i m p l e m e n t a t i o n f o c u s o n l o n g e r - l e a d t i m e p r o j e c t s a n d i n c l u d e : a p o t e n t i a l n e w i n t e r c h a n g e o r o v e r c r o s s i n g a t F a i r m o n t B o u l e v a r d ; t h e U l t i m a t e C I P t h a t w i d e n s S R - 9 1 b y o n e G P l a n e i n e a c h d i r e c t i o n f r o m S R - 2 4 1 t o S R - 7 1 , I - 1 5 / S R - 9 1 D i r e c t N o r t h C o n n e c t o r ; e x t e n s i o n o f E x p r e s s L a n e s o n 1 - 1 5 a n d S R - 9 1 i m p r o v e m e n t s e a s t o f 1 - 1 5 ; a n e l e v a t e d 4 - l a n e f a c i l i t y ( M I S C o r r i d o r A ) f r o m S R - 2 4 1 t o 1 - 1 5 ; I r v i n e - C o r o n a E x p r e s s w a y ( I C E ) 4 - l a n e f a c i l i t y f r o m S R - 2 4 1 / S R - 1 3 3 t o I - 1 5 / C a j a l c o R o a d ( f o r m e r l y k n o w n a s M I S C o r r i d o r B ) ; a n d t h e A n a h e i m t o O n t a r i o I n t e r n a t i o n a l A i r p o r t H i g h S p e e d R a i l . T h e $ 7 7 m i l l i o n d o l l a r i n t e r c h a n g e p r o j e c t a n d t h e o t h e r f o u r , m u l t i - b i l l i o n d o l l a r p o t e n t i a l p r o j e c t s r e q u i r e a s i g n i f i c a n t a m o u n t o f p l a n n i n g , T a b l e 1 S R - 9 1 I m p l e m e n t a t i o n P l a n P r o j e c t s P r o j e c t P r o j e c t S u m m a r y ( I m p l e m e n t a t i o n Y e a r ) N o . B y Y e a r 2 0 1 3 1 E a s t b o u n d L a n e A d c h t i o n f r o m S R - 2 4 1 t o S R - 7 1 ( 2 0 1 0 ) 2 W i d e n S R - 9 1 b e t w e e n S R - 5 5 a n d S R - 2 4 1 b y A d d i n g a 5 t G P L a n e i n E a c h D i r e c t i o n ( 2 0 1 3 ) S U B T O T A L C o s t ( S t y ) 5 1 . 2 9 8 . 0 1 4 9 . 2 B y Y e a r 2 0 1 5 S R - 7 1 / S R - 9 1 I n t e r c h a n g e I m p r o v e m e n t s ( 2 0 1 5 ) 1 2 3 . 5 I n i t i a l C I P : W i d e n S R - 9 1 b y O n e G P l a n e i n E a c h D i r e c t i o n E a s t o f C o u n t y L i n e , C D R o a d s a n d I - 1 5 / S R - 9 1 D i r e c t S o u t h C o n n e c t o r , E x t e n s i o n o f E x p r e s s L a n e s t o 1 - 1 5 a n d S y s t e m I n t e r c h a n g e I m p r o v e m e n t s ( 2 0 1 5 ) 5 S R - 9 1 W B L a n e a t T u s t i n A v e n u e ( 2 0 1 5 ) 6 S R - 2 4 1 1 S R - 9 1 H O V M O T : C o n n e c t o r ( 2 0 1 5 ) S U B T O T A L i d i h k S t t o r T T e i m E x p a n s i o t t . P l a r t ( 2 d 1 8 r p r e s s e s l m p r o v e m e n t s ` O r a n g e C o i t P t o " ! ! n k v ��` , o e a q ��S t a t i p ��1 t a e t i n t e e a S R 5 7 ��a n r 1 ` 1 3 t o 1 1 5 1 D a j a t e o R c n a f i e r r r r f o O n t a r i o I n t e r n a l d n a l 1 , 3 0 0 9 1 . 5 4 4 0 . 0 1 9 5 5 , d e s i g n , a n d f u t u r e p o l i c y a n d p u b l i c i n p u t . I n s o m e c a s e s , t h e s e p r o j e c t s m a y i n c l u d e p r e v i o u s p r o j e c t s a s p r o j e c t c o m p o n e n t s , s u c h t h a t a l l p r o j e c t s m a y n o t b e i m p l e m e n t e d w i t h i n t h i s p r o j e c t s u m m a y T r a f f i c A n a l y s i s F o r t h e 2 0 1 0 P l a n , t h e t r a f f i c a n a l y s i s f o r m a j o r S R - 9 1 c a p a c i t y p r o j e c t s h a s b e e n u p d a t e d f r o m t h e 2 0 0 9 P l a n . T h i s a n a l y s i s u s e d t h e l a t e s t f r e e w a y o p e r a t i o n s s o f t w a r e m o d e l a v a i l a b l e f r o m U C B e r k e l e y a n d t r a f f i c d a t a c a l i b r a t e d t o r e f l e c t n e w t r a f f i c p a t t e r n s s i n c e N o v e m b e r 2 0 1 0 S R - 9 1 I M P L E M E N T A T I O N P L A N 3 6 0 2009. This freeway operations model provides a better depiction of actual travel delays experienced by motorists compared to traditional travel demand models. The model can be used to analyze freeway bottlenecks sometimes neglected in traditional travel demand models. This approach is especially important given high SR-91 traffic volumes and the potential for relatively few vehicles to significantly slow down traffic. For example, a minor freeway merging area can cause many vehicles to slow, cascading delay through the traffic stream, and suddenly both speed and volume rapidly decrease for major segments of the freeway. The operations analysis quantified travel time savings for WB morning and EB afternoon conditions for the following major capacity enhancing projects: • EB lane addition from SR-241 to SR-71 by 2010 (Project 1). ❖ New WB/EB lanes from SR-55 to SR-241 by 2013 (Project 2). New WB/EB lanes from SR-71 to 1-15 by 2015 (Initial CIP, Project 4). SR-241/SR-91 connector with lanes to SR-71 by 2015 (Project 6). ❖ EB lane between SR-57 and SR-55 by 2023 (Project 10). ❖ New WB/EB lanes, various segments, from SR-241 to 1-15 by Post-2025 (Ultimate CIP, Project 12). ❖ New capacity provided by Corridor A and ICE by Post-2025/2030 (Projects 13 and 14). The results indicate that the WB moming travel times increase for 2013 as there are no planned SR-55/SR-91 interchange bottleneck improvements, but by 2015 the travel time decreases due to the Interim CIP improvements. The 2023 projects do not offer significant capacity improvements; therefore, WB travel times increase. WB and EB results for 2030 illustrate travel time significantly decreases with the Ultimate CIP project. The 2013 afternoon travel times increase for EB SR-91 as no projects in Riverside County are planned for 2013, whereas the 2015 Initial CIP project will significantly decrease EB travel times. EB travel times increase for 2023 as there are only improvements between SR-57 and SR-55 within the SR-91 corridor. The current design of the SR-55/SR-91 interchange limits the ability to move traffic into north and central Orange County via SR-55, and significant future vehicle delays may result without major interchange improvements and downstream capacity increases or diversion to other corridors. The introduction of Corridors A and B by Post-2025/2030 offers the potential capacity to manage future SR-91 traffic demand in both directions. While both of these corridors are still concepts, they provide substantial relief to EB and WB traffic congestion in the future. Further feasibility studies will determine if one or both concepts move forward in the project development process. The charts below describe the travel time benefits by year including these various project concepts. The 2030 scenario shows travel time without the Corridor A and B improvements. Figure 1-1— Mainline Westbound SR-91 from 1-15 to SR-57 A.M. Peak Hour Average Travel Time 120 too 80 60 Mainline' Westbound SR-91 From I-15 to SR-57 AM Peak Hour Average Travel Time (in Minutes) 40 — 20 0 Ex stl (2010) 2013 2015 2023 61 Orange County ❑ Riverside County 2030 2030 A&e 2010 SR-91 IMPLEMENTATION PLAN 4 61 " " F i g u r e 1 - 2 M a i n l i n e E a s t b o u n d S R - 9 1 f r o m S R - 5 7 t o 1 - 1 5 P . M . P e a k H o u r A v e r a g e T r a v e l T i m e M a i n l i n e . E a s t b o u n d S R - 9 1 f r o m S R - 5 7 t o 1 - 1 5 P M P e a k H o u r A v e r a g e T r a v e l T i m e ( i t r I V l i n u t e s ) t $ O r a n g e C o u n t y O f t i v e r s i d e C o u n t y . P R O J E C T A C C O M P L I S H M E N T S M u c h p r o g r e s s h a s b e e n m a d e s i n c e t h e i n i t i a l 2 0 0 3 S R - 9 1 I m p l e m e n t a t i o n P l a n w a s a p p r o v e d . N e w f o r t h e 2 0 1 0 P l a n i s t h e i n c l u s i o n o f s e l e c t c o m p l e t e d p r o j e c t e x h i b i t s a s a r e f e r e n c e , s e e S e c t i o n 3 . R e c e n t l y C o m p l e t e d C o n s t r u c t i o n / I m p r o v e m e n t P r o j e c t s A s o f M a y 2 0 1 0 , t h e f o l l o w i n g p h y s i c a l i m p r o v e m e n t s h a v e b e e n c o n s t r u c t e d / i m p l e m e n t e d : V' R e p a v e d a n d s e a l e d p a v e m e n t s u r f a c e s , r e p l a c e d r a i s e d c h a n n e l i z e r s , a n d r e s t r i p e d l a n e s o n t h e 9 1 E x p r e s s L a n e s . " E B S R - 9 1 r e s t r i p e a n d m e d i a n b a r r i e r r e c o n s t r u c t i o n p r o j e c t t h a t r e m o v e d t h e C H P e n f o r c e m e n t a r e a a n d e x t e n d e d t h e E B a u x i l i a r y l a n e f r o m S R - 7 1 t o t h e S e r f a s C l u b D r i v e o f f - r a m p . " : E x p r e s s B u s i m p r o v e m e n t s a r e i m p l e m e n t e d f o r t h e G a l l e r i a a t T y l e r t o S o u t h C o a s t M e t r o r o u t e . V' W B a u x i l i a r y l a n e e x t e n s i o n b e t w e e n t h e C o u n t y L i n e a n d S R - 2 4 1 . T h i s p r o j e c t e l i m i n a t e d t h e l a n e d r o p a t t h e 9 1 E x p r e s s L a n e s a n d e x t e n d e d t h e e x i s t i n g a u x i l i a r y l a n e f r o m t h e C o u n t y L i n e t o S R - 2 4 1 i n t h e w e s t b o u n d d i r e c t i o n . T h i s i m p r o v e m e n t m i n i m i z e d t h e t r a f f i c d e l a y s a t t h e l a n e d r o p a r e a , r e s u l t i n g i n i m p r o v e d v e h i c l e p r o g r e s s i o n . " W B r e s t r i p e p r o j e c t e x t e n d e d t h e a u x i l i a r y l a n e b e t w e e n S R - 7 1 a n d t h e C o u n t y L i n e r e s u l t i n g i n a n e w c o n t i n u o u s a u x i l i a r y l a n e b e t w e e n S R - 7 1 & S R - 2 4 1 . V' S a f e t y I m p r o v e m e n t s a t t h e T r u c k S c a l e s . E x i s t i n g s h o u l d e r s w e r e i m p r o v e d , l a n e s w e r e r e - s t r i p e d , i l l u m i n a t i o n i m p r o v e d , a n d s i g n a g e w a s m o d i f i e d i n t o a n d o u t o f t h e E B f a c i l i t i e s . V' G r e e n R i v e r R o a d o v e r c r o s s i n g r e p l a c e m e n t ( S e e S e c t i o n 3 ) . V' M e t r o l i n k p a r k i n g s t r u c t u r e a t t h e N o r t h M a i n S t r e e t C o r o n a M e t r o l i n k S t a t i o n ( S e e S e c t i o n 3 ) . T h e s e p r o j e c t s p r o v i d e e n h a n c e d f r e e w a y c a p a c i t y a n d i m p r o v e d m o b i l i t y f o r o n e o f t h e m o s t c o n g e s t e d s e g m e n t s o f t h e f r e e w a y . I n a d d i t i o n , t h e r e a r e t w o p r o j e c t s t h a t a r e c u r r e n t l y i n t h e p r o j e c t d e v e l o p m e n t p h a s e t h a t h a v e a d i r e c t i m p a c t u p o n S R - 9 1 w i d e n i n g p r o j e c t s . T h e f i r s t i s t h e $ 2 b i l l i o n U . S . A r m y C o r p s o f E n g i n e e r s ( C o r p s ) S a n t a A n a R i v e r M a i n s t e m ( S A R M ) i m p r o v e m e n t p r o j e c t t h a t p r o v i d e s f l o o d p r o t e c t i o n f r o m t h e r e c e n t l y i m p r o v e d P r a d o D a m ( n e a r S R - 7 1 ) t o t h e P a c i f i c O c e a n . A s p a r t o f t h e C o r p s ' p r o j e c t , e x i s t i n g r i v e r b a n k s h a v e b e e n i m p r o v e d d u e t o t h e i n c r e a s e d c a p a c i t y o f t h e P r a d o D a m o u t l e t w o r k s , w h i c h c a n n o w r e l e a s e u p t o 3 0 , 0 0 0 c f s c o m p a r e d t o t h e p r e v i o u s f a c i l i t y c a p a c i t y o f 1 0 , 0 0 0 c f s . T h e o n l y r e m a i n i n g s e g m e n t o f t h e S a n t a A r i a R i v e r t o - b e i m p r o v e d i s R e a c h 9 , w h i c h i n c l u d e s a r e a s a l o n g S R - 9 1 f r o m t h e C o a l C a n y o n W i l d l i f e C o r r i d o r C r o s s i n g t o S R - 7 1 . S R - 9 1 p r o j e c t d e s i g n t e a m s h a v e c o o r d i n a t e d w i t h t h e C o r p s ; C a l t r a n s ; a n d o t h e r f e d e r a l , r e g i o n a l , a n d l o c a l a g e n c i e s i n o r d e r t o a c c o m m o d a t e f u t u r e S R - 9 1 i m p r o v e m e n t s b y t h e C o r p s b a n k p r o t e c t i o n p r o j e c t w i t h i n R e a c h 9 b y r e l o c a t i n g t h e S a n t a A n a R i v e r w h i l e i t w o u l d h a v e b e e n o t h e r w i s e d i s t u r b e d b y t h e o r i g i n a l C o r p s p r o j e c t t o p r o t e c t - i n - p l a c e t h e r i v e r b a n k p r o t e c t i o n f o r S R - 9 1 . T h i s w i l l g r e a t l y 2 0 1 0 S R - 9 1 I M P L E M E N T A T I O N P L A N 5 6 2 enhance the ability of Caftans and other regional transportation agencies to implement many of the SR-91 improvement projects listed herein. The Corps SARM Reach 9 improvements are under construction with American Recovery and Reinvestment Act (ARRA) "stimulus" funding. The other project with a direct impact to SR-91 is the $100 million Santa Ana Regional Interceptor (SARI) sewer trunk line relocation. The existing SARI line is within the Santa Ana River floodplain and is in jeopardy of failure due to scour from the potential increased flood releases by the aforementioned Corps project. In order to relocate the proposed 48-inch diameter SARI line outside of the floodplain, which is immediately adjacent to SR-91, highway RAW needs to be relinquished to the Orange County Flood Control District (OCFCD) for location of the SARI line. SR-91 project teams have coordinated with the OCFCD; Caltrans; and other federal, regional, and local agencies in order to accommodate planned SR-91 improvements within the remaining State RNV subsequent to relinquishment. This project initiated the preliminary engineering phase in early 2009 and is scheduled to complete construction by summer 2012. Recently Completed PSR's and other Reports In addition to the physical improvements in the corridor, there are several reports and PSR's that are completed, in draft form, or anticipated to be approved that identify improvements that will provide improved mobility. The reports and PSR's include (also see Section 4): ❖ Project Study Report "On State Route 91 Between the SR-91/SR-55 Interchange and the SR-91/SR-241 Interchange in Orange County" (April 2004). ❖ MIS — Final Project Report: Locally Preferred Strategy Report (January 2006). ❖ Project Study Report "On Route 91 from State Route 241 in Orange County to Pierce Street in the City of Riverside in Riverside County" (October 2006). Renewed Measure M Transportation Investment Plan (November 2006). ❖ Project Study Report for SR-71/SR-91 Interchange (December 2006). ❖ RCTC 10-Year Westem County Highway Delivery Plan (December 2006). • ••• Renewed Measure M Early Action Plan, approved August 2007. 91 Express Lanes Extension and State Route 241 Connector Feasibility Study (March 2009). Project Study Report "On State Route 91 Between the SR-91/SR-55 Interchange and the SR-91/SR-241 Interchange in Orange County" (April 2009). ❖ Plans, Specifications and Estimates (PS&E) for Eastbound SR-91 lane addition from SR-241 to SR-71 (May 2009). ❖ Renewed Measure M Strategic Plan (June 2009). ❖ SR-91 Feasibility Study from SR-57 to SR-55 (December 2009). ❖ SR-91/Fairmont Boulevard Feasibility Study (December 2009). Updates from the 2009 SR•91 Implementation Plan In addition, to the improvements and progress noted above, the following projects that were included in the 2009 SR-91 Implementation Plan have been modified or dropped for the 2010 Plan: ❖ A new Section 3 has been added to the 2010 Plan that includes exhibits of completed projects from prior plans as a reference. ❖ The North Main Street Corona Metrolink parking structure improvements have been completed and the project is moved to Section 3 of the Plan. ❖ The SR-55/SR-91 interchange improvements project has been deleted as a standalone for 2010 and is consolidated with Project 10 from SR-57 to SR-55. 4• The CIP project is split into two phases: Initial (Project 4) and Ultimate (Project 12). • The 2011 horizon year has been updated to 2013 to capture projects to be implemented before 2015. ❖ The 2022 horizon year has been updated to 2023 to capture projects to be implemented before 2025. • Various project costs and schedules have been updated from the 2009 Plan based on continued project development. 2010 SR-91 IMPLEMENTATION PLAN 6 63 " S E C T I O N 2 : O V E R V I E W T h e 2 0 1 0 P l a n d e s c r i b e s p r o j e c t s , i m p l e m e n t a t i o n s c h e d u l e s , k e y c o n s i d e r a t i o n , b e n e f i t s , a n d c o s t s ( i n 2 0 0 9 d o l l a r s , o r a s n o t e d ) f o r m a j o r p r o j e c t s t h r o u g h P o s t - 2 0 2 5 / 2 0 3 0 . M o s t o f t h e p r o j e c t s i d e n t i f i e d i n t h i s I m p l e m e n t a t i o n P l a n a r e b a s e d o n t h e M I S t h a t w a s c o m p l e t e d i n J a n u a r y 2 0 0 6 . T h e p r o j e c t s a r e p r e s e n t e d b a s e d o n p o t e n t i a l i m p l e m e n t a t i o n s c h e d u l e s a n d p r i o r i t i e s e s t a b l i s h e d i n t h e M I S . T h e s c h e d u l e s f o r i m p l e m e n t a t i o n o f t h e p a c k a g e s o f p r o j e c t s i n c l u d e 2 0 1 3 , 2 0 1 5 , 2 0 2 3 , a n d P o s t - 2 0 2 5 / 2 0 3 0 . T h e 2 0 1 3 a n d 2 0 1 5 p r o j e c t s a r e c a p a b l e o f b e i n g i m p l e m e n t e d t h r o u g h t h e p r o j e c t d e v e l o p m e n t p r o c e s s w i t h m i n i m a l t o m o d e r a t e e n v i r o n m e n t a l c o n s t r a i n t s . S o m e o f t h e l o n g e r - r a n g e p r o j e c t s f o r 2 0 2 3 a n d P o s t - 2 0 2 5 / 2 0 3 0 r e q u i r e m o r e s i g n i f i c a n t p l a n n i n g a n d e n v i r o n m e n t a l a s s e s s m e n t p r i o r t o d e s i g n . E a c h o f t h e p r o j e c t i m p r o v e m e n t s i n c l u d e s a n e s t i m a t e o f p r o j e c t s c h e d u l e s . I t i s i m p o r t a n t t o n o t e t h a t i m p l e m e n t i n g v a r i o u s t i m e s a v i n g m e a s u r e s , s u c h a s d e s i g n - b u i l d o r c o n t r a c t o r i n c e n t i v e s f o r e a r l y c o m p l e t i o n , m a y p o t e n t i a l l y r e d u c e p r o j e c t s c h e d u l e s . T h e i m p l e m e n t a t i o n p h a s e s a r e d e f i n e d a s f o l l o w s : I M P L E M E N T A T I O N P L A N " 3 C o n c e p t u a l E n g i n e e r i n g = P r e - P r o j e c t S t u d y R e p o r t ( P r e - P S R ) C o n c e p t u a l p l a n n i n g . a n d e n g i n e e r i n g f o r p r o j e c t s c o p i n g a n d f e a s i b i l i t y p r i o r t o i n i t i a t i n g t h e P S R p h a s e . + P r e l i m i n a r y E n g i n e e r i n g = P r o j e c t S t u d y R e p o r t ( P S R ) C o n c e p t u a l p l a n n i n g a n d e n g i n e e r i n g p h a s e t h a t a l l o w s f o r p r o g r a m m i n g o f f u n d s . V' E n v i r o n m e n t a l = P r o j e c t R e p o r t l E n v i r o n m e n t a l D o c u m e n t a t i o n ( P R I E D ) T h e d e t a i l e d c o n c e p t d e s i g n t h a t p r o v i d e s e n v i r o n m e n t a l c l e a r a n c e f o r t h e p r o j e c t a n d p r o g r a m s f o r f i n a l d e s i g n a n d r i g h t o f w a y a c q u i s i t i o n . T h e d u r a t i o n f o r t h i s p h a s e i s t y p i c a l l y 2 - 3 y e a r s . V' D e s i g n = P l a n s , S p e c i f i c a t i o n s a n d E s t i m a t e s ( P S & E ) P r o v i d e d e t a i l e d d e s i g n t o c o n t r a c t o r s f o r c o n s t r u c t i o n b i d d i n g a n d i m p l e m e n t a t i o n . V' C o n s t r u c t i o n = T h e p r o j e c t h a s c o m p l e t e d c o n s t r u c t i o n a n d w i l l p r o v i d e c o n g e s t i o n r e l i e f t o m o t o r i s t s . T h e i n t e n t o f t h e s e i m p l e m e n t a t i o n p l a n p r o j e c t p a c k a g e s i s t o p r o v i d e a n a c t i o n l i s t f o r O C T A , R C T C a n d C a ! t r a n s t o p u r s u e i n t h e p r o j e c t d e v e l o p m e n t p r o c e s s o r f o r i n i t i a t i n g f u r t h e r s t u d i e s . F i g u r e 2 - 1 S R - 9 1 P r o j e c t S t u d y A r e a f r o m S R - 5 7 t o 1 - 1 5 2 0 1 0 S R - 9 1 I M P L E M E N T A T I O N P L A N 7 6 4 BY YEAR 201 3 The first set of projects will be completed by 2013 and includes two improvements at a total cost of approximately $149 million (in 2009 dollars). The projects include the EB SR-91 lane addition from SR-241 to SR-71, and new travel lanes between SR- 55 and SR-241. These projects are in the process of final design, construction, or procurement and implementation. These projects are recommended for the first few years of the Plan and will provide mobility improvements to the corridor when implemented. These near term projects provide immediate operational benefits with a minimum of effort required relative to environmental documentation and Right -of -Way constraints. Project No. Project Summary (Implementation Year) Cost ($M) 1 Eastbound Lane Addition from SR-241 to SR-71(2010) 51.2 2 Widen SR-91 between SR55 and SR-241 by Adding a 5th GP Lane in Each Direction (2013) 98.0 SUBTOTAL 149.2 Figure 2-2 — Summary of Projects for Implementation By 2013 2010 SR-91 IMPLEMENTATION PLAN 8 • 65 Eastbotmd Lane Addition from 5R-241 to SR-71 Project NC: Antielpated CoMpletfter2010 PiOjec(CestEstitinte Capital Cost Support Cost RAN Cost Total Project Gast Project Schedule Preliminary Engineering Envimnmental Design Construction $ 41,000,000 8,000,1X10 S 2,20tt,000 $ S1,200,000 Completed Completed Completed 2009420'10 *Costs from final design estimates (2009 dollars) 4 LEGEND Existing Keyway 11=1 Interchange/Ramp rwm. County Line FiOY es HOT Lane :I Baking Lane MEM ProJect Inghvement Lam ot-Evs' 6ng intenhange Gypsum CanyR on oir I- - I"- •".. 4- I i_...T__ ......___ _ _ 1 1 On Off--------43) Project Desertptiori The project will provide an additional eastbound (EB) lane from the -SR-91/S11241 interchange to the SR771/SR-91 interchange and will Widen all EB lanes andaboulders tostandard widths. Key Corislderations Coonlination with the SR-91 Corridor Improvement Projects (Pmject 44 and #12) will be required_ Staged construction would he required for all ramp reconstruction and freeway widening_ Freeway operations -would most likely be affected by this project, however, freeway lane ctosures are not anticipated. An EB concrete shoulder will be constructed with a 12 foot width to provide for future widening as contemplated by Project #f4 and #12. Benefits The lane addition would help to alleviate the weaving condition between SR-241 and SR-71, as well as remove vehicles from the SR-01 mainline that would be exiting at Green River Road and SR-71. Current Status The environmental phase was completed in December 2007, Funding is from the American Recovery and Reinvestment Act (ARRA) with $71.4414 approved, and the balance of pmject costs are from other sources. Construction began HI late 2009 and is scheduled to be completed by Fall 2010. Coal Canyon littiC County Line AZigt.**410,!AWNI*29.,' Green River Rd On Off On Off On Off On 2010 SR-91 IMPLEMENTATION PLAN 9 66 Widen SR-91 bebAreen SR-55 and SR-241 by Adding a 5th GP 1Lane in Each Direction Project No: 2 Arittditated Comigettorti 201a Project Cost Estimate* Capital Cost $70,000,000 'Support Cost $-24,500,000 RAN Cost $ 3 500 000 Total Project Cost $ 98 000 000 Project Schedule Preliminary Engirieering ComPleted Environmental Completed Design 2000-2010 - COnstnictim 2011-2013 *Costs from Caltmns Project 'Report (2099 doltars) LEGEND Biding -Highway Imo ramp Euating Interchange s Pmposed hitcrthange HOV or NOT Lane BONEN Lane Inn•PrnEct Improvement Lane ;t AuxtUary Lane 2- Lakeview Av On Oif Off Project Description This projectproposes capacity pail operational improvements W.:adding .onegeneral purpose (GPilaile on eaStbOundiER),S11-01..frOirrtha SR-55rSR-41 cc ime*r to east of WeirGanyon Road ititertbarige - and on westbound (Vi(B) SR-91.from just:bast:Of Woir Canyon:ROM inferf,i‘lnge,40 the Imperial Higlwray (Sli-99).interChatige'. tlidtiltiOnak this project would facilitaM truCkiraffit approaching the ' Arlie§ in -both directions Key Considerations Caltraris is not considering relocation ate truck scales of tinie. Benefits Alleviates congestion on WB SR-91 by eliminating thAlane...drop at the truck scales and providing a continuous GP lane to SR-9E Alteviates congestion on ER SR-91 by efirrtinaOtig* the lane drop fcirriorlittitind (NB) S14-55 at SIR-91 by providing an auxiliary lane to Lalrevimit Avenue, and at SR-90 by providing a continuous GP lane "through Wriir Canyon Road. Current Status Preliminary, engreenng was coMpletoct MM,9,a0proVed by:Dattrar*I The, , 'enVironrnorital phase was completed April, 409_, Dastgit is,45tredittatito beCompleted Septeinher.2818. ConSini*MISAcheiltried1O'begini4tirie 2011. The project; 0:3/1 of. tar.00 Mobility- Inipetiveinent Accourit1CMIA) fundtrig -and- $7, '4h1 of State-Ti.unsPurlatiOrilliPrOVeilleht "Prograni(STIP)Augmentation funds. iURi Fairmont BI Truck Scales Weir Canyon Canyon Rd Out on Off - On Off • Off NOTE: FAIRMONT BLVD IS CONTINGENT UPON IMPLEMENTATION OF PROJECT #11 • • • 2010 SR-91 IMPLEMENTATION PLAN 10 6 7 " B Y Y E A R 2 0 1 5 T h e n e x t s e t o f i m p r o v e m e n t s i n c l u d e s f o u r p r o j e c t s , w h i c h w o u l d b e i m p l e m e n t e d b y 2 0 1 5 a t a t o t a l c o s t o f a p p r o x i m a t e l y $ 1 . 9 5 b i l l i o n ( i n 2 0 0 9 d o l l a r s , o r a s n o t e d ) . O n e o f t h e p r o j e c t s i s t h e i n t e r c h a n g e i m p r o v e m e n t s a t S R - 7 1 / S R - 9 1 . T h e s e c o n d p r o j e c t i s t h e I n i t i a l S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t ( C I P ) t h a t w i l l w i d e n S R - 9 1 b y o n e g e n e r a l p u r p o s e ( G P ) l a n e i n e a c h d i r e c t i o n e a s t o f t h e C o u n t y L i n e , c o l l e c t o r - d i s t r i b u t o r ( C D ) r o a d s a n d d i r e c t s o u t h c o n n e c t o r s a t I - 1 5 / S R - 9 1 , e x t e n s i o n o f 9 1 E x p r e s s L a n e s t o 1 - 1 5 , a n d s y s t e m i n t e r c h a n g e i m p r o v e m e n t s . T h e o t h e r t w o p r o j e c t s t h a t w i l l b e c o m p l e t e d i n t h i s t i m e f r a m e i n c l u d e t h e W B l a n e a t T u s t i n A v e n u e , a n d a S R - 2 4 1 / S R - 9 1 H O V / H O T d i r e c t c o n n e c t o r . P r o j e c t N o . 3 P r o j e c t S u m m a r y ( I m p l e m e n t a t i o n Y e a r ) S R - 7 1 / S R - 9 1 I n t e r c h a n g e I m p r o v e m e n t s ( 2 0 1 5 ) C o s t ( $ M ) 1 2 3 . 5 4 I n i t i a l C I P : W i d e n S R - 9 1 b y O n e G P L a n e i n E a c h D i r e c t i o n E a s t o f C o u n t y L i n e , C D R o a d s a n d I - 1 5 / S R - 9 1 D i r e c t S o u t h C o n n e c t o r , E x t e n s i o n o f E x p r e s s L a n e s t o 1 - 1 5 , a n d S y s t e m I n t e r c h a n g e I m p r o v e m e n t s ( 2 0 1 5 ) 1 , 3 0 0 5 S R - 9 1 W B L a n e a t T u s t i n A v e n u e ( 2 0 1 5 ) 9 1 . 5 6 S R - 2 4 1 / S R - 9 1 H O W H O T C o n n e c t o r ( 2 0 1 5 ) 4 4 0 . 0 S U B T O T A L 1 , 9 5 5 F i g u r e 2 - 3 - S u m m a r y o f P r o j e c t s f o r I m p l e m e n t a t i o n B y 2 0 1 5 2 0 1 0 S R - 9 1 I M P L E M E N T A T I O N P L A N 1 1 6 8 SR-71/SR-91 Interchange Improvements Project No: 3 Anticipated Completion: 2015 Project Cost Estimate' Total. Project Cost $ 123,500,000 Project Schedule Preliminary Engineering Environmental Design/Construction Completed 20082010 20-11-2015 ' Costs derived from RCTC 10-Year Delivery Plan escalated to year of construction (2007;dollar5) LEGEND ammo, EAsing Nighway .verz IGMBIIOV 'aktirxj'*n., roses PmiecttmoroXemer+tlane: mE MOT Laaes %tension tfttft &.6 Road 14tg Piidr�ry. lane:. _Pro*Ptfl OtTroi'en1! s. r Project Description The current project is an On -Ramp. Key Considerations ated to include a new two-lane direct connector flyover from eastbound (EB) SR-91 to northbound (NB) SR-71, and modifications to the existing Green River Road EB SR-91 Project improvements need to be coordinated With the following projects: SR-91 Eastbound (EB) Lane Addition (Project#1), the SR-91 Corridor Improvement Projects (CIP) (Project #4 and #12), and. the. SR 241/S.R-91 High Occupancy Vehicle (HOV)/High Occupancy Toll (HOT) Direct Connector (Project #6)_ The Green River Road Overcitrssing Replacement was recently completed and consists of replacing the existing Green River Road: Overcrossing with. a rimy six -lane wide, 4-span overcrossing to accommodate future widening of SR-91 by Projects #1, #4, #6, and #12. The SR-91 EB Lane Addition .(Project #1) is currently under construction_ The SR-91 CIP (Project #4 and #12) is in the environmental phase, concurrent with this project A feasibility studyfor the SR-241/SR-91 HOWHOT Connector (Project #6) was completed in March 2009, which includes three alternatives for further study. Close coordination with the U.S. Army Corps of Engineers, U.S_ Fish and Wildlife Service, and Department of Fish and Game wilt also be required as the connector crosses the Santa Ana River below the Prad© Dam. in addition, implementation of Major Investment Study (MIS) Cionidor A (Prgect#13) within the median of SR-91 will require the need for a three -level crossing of SR-91 and the proposed SR-71 direct flyover connector. Coordination will be required with an at -grade or grade -separated managed lane ingress/egress facility that may be near the County Boundary as part of the SR-91 CIP (Project #4 and #12), Benefits -The project Wilt provide.a new direct connector improvement from EB SR-91 to NB SR-71, replacing lice geometric choice point .created tiq the existing connector The. project will also improve traffic operations and operational efficiency by eliminating.or minimizing weaving conflicts through the use of auxiliary lanes The EB CD road system will reduce mainline SR-91 traffic by diverting traffic bound for SR=71_ Current Statics Preliminary engineering was.completed and:approved by Caltrans. This project is currently in the environmental phase, which commenced in February 2008 and is anticipated to be completed' by the'end of 2010. Gypsum Rd�ff W,LC ' �on Of Coal ,Can yon County Line - *o" Lanes shown are for EB Lane Addition (Project #1) Green Rivet Rd. Lanes shown are for the SR-71/SR-9.1 interchange east to north flyover connector for SR 71, and connector from Green River Road to EB:SR-91 AM°tenter Dr MapieSi On Off' On _ Off Off On Off Serfas Club Dr Laneshown is for Green River Rd Ep SR-91 On -Ramp 2010 SR-91 IMPLEMENTATION PLAN 69 12 Initial CIP: Widen SR-91 by One GP Lane in Each Direction East of County Line, CD Roads and I-151SR-91 Direct South Connector, Extension of Express Lanes to 1-15 and System Interchange Improvements t Project No: 4 Anticipated Completion: 2015 Project Cost Estimate* Capital Cost $ 1,063,000,000 Support Cost $ 237,000,000 Total Project Cost $ 1:300,000,000 Project Schedule** Preliminary Engineering Completed Environmental 2007-2011 Design/Construction 2011-2015 *Cost for Initial Project is from RCTC and is in 2009 dollars "Schedule for initial. Project; subsequent phases: for Ultimate.. Project anticipated Post 2025 unless funding is identified Lane shown is for Proj #2. ohm Gypsum CCanyo d on On Off /j Ofi On ! On Lane shown is for Proj #2 Project Description The approved Project Study Report (PSR) for the SR-91 Corridor Improvement Project (CIP), from SR-241 to Pierce Street, recommended the addition of a 5th lane in each direction; the addition of auxiliary lanes at various locations, and the addition of collector -distributor (CD) lanes at the SR 71/SR=91 interchange (now part of Project #3) and at the 1-15/SR-91 interchange: Subsequently, the Riverside County Transportation Commission's (RCTC) 10-Year Delivery Plan recommended the following in addition to the PSR recommended improvements: the, extension of the 91 Express Lanes from the Orange County line to 1-15, the. construction of SR-91 (EBNVB)l1-15 (SI3/NB) Express Lanes median direct. connectors, and the construction of one Express Lane in each direction from the I-15/SR-91 interchange southerly to I-151Cajalco Road, and northerly to -15/Hidden Valley Parkway (Ultimate Project #12), Due to current economic conditions, a Project Phasing Plan was developed to allow an (Mita! Project with reduced improvements to move forward as scheduled, with the remaining ultimate improvements to be completed between 2015 and.2035. The following is a summary of the deferred ultimate improvements (Project #12): SR-91/I-15 median North Direct Connector and 1-15 Express Lanes: North to Hidden Valley; Parkway,' 1-15 Express Lanes to beextended from Ontario. Avenue to Cajalco Road,' genera/ purpose lanes from I-15 to Pierce Street; and genemlpurpose lanes from SR-241 to SR-71. Key Considerations Coordination among many of the SR-91 freeway projects that overlap the project limits is critical to successfully delivering these projects on schedule and within budget. Designing to accommodate future projects is a recurring theme for each of these projects. Minimizing conflicts in scope Between projects 'requires direct coordination between each project team Additionally, future projects frequently have multiple alternatives under study, each with differing scope and construction footprints. Specifically; the project: improvements need to continue to be: coordinated with the SR-91 Eastbound (EB) Lane Addition (Project #1); the SR-71/SR-91 interchange (Project #3); and the SR-241/SR-01 HOV/HOT Connector (Project #6),:which includes three alternatives for further study that will need to be coordinated with the proposed project Continued coordination will ha required with the Santa Ana. Regional Interceptor (SARI) sewer line relocation: and the U.S_ Anny .Corps of Engineers Santa Ana River bank -protection project (Reach 9 Phase 2B). Benefits The Initial and Ultimate. CIP projects will reduce congestion and delays by providing additional SR791 capacity from SRr241 to Pierce Street, along 145 from SR-91 to. Cathie° Road to:the south; and to HiddenValley Parkway tb the north. Traffic operation will ttifprove .by' eliminating or redueih j weaving c'ollflicts along SR-91 and I-1,5 by the tree gf CD toads end auXiliary lanes. The project will provide motorists a choice to use Express Lanes for a fee in exchange for -time savings: Current Status. AProject Study Report was completed and approved by Caltrans. The Coal Canyon County Line Green River Rd On Off Lane shown is for EB' Lane Addition (Prot #1) Ingress/Egress lanes drown within the Express Lanes off on OffSeries Club Dr Lanes shown are for the-SR-71/SR-91 Interchange (Proj #3) auxiliary lane, Past to north flyoverconnector for SR-71/SR-91 PSR Alternative 2, and EB SR-91 connector from Green River Road reject is currently: inthe environmental phase'that cojnlnenced. in September 2007and "is anticipated to be completed by late-2011_ Autd Center Dr Maple St On iM on On On Off OR On Linco Off Alm On On Main S, On Ott OR O 3-Lane CD Road Connector from Main St. EB on -ramp braids to join SR-91 as a merge ramp On iron On From From BB 15 Na is HOWHOT lanes to 1-15/Ontario Av LEGEND a Existing Highway tee=te Interchange/Ramp County Line HOV or HOT Lane KIM Existing Lana ■111w Project Improvement Lane lir HOT Lanes Extension 111111 CD Road li Auxiliary Lane —._sil_ Project#t, #2, and #3 Braided Connector Additional lane by restripe of existing lanes 2010 SR-91 IMPLEMENTATION PLAN 70 13 " S R 9 I B N B L a n e a t T u s t i n A v e n u e P r o j e c t N o . : A n t i c i p a t e d C o m p l e t i o n : 2 0 1 5 P r o j e c t C o s t E s t i m a t e ` C a p i t a l C o s t $ 6 5 3 0 0 , 0 0 0 S u p p o r t C o s t $ 2 2 9 0 0 , 0 0 0 R N V C o s t $ 3 3 0 0 , 0 0 0 ' T o t a l . P r o j e c t C a s t - $ 9 1 , 5 0 0 , 0 0 0 P r o j e c t ' S c h e d u l e P r e l i m i n a r y E n g i n e e r i n g E n v i r o n m e n t a l D e s i g n C o n s t r u c t i o n C o m p l e t e d . 2 0 0 8 - 2 0 1 1 2 ( f 1 1 - 2 0 1 3 2 0 1 3 - 2 0 ' 1 5 C o s t s a n d s c h e d u l e ' a r e d e r i v e d f r o m 2 0 0 0 9 S T I P i n f o r m a t i o n L E G E N D , w o o I n t e r i h a n g e / R a m p . N a a s E x i s t i n g J n t e n t i h a n g e H O V O r H O T L a n e r _ 7 : 2 : 1 E x i s t i n g L a n e a l l e P r o j e c t b u p r w m a n e n t L a n e - n t E x i s t i n g L a n e s ( M i n e i - P n g e c t 0 2 I m p r o v e m e n t s O f 2 0 1 0 S R - 9 1 I M P L E M E N T A T I O N P L A N P r o j e c t D e s c r i p t i o n T h e p r o j e c t w i l l a d d a : ' w e s t b o u n d ( W 1 3 ) a u x i l i a r y l a n e o n S R - 9 1 b e g i n n i n g e t t h e n o r t h b o u n d ( N B ) S R - 5 5 t o W B ' S R - 9 1 c o n n e c t o r t h r o u g h t t i e T u s t i n A v e n u e i n t e r c h a n g e _ k e y C o n s i d e r a t i o n s T h e t h r e e b u i l d - a l t e r n a t i v e s w i t h i n t h e P r r c i j j e c t S t u d y R e p o r t ( P S R ) , O n W e s t b o u n d ( W B ) S R - 9 1 ' A u x i l i a r y L a n e f r o m t h e 1 t o r t h b o u n d ( N B ) S R - 5 5 ! W B S R - 0 1 C o n n e c t o r t o t h e T u s t i n A v e n u e I n t e r c h a n g e , r e q u i r e a d d i t i o n a l r i g h t - o f - w a y . C i t y o f A n a h e i m u t i l i t i e s a r e w i t h i n c l o s e p r o x i m i t y o f t h e p r o p o s e d w i d e n i n g s e c t i o n _ W i d e n i n g o f t h e S a n t a A n a R i v e t b r i d g e i s r e q u i r e d f o r a l l a l t e r n a t i v e s . . C o o r d i n a t i o n w i t h t h e C i t y o f A n a h e i r r i w i l l b e r e q u i r e d f o r p o t e n t i a l w i d e n i n g o f T i a s t n t A v e n u e a n d t h e W B S R - 9 1 O f f - R a m p t h a t w i l l b e c o m p l e t e d b y e a r l y 2 0 1 1 _ A S R - 9 1 F e a s i b i l i t y S t u d y f r o m S I 2 5 7 t o S R 5 5 w a s c o m p l e t e d i n D e c e m b e r 2 0 0 9 , w h i c h e v a l u a t e d i m p r o v e m e n t s f r o m L a k e v i e w A v e n u e t h r o u g h T u s t i n A v e i u e : . B e n e f i t s T h e , p r o j e c t w o u l d r e d u c e o r e l i m i n a t e o p e r a t i o n a l p r o b l e m s a n d d e f i c i e n c i e s o n t h i s s e c t i o n o f W B S R - 9 1 i n c l u d i n g w e a v i n g a n d m e r g i n g m a n e u v e r s . T h i s p r o j e c t w o u l d a l s o a d d r e s s c h o k e - p o i n t c o n d i t i o n s , w h i c h a r e c a u s e d p r i m a r i l y b y e x t e n s i v e w e a v i n g b e t w e e n t h e N B S R - . 5 5 t o W S S R - 9 1 c o n n e c t o r a n d t h e W S S R 9 1 o f f - t a m p t o T u s t i n A v e n u e . C u r r e n t S t a t u s P r e l i m i n a r y e n g i n e e r i n g w a s c o m p l e t e d a n d a p p r o v e d b y C a f t a n s _ T h e e n v i r o n m e n t a l p h a s e w a s i n i t i a t e d i n m i d - 2 0 0 8 a n d i s s c h e d u l e d f o r c o m p l e t i o n i n e a r l y 2 0 1 1 , a n d d e s i g n i s s c h e d u l e d t o b e g i n i n A u g u s t 2 0 1 1 T h e p r o j e c t r e c e i v e d $ 9 1 . 4 3 1 v 1 i n 2 0 0 8 S t a t e T r a n s p o r t a t i o n I m p r o v e m e n t P r o g r a m ( S T P ) A u g m e n t a t i o n f u n d i n g . L a k e v i e w A v C ) n t 1 4 7 1 S€-24ISW91 H )Vi'H@T .Citi►nne+e�t�►r E'Not- Anticipated Completion:20'15 rojec2;Coat Estimate Range' Total.Proj Cost; LOW $150000;000 R Teta Pref.. Cbst ' Htigh $ 440,090,000 Project Schedote Conceptual Engineering Completed Erwrronmental 2010=2012 Design 2012-2013 Cnnstnittirin 2013-2015 "Range assumes,a 2-lane r or 4-lane connector, extending as far as SR-71 Costs from Feasibility Study (2009 dollars) LEGEND - Exishng Highway InterrhangelRamp - County Line ▪ ttOV or HOT Lane RA�a Existing Lane u m Project improvement Lane -mmo Express Lanes Extension r ; Pitied #1, #2, #3, aril #4 Improvements —:Fxiatirg intercharu3e Proj eet nrstriiption rne: SR 2a1isR=91 High cupancy vehide., (How) f High Occupancy Toll (HOT) connector Ail carry northbound 0SR-241 traffic to eastbound (Es) SR-91 Engels Lanes and tanywestbround'(VVB).91 Express Lams iralfie to sot#htxund (SB) SR-241. Outside" widening would be regrued mainly on the south side of SR-91 for neatignrtterit Of EB ianea Key' Considerations. Costs maY vary significantly deperctng ar the.;knaementati©n of ei[tirprojeds- The HOWHOT ciintnedor merges in the inediartof SR-91 and regisres.outsrde widehing of: �SR-91 and realigienent of the r ypsu it Carryon Mtereharrge. ImPlerrieMition rivlajor Investment Study (MIS) Corridor A (Proiett #10) may supercede'tile -need kiF tie HOWHOT co nredorimpfwements as the projectmay become the west leg of Corridor A; itie connector impact'on.SR-91 depends upon lithe connector is 4-la hes or24aries_. The:iitpad of the.cmnnedorOh the.91 Express Lanes may remise the ednnettOt ar, to be extended, possibly to SR 71, which war require further evatuatiom Toll cottectton issues would need to be resolved. Widening to :accommodate lbe project Could fact titre cnaecior-clistitumr •(CD) roa1 and retaining -was near the County Line, and is • taer omadated:by the SR-71' connector (Project:#3)as'Saes try tare lanes added with Project #4 and #k12, including the potentiar t=adensi on cif 91 Exceess Lames as cunenily proposed in Riverside Comity Transportation COmmiission's (RCTC) 10Near-Delivery Platt Costs range from a;2-Fare connector..enang near Coal Canyonid a 4-lane connector ending near SR-71: Also, the -project -could be considered as a component. of Project #4 or #12 Realignment 'of,HVB arid EB SR-91 lanes may be required. In addition, an at -grade or;gradr:-separated managed late ingressiecjess facility Maysbe introduced near the County Line'bjr Pruett #4 or #12 Nonstandard lane wibths may be required at the Green River.Rried overcroSa ng: Benefits Improves access to SR-241 and South Gnu* for traffic thatdoes not currently utilize 91'Express Lanes, which also improves WB SR-91 by eliminating the need for HOY users to wive et oss' four general purpose Ides to use the existing SR 241 connector. Alleviates congestion on NB SR241 and EB SR-91 by allowing SR241 toll andfor.HOY users to bypass the existhij EB 'SR-91 general purpose connector. The project may provide a benefit to the Central Courtly NUS_. 'Current Status `Preliminary engineering concepts for a SR-241/SR-91 direct connector have been developed by Transportation Corridor Agencies (TCA) and Cations. The 91 Express Lanes Extension and SR-241 Connector Feasibility Study was completed in tpl"arch 2009 and was initiated le evaluate the various alternatives. A PSR may be initiated in 2010. project Coal Cariypn County Line n Ri d Lane MP) on On Project #1, #2, #3, and #4 improvements. Potentially impacted by Project#6 WLC - 6�+ r i r_ 2010 SR-91 IMPLEMENTATION PLAN 15 72 " B Y Y E A R 2 0 2 3 P r o j e c t s f o r i m p l e m e n t a t i o n b y 2 0 2 3 i n c l u d e t h e M e t r o l i n k s h o r t - t e r m e x p a n s i o n p l a n , E x p r e s s B u s i m p r o v e m e n t s f r o m O r a n g e C o u n t y t o R i v e r s i d e C o u n t y , a s i g n i f i c a n t e x p a n s i o n o f M e t r o l i n k s e r v i c e a n d s t a t i o n i m p r o v e m e n t s , a n d S R - 9 1 i m p r o v e m e n t s b e t w e e n S R - 5 7 a n d S R - 5 5 . O C T A , R C T C , a n d C a ! t r a n s w i l l b e i n i t i a t i n g p r e l i m i n a r y p l a n n i n g a c t i v i t i e s f o r t h e s e p r o j e c t s t o e n s u r e r e a d i n e s s w h e n l o c a l , s t a t e , o r f e d e r a l f u n d i n g b e c o m e s a v a i l a b l e . C o n s e q u e n t l y , t h e r e m a y b e o p p o r t u n i t i e s t o a d v a n c e t h e s e p r o j e c t s i f a d d i t i o n a l f u n d i n g i s m a d e a v a i l a b l e . P r o j e c t s f o r i m p l e m e n t a t i o n b y 2 0 2 3 a r e e x p e c t e d t o c o s t a p p r o x i m a t e l y $ 8 0 5 m i l l i o n ( i n 2 0 0 9 d o l l a r s , o r a s n o t e d ) . S o m e o f t h e s e p r o j e c t s m a y b e c o m e c o m p o n e n t s o f p o s t - 2 0 2 5 / 2 0 3 0 p r o j e c t s . P r o j e c t N o . 7 P r o j e c t S u m m a r y ( I m p l e m e n t a t i o n Y e a r ) M e t r o l i n k S h o r t - T e r m E x p a n s i o n P l a n ( 2 0 1 6 ) C o s t ( $ M ) 3 5 . 4 8 E x p r e s s B u s I m p r o v e m e n t s O r a n g e C o u n t y t o R i v e r s i d e C o u n t y ( 2 0 1 6 ) 9 . 5 9 M e t r o l i n k S e r v i c e a n d S t a t i o n I m p r o v e m e n t s ( 2 0 2 0 ) 3 3 5 1 0 S R - 9 1 b e t w e e n S R - 5 7 a n d S R - 5 5 ( 2 0 2 3 ) 4 2 5 S U B T O T A L 8 0 4 . 9 F i g u r e 2 - 4 S u m m a r y o f P r o j e c t s f o r I m p l e m e n t a t i o n B y 2 0 2 3 2 0 1 0 S R - 9 1 I M P L E M E N T A T I O N P L A N 1 6 7 3 e#rolink Sh in -Teri» Expalnsi+ 'laa Project Description. Orarige County Transportation Authority (OCTA): yuorfting'wl(i. the Riverside Gouniy Transportation Commission" (ROTC); SanDemardino € Associated, Governitents (SANBAU), and ,the Soirthem-C,aiiTwrni € Regional Rai. Authority (SCRRA. ),,. plans a shprt4erm expansion , 'train service from the Inland. Empire to Orange County-tifiorqitaiiis are planned on the Inland Empire = Orange, County (1E0C) fine that E currently runs between San Bemarditro, Riverside; and rage. counties as Welt -as the "91 Line" that goes from the Inland Empire to '. Los Angeles via Orange County, paralleling SR-91.. Project.Gost Estimate* OCTA Project Cost Project Schedule To be completed by 2016 'Costs from OCTA:(2009 dollars) 000 Currently, 14:trains a day run on the IEOC-tine and nine trams on the 91 Line for a total of 23 daily trains_ The short-term expansion adds four additional 1E0C trains and four additional 91 t..inetrains by`2616 for a total of 31 daily trains, subject to negotiations with Burlington r Northern Santa Fe (I3NSF.), ROTC, .and Los Angeles County Metropolitan Transportation Authority (LlACMTA), The planned short-term expansion is necessary to accommodate: poprilation and employment.growth in the legion as well as make the current snrvrce More convenient. ' Key Considerations Capital costs necessary for this expansion includes the purchase of engines and coaches to operate the new service_ OCTA costs are estimated at $35_4 mtlf"ran: The long-term plan (by 2020) adds more service and requires a significant capital investment, including an additional station in Placentia Coordination has been ongoing with the Metrofink. extension studies (see also Project f#9 forleng-term details): Benefits • Enables develri ent of expanded Meirolink Service and improves efficiency, which wiU contribute to congestion relief onSRt 91, Current Status SCRRA equipment procurement is underway with Rotem Company for the purchase of trailer and cab cars,.alai also witti MotivePower, Inc_ for locomotives Anticipated completion is 2013/2016. ,aa DAILY TRAINS Year 2010: 14 Year2016: 22 - q co p ight2t:t E C""3'. E JS': DAILY TRAINS Year 2010 23 Year2016.' 31 rod aed ^'ith ✓ New train engines and coaches ✓ $35.4 million 2010 SR-91 IMPLEMENTATION PLAN 17 74 Express Bits lmprov Orange County to Riverside Gaunt Project No: Anticipated. Completion: 2016 Project Cost Estimate* Total Capital. Cast $ 9,500,000 Total Annual Operat g Cost $ 900,000 Project Schedule Riverside/Corona to South Coast Metro implemented Fall 2006 Riverside/Corona to Tyler M Irvine Business Camplex/UCl in FY2015/2016 Riverside/Corona 'toNorth East Anaheim and CSUFin FY 20/5/2016 Riverside/Corona to Anaheim Resort in F1'2015/2016 Costs -from OCTA (2009 dollars) 2010 SR-91 IMPLEMENTATION PLAN Project Description range County TranspQ iatran Authority (OCTA), working with the Riverside County Transportation Coirimission (ROTC), and the Riverside Transit Agency (RTA),, plans an ,extensive exparrsiorr : of Express Bus service between Riversideand Orange counties:_ Commuters .seek direct transit connections to many Orange County employment centers, and new Express. Bus service will provide connections to employment centers in Anaheim, Costa . Mesa, Fullerton, and Irvine_ FOUF.Express ,Bus routes, are planned from Riverside County to the Anaheim Canyon Business Center and California State University Fullerton; Anaheim Civic Center; Western Medical Center, and Anaheim Resort; and Irvine Business Complex and University of Cardotnia, Irvine {UCI). Routes would nar:every 30-to 45 minutes in the peak period, and service will be tailored to match :demand_ Implementation began in Fall 2006 vvith the Riverside County to Hutton Centre and South Coast Metro route The other routes are planned for implementation by Fiscal Year 2015/2016 contingent on future budget authority_ Key Considerations Operating costs are estimated at S900,000 each year, Costs are shared by Orange and Riverside counties_ Benefits Development of Express Bus services will contribute to congestion relief on SR-91, Current Status A cooperative agreement covering the Riverside/Corona to South Coast Metro service with Riverside County has been developed_ The Riverside County to South Coast Metro Express Bus route is currently operating. Expansion of the program is dependent_ upon future financial committments with Riverside County_ 18 75 Project No: 9 Anticipated Completion: 2020 "ProjeCt`Ctist Eitirriate* Intel Capital Cost $‘335 000 000 Project Schedule To be completed by 2020 'tests from OCTA (2009 dodars) Metrolink Service and Station Improvements, Project Description = Orange county Traisportation Authority (OCTA), working with the Ftiverade County Transportation Commission (ROTC), Sari Bernardino Astecialed -Governments (SAM3AG), and the Southern CaBernie Regional. Rai Authority . (SCRRA), Plans an extensive expansion of tan service frorathe Wand Entiite to " Orange County. More trains are planned on the Wand Empire - °raw Ceti* (1E0C) line that carently mars between San Bernardino, .Riverside, and Orange ciiixrtie'aas Well as Me *91 tine" that goes frum the Inland Empire to Los Aogeles „ via Marge Courtly, paralleltg SR-91. Currently, 14 trains a clay run on, the 1E0C fine and Mire trains on the 91 l_ine_ The long-term expansion plan buikis on'service levels that will be impleinerded by 2016 "(Project #7). The "2016" Plan includes four additional 1E0C pains arid four addifional 91 tine trains for a kite!, of 31 trains a day. The long-terrn plan adds another four 1E0C trains and five 91 line try for a total of 40 ris ly balm This plarmed evansion is neomsary to accommodate population and employment growth in the region as well as make the curreMservice mole convenient Capital improvemerts necessary for ttris expansion include a third -track on sections of the rail line in Orange, Rivaside, and San Bernardino:counties; new crossovers at critical locations to allow trains to pass one another, new storage tracks in San Bernadine; parking improvements at key stations; and purchase °famines and coacttes to operate the newservice. TheCity of Anaheim is proposing to cianstruct the Anaheim Regional Transpretabon Irttermodal Ceder (ART1C). Phase 1 will be, -completed by 2015 and will relocate the existing Metrolink station from the Angel Stadium parldrig tot to the neiv ARTIG site_ east of SR-57, includes a new Metrofink and Amtrak service ferny, and infrastructure improvements for Calffromia High -Speed Rail (CHSR) and bus services_ Phase II build -out is anticipated by 2020 and includes new services based upon increased demand as well as Bus Rapid Transit (BRT) and a local fored-guideway pmject The Phase ill ultirnede build -out by 2030 includes additional terminal facilities Mitt new regional services to include CHSR and the Anaheim to Oita*, segment of the Califomia-Nevada &per Speed Train (CNSSTY The City is also proposing Anaheim Canyon Station improvements for a second trackand platform to be implemented by 201312014. The City of Placentia is pmposirtg to constructa new Metrolirik mini -ratter rad passenger station and parking tot in the City of Placentia. This project is scheduled to be completed by 2020. Key Considerations The capital program is estimated to cost $33,5 illation, and costs would be; shared by the trimmer agencies of SCRFtA and Borlingbon Northern Santa Fe (ErNSF). Service levels are subject to negotiation with EINSP, ROTC, and ina Angeles County Metropolitan Transportation Authority (LACMTA). Benefits Enables development of nevi Metnolink Services, which will contribute to congestion relief on SR-91. Current Status The proposed arplementation of this ptujeLl is being evauated based on declining ridership and revenues. .+++++,+++..' , -e- 6141-Fdek3 wd ++.! = ANCE , :sat ti,...,i4trop co DAILY TRAINS Year 2016- 31 Year 2030 40 0-4.101-1L_L+3 - CORA:444 v New track and crossovers Expanded station parking v New train engines and coaches ✓ $335 million /rGrarric,e Fro -,..3iproiluc-adr6th DAILY TRAINS Year 2010: 14 Year 2030: 26 _ 2010 SR-91 IMPLEMENTATION PLAN 19 • • 76 SR-9 1 between .SR-57 nd SR 55 Project No: Anticipated Cornptetfont 2023: Project Cost Estfnhate Cwitat Cost TBD RAN Cost TBD Support Cost TBD. Malaga/tent 8 Contingency Teo Total Project Cast' $425.000,000 Project Schedule: Conceptual Erring; Corrrpleted PrelirnirraryEnjineerirg 20104,011 Environmental 2011-2016: Design 2016-2013 Construcli 2019-2023 'Project cost from the 9R 91 from SR-,55 to SR-57 Feasibility Study /2009 dollars) Project Description,. 'Improve the SR-57/SR-91 uderctrange complex, including nearby local ',interchanges, as weft as adding freeway capacity 'between- SR-55 and. $12-57. A riew -connector from r�r Sibourut'(WBySR-91 to southboundISB) SR will be constructed.'Improvements :also exteivt+i State Coliege BNd: Ito the west and include improvements- to: the Lakeview Ave Interchange to Ithe east, i. Specific improvements Mil be subject to approved plans developed in cooperation with local jurisdictions and affected communities. Ittey Considerations ITtre proposed project improvements on Vi/B and eastbound (EB) SR=91 "between S12-57 and SR 55 may require right-of-way acquisition_ Coordination with the SR-91 'WB Lane at Tustin Avenue improvements {Protect #53 will be required: Benefits The proposed project improvements on W!!B and EB SR 91 between SR-57 and SR-55 includes, among other features;: adding one EB general purposeWoe to achieve lane balancing. The project improvement, will alteviate congestion and reduce delay_ The SR-57/SR-91 and SR-55/SR-91 interchange rmpnavements are expected to'prov'rde congeslion relief for SR-91 traffic . Current Status The projectimprovement for EB SR-91 widening and for improvements to. SR-57/SR-91 and SR-55/SR 91 were studied by the-SR-91 Feasibility Study Reportfrom SR-57 to SR-55, which was completed in December 2009. The proposed improvements are included in the Renewed Measure; M program, 2010 SR-91 IMPLEMENTATION PLAN 20 77 BY YEAR POST-2025/2030 Projects for implementation by Post-2025/2030 focus on longer -lead time projects. This multi -billion dollar program includes: a potential new interchange or overcrossing at Fairmont Boulevard; the Ultimate CIP that widens SR-91 by one GP lane in each direction from SR-241 to SR-71, I-15/SR-91 Direct North Connector, extension of Express Lanes on 1-15 and SR-91 improvements east of 1-15; an elevated 4-lane facility (MIS Corridor A) from SR-241 to I-15; Irvine -Corona Expressway (ICE) 4-lane facility from SR-241/SR-133 to I-15/Cajalco Road (formerly known as MIS Corridor B); and the Anaheim to Ontario International Airport High Speed Rail. The $77 million dollar interchange project and the other four, multi -billion dollar potential projects include significant environmental constraints and right of way requirements in addition to requiring a significant amount of planning, design, and future policy and public input. The Corridor A project may incorporate projects being developed in the earlier programs as project components, such that all projects may not be implemented within the Plan in addition to Corridor A. Project No. 11 Project Summary (Implementation Year) Fairmont Boulevard Improvements (Post-2025) Cost (5M) 76,8 12 Ultimate CIP: Widen SR-91 by One GP Lane in Each Direction from SR-241 to SR-71, 1-15/SR-91 Direct North Connector, Extension of Express Lanes on 1-15 and SR-91 Improvements East of 1-15 (Post-2025) TBD 13 Elevated 4-Lane Facility (MIS Corridor A) from SR-241 to 1-15 (TBD) 2,720 14 Irvine -Corona Expressway (ICE) 4-Lane Facility from SR-241/SR-133 to 1-15/Cajalco Road (TBD) 8,855 15 Anaheim to Ontario International Airport High Speed Rail (Past-2030) TBD SUBTOTAL 11,652+ Figure 2-5 — Summary of Projects for Implementation by Post-2025/2030 2010 SR-91 IMPLEMENTATION PLAN 21 • • 78 and 1 p►rovemen s; Project No: 11 Anticipated Completion: Post-2025 Project Cost Estimate Capita Cost $ -67,800,000 Support Cost $ 9,000,000 Total Project Cost $ 76,800, 00 Project Schedule I Conceptual Engineering Completed j Preliminary Engineering TBD Environmental Design Construction TBD TBD TBD 'Costs from Feasibility Study (2009 dollars)_ RNV cost is undetermined at this time_ Cost does trotinclude potential impact to Santa Ana Rives_ LEGEND MEM Existing Hi aY 'Nese Proposed. lnierchsngeh?amp Exestig Interchange rs-iM HDV of HOT Lane Ma Existing Lane NM Proposed Impewement Lane =: Pm*ct 42 Improvements Project #t2 Lanes - project Description The project would provide a new interchange with SR-91 at Fairmont Boulevard. On- and off -:ramps will connect Fairmont Boulevard to eastbound (EB) and westbound (VVB) SR-91_ Theproposed interchange does not include a Fairmont Boulevard connection to Santa Ana Canyon Road to the south_ Key Considerations Coordination with SR-91 EB and WB widening from SR-55 to SR-241 (Project;#2) is required_ Interchange spacing and weaving issues (to SR-55) need to be evaluated. Widening of SR-91 may be needed to accommodate interchange ramps Proximity of the Santa Ana River may require that the WB ramp junction be located north of the river. New connection requirements and interchange spacing needs to be considered. Benefits The interchange is expected to relieve congestion at Imperil Highway (SR-90), Lakeview Avenue, and Weir Canyon Road Interchanges. Preliminary traffic modeling shows a 10-15% decrease in volumes at Weir Canyon and SR-90 interchanges with the interchange alternative. Current Status The City of Anaheim completed a conceptual engineering study in December 2009_ Multiple alternatives have been developed as part of the conceptual engineering study_ Project development is pending funding identification_ Fairmont Blvd Off 2010 SR-91 IMPLEMENTATION PLAN 22 79 " " " U l t i m a t e C I P : W i d e n S R - 9 1 b y O n e G P L a n e i n . E a c h D i r e c t i o n f r o m S R - 2 4 1 t o S R - 7 1 , 1 - 1 5 / S R - 9 1 D i r e c t N o r t h C o n n e c t o r , E x t e n s i o n o f E x p r e s s L a n e s o n I - 1 5 a n d S R - 9 1 I m p r o v e m e n t s E a s t o f 1 - 1 5 P r o j e c t N o : 1 2 I A n t i c i p a t e d C o m p l e t i o n : P o s t - 2 0 2 5 P r o j e c t C o s t E s t i m a t e T o B e D e t e r m i n e d P r o j e c t S c h e d u l e ' P r e l i m i n a r y E n g i n e e r i n g E n v i r o n m e n t a l D e s i g n / C o n s t r u c t i o n C o m p l e t e d 2 0 0 7 - 2 0 1 1 T B D ' S c h e d u l e f o r U l t i m a t e P r o j e c t a n t i c i p a t e d P o s t - 2 0 2 5 u n l e s s f u n d i n g i s i d e n t i f i e d E x i s t i n g b i k e p a t h w i l l b e p r e s e r v e d L a n e s h o w n a f o r P r o j # 2 m C o n y \ , 0 o n C M O R a n e s h o v i n i s f o r P r o j # 2 P r o j e c t D e s c r i p t i o n T h e a p p r o v e d P r o j e c t S t u d y R e p o r t ( P S R ) f o r t h e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t ( C I P ) , f r o m S R - 2 4 1 t o P i e r c e S t r e e t , r e c o m m e n d e d t h e a d d i t i o n o f a 5 t h l a n e i n e a c h d i r e c t i o n , t h e a d d i t i o n o f a u x i l i a r y l a n e s a t v a r i o u s l o c a t i o n s , a n d t h e a d d i t i o n o f c o l l e c t o r - d i s t r i b u t o r ( C D ) l a n e s a t t h e S R - 7 1 / S R - 9 1 i n t e r c h a n g e ( n o w p a r t o f P r o j e c t # 3 ) a n d a t t h e I - 1 5 / S R - 9 1 i n t e r c h a n g e . S u b s e q u e n t l y , t h e R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n ' s ( R C T C ) 1 0 - Y e a r D e l i v e r y P l a n r e c o m m e n d e d t h e f o l l o w i n g i n a d d i t i o n t o t h e P S R r e c o m m e n d e d i m p r o v e m e n t s : t h e e x t e n s i o n o f t h e 9 1 E x p r e s s L a n e s f r o m t h e O r a n g e C o u n t y l i n e t o 1 - 1 5 , t h e c o n s t r u c t i o n o f S R - 9 1 ( E B / W B ) / I - 1 5 ( S B / N 8 ) E x p r e s s L a n e s m e d i a n d i r e c t c o n n e c t o r s , a n d t h e c o n s t r u c t i o n o f o n e E x p r e s s L a n e i n e a c h d i r e c t i o n f r o m t h e I - 1 5 1 S R - 9 1 i n t e r c h a n g e s o u t h e r l y t o I - 1 5 / C a j a l c o R o a d , a n d n o r t h e r l y t o I - 1 5 / H i d d e n V a l l e y P a r k w a y ( U l t i m a t e P r o j e c t ) . D u e d e c u r r e n t e c o n o m i c c o n d i t i o n s , a P r o j e c t P h a s i n g P l a n w a s d e v e l o p e d t o a l l o w a n I n i t i a l P r o j e c t ( P r o j e c t # 4 ) , w i t h r e d u c e d i m p r o v e m e n t s , t o m o v e f o r w a r d a s s c h e d u l e d , w i t h t h e r e m a i n i n g u l t i m a t e i m p r o v e m e n t s t o b e c o m p l e t e d b e t w e e n 2 0 1 5 a n d 2 0 3 5 . T h e f o l l o w i n g i s a s u m m a r y o f t h e p r o p o s e d u l t i m a t e i m p r o v e m e n t s : S R - 9 1 / 1 - 1 5 m e d i a n N o r t h D i r e c t C o n n e c t o r a n d I - 1 5 E x p r e s s L a n e s N o r t h t o H i d d e n V a l l e y P a r k w a y ; 1 4 5 E x p r e s s L a n e s t o b e e x t e n d e d f r o m O n t a r i o A v e n u e t o G a l a t a ) R o a d ; g e n e r a l p u r p o s e l a n e s f r o m 1 - 1 5 t o P i e r c e S t r e e t - a n d g e n e r a l p u r p o s e l a n e s f r o m S R - 2 4 1 t o S R - 7 1 _ K e y C o n s i d e r a t i o n s C o o r d i n a t i o n a m o n g m a n y o f t h e S R - 9 1 f r e e w a y p r o j e c t s t h a t o v e r l a p t h e p r o j e c t l i m i t s i s c r i t i c a l t o s u c c e s s f u l l y d e l i v e r i n g t h e s e p r o j e c t s o n s c h e d u l e a n d w i t h i n b u d g e t . D e s i g n i n g t o a c c o m m o d a t e f u t u r e p r o j e c t s i s a r e c u r r i n g t h e m e f o r e a c h o f t h e s e p r o j e c t s _ M i n i m i z i n g c o n f l i c t s i n s c o p e b e t w e e n p r o j e c t s r e q u i r e s d i r e c t c o o r d i n a t i o n b e t w e e n e a c h p r o j e c t t e a m _ A d d i t i o n a l l y , f u t u r e p r o j e c t s f r e q u e n t l y h a v e m u l t i p l e a t t e m a t i v e s u n d e r s t u d y , e a c h w i t h d i f f e r i n g s c o p e a n d c o n s t r u c t i o n f o o t p r i n t s . S p e c i f i c a l l y , t h e p r o j e c t i m p r o v e m e n t s n e e d t o c o n t i n u e t o b e c o o r d i n a t e d w i t h t h e S R - 9 1 E a s t b o u n d ( E B ) L a n e A d d i t i o n ( P r o j e c t # 1 ) ; t h e S R - 7 1 / S R - 9 1 i n t e r c h a n g e ( P r o j e c t # 3 ) ; t h e I n i t i a l C I P ( P r o j e c t # 4 ) a n d t h e S R - 2 4 1 / S R - 9 1 H � V / H O T C o n n e c t o r ( P r o j e c t t l 4 3 ) , w h i c h i n c l u d e s t h r e e a l t e r n a t i v e s f o r f u r t h e r s t u d y t h a t w i l l n e e d t o b e c o o r d i n a t e d w i t h t h e p r o p o s e d p r o j e c t _ C o n t i n u e d c o o r d i n a t i o n w i l l b e r e q u i r e d w i t h t h e S a m a . A n a R e g i o n a l I n t e r c e p t o r ( S A R I ) s e w e r l i n e r e l o c a t i o n a n d t h e U _ S . A r m y C o r p s o f E n g i n e e r s r i v e r b a n k p r o t e c t i o n p r o j e c t ( R e a c h 9 P h a s e 2 8 ) . e n e n t s T h e I n i t i a l a n d U l t i m a t e C I P p r o j e c t s w i l l r e d u c e c o n g e s t i o n a r i d d e t e r s b y p r o v i d i n g a d d i t i o n a l S R - 9 1 c a p a c i t y f r o m S R - 2 4 1 t o P i e r c e . S t r e e t a n d a l o n g 1 - 1 5 f r o m S R - 9 1 t o C a j a l c o R o a d t o t h e s o u t h a n d t o H i d d e n V a l l e y P a r k w a y t o t h e n o r t h . T r a f f i c o p e r a t i o n w i l l i m p r o v e : b y e l i m i n a t i n g o r r e d u c i n g w e a v i n g c o n f l i c t s a l o n g S R - 9 1 a n d 1 - 1 5 b y t h e u s e o f C D r o a d s a n d a u x i l i a r y l a n e s _ T h e p r o j e c t w i l l p r o v i d e m o t o r i s t s a c h o i c e t o u s e E x p r e s s L a n e s f o r a f e e i n e x c h a n g e f o r t i m e s a v i n g s . C u r r e n t S t a t u s P r e l i m i n a r y e n g i n e e r i n g i s c o m p l e t e . T h e p r o j e c t i s c u r r e n t l y i n t h e e n v i r o n m e n t a l p h a s e t h a t c o m m e n c e d i n S e p t e m b e r 2 0 0 7 a n d i s a n t i c i p a t e d t o b e c o m p l e t e d b y l a t e - 2 0 1 1 . C o a l C a n y o n V C C o u n t y L i n e o n i n g r e s s / E g r e s s l a n e s s h o w n w i t h i n t h e E x p r e s s L a n e s G r e e n R i v e r R d L a n e s s h o w n a r e f o r t h e S R - 7 1 / S R - 9 1 I n t e r c h a n g e ( P r o f # 3 ) a u x i l i a r y l a n e , e a s t t o n o r t h f l y o v e r c o n n e c t o r f o r S R - 7 1 / S R - 9 1 P S R A l t e r n a t i v e 2 , a n d E B S R - 9 1 c o n n e c t o r f r o m G r e e n R i v e r R o a d 2 0 1 0 S R - 9 1 I m p l e m e n t a t i o n P l a n U l t i m a t e p r o j e c t w i d e n s a l f S R - 9 1 l a n e s t o f u l l s t a n d a r d l a n e a n d s h o u l d e r w i d t h s f r o m S R - 2 4 1 t o S R 2 3 1 A u t o C e n t e r D r M a p l e S t a n o f f O n O n O n . O r r O R S e r f a s C l u b D r L a n e s s h o w n a r e f o r G r e e n R i v e r a n d E B S R - 9 1 C D ( P r o j # 4 ) 8 0 O n L i n c o l r i A v O f f 3 7 L a n e . C D R o a d C O n n e c t o r . r n M a i n S t . E B o n - r a m p b r a i d s t o j o i n S R - 9 1 a s a m e r g e r a m p H O V I H O T l a n e s t o I - 1 5 / H t d d e n V a l l e y P K w y O n O n F r o m F r o m S B 1 5 N B 1 5 H O W H O T l a n e s t o 1 - 1 5 / C a j a l c o R d L E G E N D E d o 2 3 r g h w + . I n t e r c h a K e f R a m F t i g p y i . r r C o u n t y L a i e H O V o r H O T L a n e i t a a t E x i s t i n g L a n e M I N P r o j e c t I m p r o v e m e n t L a n e ` s t y ! H O T L a n e s E x t e n s i o n 1 1 1 1 1 1 ' C D R o a d ( P r o j e c t # 4 ) U M A u x i l i a r y L a n e - ' �� P r o j e c t # 1 , # 2 , # 3 , a n d # d Elovated.A.-Lono Oacifity tlifiWCorridor A) from SR-24.1 to I-15 Project-140: 13 Anticipated Completion: TB13 Project Cost Estimate"' Capital Cost* $ 1,488,000,000 Supporttost(25%) $ 372s000i000 RA/V Cost $ 860,000,000 Total Project Cost $ 2.720,000,000 Project Schedule Conceptual Engirieering Pretirninaty Engineering Environmental Design Construction TB°. TBD TBD TBD *Capital costs include $160M for environmental mitigation excluding corresponding support cost, which is included in support cost estimate **Costs derived frorn Riverside County - Orange County MIS, January 2006 (2005 dollars) 2 VVB Lanes Project Description The linprovements primarily consist of constructing a new 4-lane eleVated expressway' near or wittiin the Santa Ana Canyon with freewayto-fieevitay connectors at SR-241 and 1-15_ The facility may iricitide managed lanes arid potential reversible operations. Key Considerations Choice of alignnierit vial be key to determining net capacity increase. IrreAementation of Corridor A may supersede the need for the direct connector_liuproVernent Project #6 (at SR-241/Sli-91), deperiding on the potential extension of the 91 EXPress Lanes_ Extensive right-of-way (MY) regtiired to implement the improvements if the alignment is not on the SR-91 conidor. if Project #4 or #12 is constructed and a 4-Gane elevated facility is proposed within the median of SR-91 thniugh Corona extensive managed lane closures would be required during construction (thus temporarily reducing SIR-91 capacity during c.cinsttuction). , Potential considerations for co -locating the Magnetic Levitation (Nlaglev) train (see Project #16)adjacent to Conidor A (and also SR-91) include providing a hvo-colurnn structure with a barrier between the trains and vehicles_ Concepts for Corridor A and Maglev within tlie SR-91 imam could jecniardize future opportunities for managed lanes within the SR-91 median, .such as the'extension of 91 Express Lanes. An alternative could be studied for the median Corridor A viackict along with reduced SR-91 geometric standards to minimize RAN impacts. Also, dired connectors (such as for High Occupancy Vehicle (HOV) / High Occupancy Toll (HOT) at 1-15/SR-91) to/from the median could be precluded by Maglev columns located within the same median area. Caltrans and Maglev highway R/W, maintenance, safety, and operations considerations Would need to be analyzed if shared use with a Maglev faddy Were pursued. Additional mitigation costs may be required fOr improvements to SR-241 and SR-133. Corridor A as managed lanes, with potential extension of 91 Express Lanes to 1-15 (Project #4 and #12), may affect traffic distribution due to "parallel' tolled facilities. 2 EB Lanes Abbreviations: Westbound = VVB Eastbound = EB 4111 VlAtiFISar- Elevated 4-Lane Facility (MIS Corridor A) Cross -Section 91 Benefits The project would provide significant congestion relief by allowing vehicles to bypass the at -grade freeway lanes and local arterial interchanges between SIR-241 arid 1-15. Connections are propnsed directly between SR-91, SR-241, and i-15. Current Status This project is identified in the Riverside County - Orange County Major Investment Study (MIS) as part of the Locally Preferred Strategy to improve mobility between Riverside County and Orange County. Additional Conceptual engineering is being considered_ 2010 SR-91 Implementation Plan 24 81 Anaheim t Ontario International Airport High Speed Flail Project No: 15 Anticipated Completion: Post-2030 Project Cost Estimate To Be Determined Project Schedule To Be Determined LEGEND = Existing Highway High Speed Rail Representative Aigirnent ProjectDescription PropoSetsfor a new highspeed rail corridor from Anaheim to Ontario are - eWed:-in this project This -project includes an alternative that would use SR-94 right-otway, or wouki be aligned adjacent to SR-91, right -of --way, or could potentially tie co -located with the Major liwe.strtzent: Stud}+ (MIS} Corridor- A (Project #13) alignment_ Another alignment` opportunity is being investigated along SR-57. Key Considerations Alternative alignment impacts to SR-91 right-of-way envelope andfor Santa Ana -River are undetermined_ The choice of alignment will potentially impact MIS Corridor A (Project #13). Right-of-way (WW1 will be required to implement the improvements Potential considerations for co-iacating the Magnetic Levitation (Magtev) train adjacent to Corridor A (and also SR-91) include providing a two -column structure with a barrier between the trains and vehicles. Caltrans and Maglev highway RAW, maintenance safety, and operations considerations would need :to be analyzed if -shared use with a Magley facility were pursued. See the MIS-. Corridor (Project#13) for additional considerations Coordination with Metrotink',improvements (Project #9) will be required: Benefits The pmject would; provide congestion relief by providing a direct' high-speedfhigh-capacity connection with Ontario International Airport for Orange County air passengers and business need -day deliveries_ Relieves congestion on SR-91 by providing additional capacity in the corridor: Current Status Conceptual engineering studies are .currently underway_. Congress has approved $47M for the environmental phase of the project. REPRESENTATIVE ALIGNMENT SHOWN FOR ILLUSTRATIVE PURPOSES ONLY 2010 SR-91 implementation Plan 83 26 " S E C T I O N 3 : C O M P L E T E D P R O J E C T E X H I B I T S T h e f o l l o w i n g e x h i b i t s r e p r e s e n t c o m p l e t e d p r o j e c t s f r o m p r e v i o u s P l a n s a n d a r e i n t e n d e d t o b e u s e d a s a r e f e r e n c e t o i l l u s t r a t e t h e p r o g r e s s m a d e s i n c e t h e i n c e p t i o n o f t h e P l a n . N o t e , s o m e p r o j e c t s l i s t e d i n t h e P l a n a s c o m p l e t e d ( s e e S e c t i o n 1 , P r o j e c t A c c o m p l i s h m e n t s ) a r e n o t i n c l u d e d h e r e i n s i n c e t h e r e w a s n o e x h i b i t c r e a t e d f o r u s e w i t h p r i o r P l a n s ( s u c h a s f o r r e s t r i p i n g p r o j e c t s , v a r i o u s s a f e t y e n h a n c e m e n t s , m i n o r o p e r a t i o n a l i m p r o v e m e n t s , e t c . ) . 2 0 1 0 S R - 9 1 I m p l e m e n t a t i o n P l a n 2 7 8 4 " G r e e n R i v e r R e a d O v e r c r o s s i n g R e p l a c e m e n t A p p e n d i x P r o j e c t - N o : A A c t u a l - C o m p l e t i o n : M a r c h 2 0 0 9 P r o j e c t C o s t s C a p i t a l C o s t S u p p o r t C o s t R / W C o s t T o t a l P r o j e c t C o s t P r o j e c t S c h e d u l e P r e f i r n h a r y E n g i n e e r i n g E n v i r o n m e n t a l D e s i g n C o n s t r u c t o r ' $ 2 1 , 0 0 0 , 0 0 0 $ 3 , 0 0 0 , 0 0 0 $ 3 0 1 , 0 0 0 $ 2 4 , 3 9 1 , 0 0 0 C o m p l e t e d C o m p l e t e d C o M p l e t e d C o m p l e t e d P r o j e c t S c h e d u l e C a l t r a n s E q u i v a l e n t s : P r e l i m i n a r y E n g i r i e e r i n g = E n v i r o n m e n t a l = P A / E D D e s i g n = P S & E A b b r e v i a t i o n s : C D = C o l l e c t o r D i s t r i b u t o r t i e I - I R = F u t u r e H O V = H i g h O c c u p a n c y S H L D S h o u l d e r 1 t 1 ; P a l I 2 1 Z W " 1 i M L A E t a c i t . * m e u i " w i " L W P " W S P r o j e c t D e s c r i p t i o n I m p m v e m e n t s p r i m a r i l y c o n s i s t o f r e p l a c i n g t h e e x i s t i n g G r e e r i R i i e r R c i a d p v e r c r O s s i n g - w i t h a n e x p i l i t , : p ? w i t i r e , 4 - s p a n o v e r c r o s s i n g t o a c c o m m o d a t e h i t e e w i d e r r t o f S R - 9 1 . T h e i n t e r i o r s p a n s w i l l a c c . o m m o d a t e r f j p i f o e i g h t = i n l i n e l a n e s i n e a c h d i r e c t i o n i n c l u d i n g t w o H O V r A e t T h e i x t e r i o r s p a n s c a n a c c e r n m o d a t e t w o l a n e s , e i t h e r f c s a u i r W l a n e s O F c o l l e c t o r d i s t h b u t o r r o a d s . E n t r a r E r A n r 4 o t r a m p s w i l l b e r e a l i g n e d a n d w i d e n e d t o a c a n i v i m d f e W e l l y b r i # , y e t t h e i n t e r c h a n g e w i l l T e t i i l l n i t s - t u r - T e n t c o l l r i g t ' l l a - l l ' 3 n - A a l t - 7 " 5 1 9 n a s w i l l h e i n s t a l l e d a t t h e r a m p i n t e r s e c t i o n s a t a n i P - a n d b r i d g e i m p r o v e m e n t s w i l t h e c o n s t n i c t e d w f t b O e x i s r i g h t , o f w a y . - 7 - ; r . K e y C o n s i d D e s i g e r f a c e i s " " J e d w i t h t h e E a s t b o u n d L a n e A d d i t i o n " f r o m S . A o S R - ) , , S R - 7 1 / S R - 9 1 I n t e r c h a n g e I m p r o v e r r i e r i t S , , S ' e m e n t P r o j e c t , a n d S R - 2 4 1 / S 1 1 - 9 1 V / 1 4 ' C o n n r - c t w i l l i m p r o v e t h e l e v e l o f s e r v i c e a t r a m p a n d l o c a l e t i r s e c t i o n s a t t h e i n t e r c h a n g e , . I m p r o v e m e n t s w d l r e d u c e q u e u e s t h a t e x t e n d i n t o t h e f r e e w a y ' s g e n e r a l p u r p o s e " ' k , f a r i e s , t h u s c o n t r i b u t i n g t o c o n g e s t i o n r e l i e f o n S R - 9 1 . C u r r e n t S t a t u s T h e p r o j e c t b e g a n c o n s t r u c t i o n i n M a r c h 2 0 0 7 a n d w a s c o m p l e t e d i n M a r c h 2 0 0 9 _ N e w B r i d g e u m i t n a l w e E 4 1 4 E ! . a u r l E B G R E E N R I V E R B R I D G E C R O S S - S E C T I O N N O T E : A l l d i m e n s i o n s a r e a p p r o x i m a t e 1 � l ` o l l " 7 9 ' 2 0 1 0 S R - 9 1 I m p l e m e n t a t i o n P l a n 2 8 8 5 North Main Street Corona Metrolink Stafion 13aildng Structure 4,1;000( Proiectilo; Project Costs Papiial:Cost. Support.Cost R/W Cost Total Project Cost $ 20,0,00,000 $ 5,000,0CKI $0 $ 25,000,000 Project Schedule Preliminary Engineering Completed Environmental Completed Design Completed Construction Compl , Project Description: The projectproVides a. sit leve slant. The Constmetien is , Metentirtit*ticiriPrOpertyit Key Considerations witi 1;065 park g North Main St Proposed improve efts vieta4..constructed within 'Oreatino.tight .of Way. Currently there. ai 7Q0 user'S:41 the facility, 20Q More Mar were previously able* accsitiodate. Additionally ROTC has opened lip the lotto part and riktarpools,kand vanpools and has. issued over 120 Permits- for Carpoote‘to 3* the expanded station. This shows"an added' beffett of suppnitihg carpooling as well.:as.tranaitle tffaet congestion R-91. partring crirrentlY exceeds the capaCity at tfrefitisrtir Main station. New .-parking c.apacity will allow titetrotink 'increase thereby diverting vehicle trips limn SR-91; --Status, wastnitiated in January 2008 and was core in June 12009J The project was funded vrith Federal' Congo0.an Manarjernent Quatity MAC)) funds • . . „ . . , ....... _ 2010 SR-91 Implementation Plan 29 86 " " S E C T I O N 4 : R E F E R E N C E S T h e f o l l o w i n g d o c u m e n t s a n d r e s o u r c e s w e r e u s e d i n t h e d e v e l o p m e n t o f t h e 2 0 1 0 P l a n . D a t a w a s p r o v i d e d b y O C T A , R O T C , C a l t r a n s D i s t r i c t s 8 a n d 1 2 , T r a n s p o r t a t i o n C o r r i d o r A g e n c i e s ( T C A ) , a n d o t h e r a g e n c i e s . P r o j e c t S t u d y R e p o r t / P r o j e c t R e p o r t " R i g h t o f W a y R e l i n q u i s h m e n t o n W e s t b o u n d S t a t e R o u t e 9 1 B e t w e e n W e i r C a n y o n R o a d a n d C o a l C a n y o n " , M a y 2 0 1 0 S R - 9 1 / F a i r m o n t B o u l e v a r d F e a s i b i l i t y S t u d y , D e c e m b e r 2 0 0 9 S R - 9 1 F e a s i b i l i t y S t u d y f r o m S R - 5 7 t o S R - 5 5 , D e c e m b e r 2 0 0 9 F e a s i b i l i t y E v a l u a t i o n R e p o r t f o r I r v i n e - C o r o n a E x p r e s s w a y T u n n e l s , D e c e m b e r 2 0 0 9 R e n e w e d M e a s u r e M S t r a t e g i c P l a n , J u n e 2 0 0 9 P l a n s , S p e c i f i c a t i o n s a n d E s t i m a t e s ( P S & E ) f o r E a s t b o u n d S R - 9 1 l a n e a d d i t i o n f r o m S R - 2 4 1 t o S R - 7 1 , M a y 2 0 0 9 P r o j e c t S t u d y R e p o r t " O n S t a t e R o u t e 9 1 B e t w e e n t h e S R - 9 1 / S R - 5 5 I n t e r c h a n g e a n d t h e S R - 9 1 / S R - 2 4 1 I n t e r c h a n g e i n O r a n g e C o u n t y " , A p r i l 2 0 0 9 9 1 E x p r e s s L a n e s E x t e n s i o n a n d S t a t e R o u t e 2 4 1 C o n n e c t o r F e a s i b i l i t y S t u d y , M a r c h 2 0 0 9 P r o j e c t S t u d y R e p o r t / P r o j e c t R e p o r t " O n G y p s u m C a n y o n R o a d B e t w e e n t h e G y p s u m C a n y o n R o a d / S R - 9 1 W e s t b o u n d O f f - R a m p ( P M 1 6 . 4 ) a n d t h e G y p s u m C a n y o n R o a d / S R - 9 1 E a s t b o u n d D i r e c t O n - R a m p ( P M 1 6 . 4 ) " , J u n e 2 0 0 8 C a l i f o r n i a T r a n s p o r t a t i o n C o m m i s s i o n , C o r r i d o r M o b i l i t y I m p r o v e m e n t A c c o u n t ( C M I A ) , F e b r u a r y 2 0 0 7 P r o j e c t S t u d y R e p o r t " O n R o u t e 9 1 f r o m G r e e n R i v e r R o a d t o S e r f a s C l u b D r i v e i n t h e C i t y o f C o r o n a i n R i v e r s i d e C o u n t y " , D e c e m b e r 2 0 0 6 O r a n g e C o u n t y T r a n s p o r t a t i o n A u t h o r i t y R e n e w e d M e a s u r e M T r a n s p o r t a t i o n I n v e s t m e n t P l a n , N o v e m b e r 2 0 0 6 P r o j e c t S t u d y R e p o r t " O n R o u t e 9 1 f r o m S t a t e R o u t e 2 4 1 i n O r a n g e C o u n t y t o P i e r c e S t r e e t i n t h e C i t y o f R i v e r s i d e i n R i v e r s i d e C o u n t y " , O c t o b e r 2 0 0 6 R i v e r s i d e C o u n t y - O r a n g e C o u n t y M a j o r I n v e s t m e n t S t u d y ( M I S ) F i n a l P r o j e c t R e p o r t : L o c a l l y P r e f e r r e d S t r a t e g y R e p o r t , J a n u a r y 2 0 0 6 P r e l i m i n a r y d e s i g n p l a n s f o r E a s t b o u n d L a n e A d d i t i o n f r o m S R - 2 4 1 t o S R - 7 1 , 2 0 0 6 P r o j e c t S t u d y R e p o r t " W e s t b o u n d S t a t e R o u t e 9 1 A u x i l i a r y L a n e f r o m t h e N B S R - 5 5 / W B S R - 9 1 C o n n e c t o r t o t h e T u s t i n A v e n u e I n t e r c h a n g e " , J u l y 2 0 0 4 P r o j e c t S t u d y R e p o r t " O n S t a t e R o u t e 9 1 B e t w e e n t h e S R - 9 1 / S R - 5 5 I n t e r c h a n g e a n d t h e S R - 9 1 / S R - 2 4 1 _ I n t e r c h a n g e i n O r a n g e C o u n t y " , A p r i l 2 0 0 4 C a l i f o r n i a N e v a d a I n t e r s t a t e M a g l e v P r o j e c t R e p o r t , A n a h e i m - O n t a r i o S e g m e n t ; C a l i f o r n i a - N e v a d a S u p e r S p e e d T r a i n C o m m i s s i o n , A m e r i c a n M a g l i n e G r o u p , A u g u s t 2 0 0 3 S R - 9 1 C o n g e s t i o n R e l i e f A l t e r n a t i v e s A n a l y s i s , C a l t r a n s , J a n u a r y 2 0 0 3 R o u t e C o n c e p t R e p o r t s f o r S R - 9 1 , C a l t r a n s D i s t r i c t s 8 a n d 1 2 V a r i o u s P r e l i m i n a r y D r a w i n g s a n d C r o s s S e c t i o n s , C a l t r a n s D i s t r i c t s 8 a n d 1 2 2 0 1 0 S R - 9 1 I m p l e m e n t a t i o n P l a n 3 0 8 7 i AGENDA ITEM 8F i RIVERSIDE COUNTY TRANSPORTATION COMMISSION DATE: July 14, 2010 TO: Riverside County Transportation Commission FROM: Western Riverside County Programs and Projects Committee Lisa DaSilva, Capital Projects Manager Marlin Feenstra, Project Delivery Director THROUGH: Anne Mayer, Executive Director SUBJECT: Agreement with Southstar Engineering & Consulting, Inc. for Construction Management Services and Cooperative Agreement with Caltrans for Construction of the Interstate 215 Widening Project from Murrieta Hot Springs Road to Scott Road, North of the City of Murrieta WESTERN RIVERSIDE COUNTY PROGRAMS AND PROJECTS COMMITTEE AND STAFF RECOMMENDATION: This item is for the Commission to: 1) Award Agreement No. 10-31-079-00to Southstar Engineering & Consulting, Inc. (Southstar) to perform construction management (CM) services, materials testing, and construction surveying for the 1-215 widening, Murrieta Hot Springs Road to Scott Road project, in the city of Murrieta, for the base amount of $4,097,564, plus a contingency amount of $402,436, for a total not to exceed amount of $4.5 million; 2) Authorize the Chair, pursuant to legal counsel review, to execute the agreement on behalf of the Commission; 3) Authorize the Executive Director to approve contingency required for the project; - 4) Approve the Cooperative Agreement No. 10-31-110-00 construction of the project; and 5) Authorize the Executive Director, pursuant execute the cooperative agreement and amendments to this agreement. BACKGROUND INFORMATION: work as may be with Caltrans for to legal counsel review, to future non -funding related The Commission requires the services of a qualified firm to provide CM, materials testing, and construction surveying services for construction of the project. Services are anticipated to include pre -construction plan, specification, and estimate review; construction project advertising, bid analysis, and award; Agenda Item 8F 88 construction inspection; claim analysis; contractor interface and contract administration; office engineering; and other duties as appropriate for CM, as well as materials testing and construction surveying. Selection Process A request for qualifications (RFQ) for CM services, material testing, and construction surveying for the project was issued on February 22, 2010, with consultant statement of qualifications (SOQ) due on March 25. The Commission received five SOQs from AECOM, Caltrop Corporation, Harris & Associates, MACM Construction Management, and Southstar. An evaluation committee was appointed to review the SOQs received and to conduct firm interviews. The evaluation committee members included representatives from Commission staff, Bechtel, and the city of Murrieta. Based on the committee's evaluation of written SOQ submittals, and pursuant to the terms of the RFQ, the committee shortlisted three of the five offerors and invited those firms to the interview portion of the evaluation and selection process. The short listed firms included: • AECOM • Caltrop Corporation • Southstar Interviews with the above -referenced firms were conducted on April 22, and, after final scoring by the evaluation committee, Southstar was ranked the most qualified firm under the terms of the RFQ. Subsequently, staff has negotiated the scope (including the appropriate level of effort, labor categories/mix, etc.), cost, and schedule proposal from Southstar for the project services and established a fair and reasonable price. A pre -award audit of Southstar's payroll, including overhead rates, and accounting system was conducted by a certified public accounting firm retained by the Commission. Price negotiations resulted in a 20% reduction in profit by Southstar and its participating subconsultants. 1n addition, staff has been working with Caltrans to develop a : cooperative agreement between the Commission and Caltrans that defines the respective roles and responsibilities for the construction of the project. The draft cooperative agreement is included as Attachment 2. Agenda Item 8F • 89 " " S t a f f R e c o m m e n d a t i o n S t a f f r e c o m m e n d s A g r e e m e n t N o . 1 0 - 3 1 - 0 7 9 - 0 0 b e a w a r d e d t o S o u t h s t a r t o p e r f o r m C M s e r v i c e s , m a t e r i a l s t e s t i n g , a n d c o n s t r u c t i o n s u r v e y i n g f o r t h e 1 - 2 1 5 ' w i d e n i n g p r o j e c t f r o m M u r r i e t a H o t S p r i n g s R o a d t o S c o t t R o a d , i n t h e c i t y o f M u r r i e t a , b a s e d o n t h e f i n a l p r o j e c t s c o p e a n d c o s t i n c l u d e d w i t h A t t a c h m e n t 1 , f o r t h e b a s e a m o u n t o f $ 4 , 0 9 7 , 5 6 4 , p l u s c o n t i n g e n c y a m o u n t o f $ 4 0 2 , 4 3 6 f o r u n a n t i c i p a t e d c h a n g e s , f o r a t o t a l n o t t o e x c e e d a m o u n t o f $ 4 . 5 m i l l i o n . S t a f f f u r t h e r r e c o m m e n d s t h a t t h e C o m m i s s i o n a p p r o v e C o o p e r a t i v e A g r e e m e n t N o . 1 0 - 3 1 - 1 1 0 - 0 0 w i t h C a l t r a n s f o r c o n s t r u c t i o n o f t h e p r o j e c t a n d a u t h o r i z e t h e E x e c u t i v e D i r e c t o r , p u r s u a n t t o l e g a l c o u n s e l r e v i e w , t o e x e c u t e t h e c o o p e r a t i v e a g r e e m e n t a n d f u t u r e n o n - f u n d i n g r e l a t e d a m e n d m e n t s t o t h i s a g r e e m e n t . F i n a n c i a l I n f o r m a t i o n I n F i s c a l Y e a r B u d g e t : Y e s N / A Y e a r : F Y 2 0 1 0 / 1 1 F Y 2 0 1 1 / 1 2 + A m o u n t : $ 1 , 5 0 0 , 0 0 0 $ 3 , 0 0 0 , 0 0 0 S o u r c e o f F u n d s : C M I A , S T I P , M e a s u r e A B u d g e t A d u s t m e n t : N o N / A G L / P r o j e c t A c c o u n t i n g N o . : 0 0 3 0 2 2 8 1 3 0 2 2 6 2 3 1 8 1 3 0 1 F i s c a l P r o c e d u r e s A p p r o v e d : \ j / 6 4 4 0 . 1 D a t e : 0 6 / 1 6 / 1 0 A t t a c h m e n t s : 1 ) A g r e e m e n t 1 0 - 3 1 - 0 7 9 - 0 0 w i t h S o u t h s t a r E n g i n e e r i n g & C o n s u l t i n g , I n c . 2 ) C o o p e r a t i v e A g r e e m e n t 1 0 - 3 1 - 1 1 0 - 0 0 w i t h C a l t r a n s ( D i s t r i c t A g r e e m e n t 0 8 - 1 4 6 2 ) A g e n d a I t e m 8 F 9 0 " A T T A C H M E N T 1 A G R E E M E N T N O . 1 0 - 3 1 - 0 7 9 - 0 0 M O D E L P R O F E S S I O N A L S E R V I C E S A G R E E M E N T R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N A G R E E M E N T W I T H [ C O N S U L T A N T ] F O R C O N S T R U C T I O N M A N A G E M E N T , M A T E R I A L S T E S T I N G A N D C O N S T R U C T I O N S U R V E Y I N G S E R V I C E S F O R T H E I N T E R S T A T E 2 1 5 W I D E N I N G , M U R R I E T A H O T S P R I N G S R O A D T O S C O T T R O A D P R O J E C T 1 . P A R T I E S A N D D A T E . T h i s A g r e e m e n t i s m a d e a n d e n t e r e d i n t o t h i s d a y o f , 2 0 1 0 , b y a n d b e t w e e n t h e R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N ( " t h e C o m m i s s i o n " ) a n d [ N A M E O F F I R M 1 ( " C o n s u l t a n t ' ) , a [ L E G A L S T A T U S O F C O N S U L T A N T e . g . , C O R P O R A T I O N ] . 2 . R E C I T A L S . 2 . 1 O n N o v e m b e r 8 , 1 9 8 8 t h e V o t e r s o f R i v e r s i d e C o u n t y a p p r o v e d M e a s u r e A a u t h o r i z i n g t h e c o l l e c t i o n o f a o n e - h a l f p e r c e n t ( 1 / 2 % ) r e t a i l t r a n s a c t i o n s a n d u s e t a x ( t h e " t a x " ) t o f u n d t r a n s p o r t a t i o n p r o g r a m s a n d i m p r o v e m e n t s w i t h i n t h e C o u n t y o f R i v e r s i d e , a n d a d o p t i n g t h e R i v e r s i d e C o u n t y T r a n s p o r t a t i o n I m p r o v e m e n t P l a n ( t h e " P l a n " ) . 2 . 2 P u r s u a n t t o P u b l i c U t i l i t y C o d e S e c t i o n s 2 4 0 0 0 0 e t s e q . t h e C o m m i s s i o n i s a u t h o r i z e d t o a l l o c a t e t h e p r o c e e d s o f t h e T a x i n f u r t h e r a n c e o f t h e P l a n . 2 . 3 O n N o v e m b e r 5 , 2 0 0 2 , t h e v o t e r s o f R i v e r s i d e C o u n t y a p p r o v e d a n e x t e n s i o n o f t h e M e a s u r e A t a x f o r a n a d d i t i o n a l t h i r t y ( 3 0 ) y e a r s f o r t h e c o n t i n u e d f u n d i n g o f t r a n s p o r t a t i o n a n d i m p r o v e m e n t s w i t h i n t h e C o u n t y o f R i v e r s i d e . 2 . 4 C o n s u l t a n t d e s i r e s t o p e r f o r m a n d a s s u m e r e s p o n s i b i l i t y f o r t h e p r o v i s i o n o f c e r t a i n p r o f e s s i o n a l s e r v i c e s r e q u i r e d b y t h e C o m m i s s i o n o n t h e t e r m s a n d c o n d i t i o n s s e t f o r t h i n t h i s A g r e e m e n t . C o n s u l t a n t r e p r e s e n t s t h a t i t i s e x p e r i e n c e d i n p r o v i d i n g c o n s t r u c t i o n m a n a g e m e n t , e n g i n e e r i n g s u r v e y i n g a n d t e s t i n g s e r v i c e s t o p u b l i c c l i e n t s , i s l i c e n s e d i n t h e S t a t e o f C a l i f o r n i a ( a s n e c e s s a r y ) , a n d i s f a m i l i a r w i t h t h e p l a n s o f t h e C o m m i s s i o n . 9 1 2.5 The Commission desires to engage Consultant to render such services for the Interstate 215 Widening, Murrieta Hot Springs Road to Scott Road Project ("Project"), as set forth in this Agreement. 3. TERMS. 3.1 General Scope of Services. Consultant shall furnish all technical and professional services, including labor, material, equipment, transportation, supervision and expertise, and incidental and customary work necessary to fully and adequately supply the professional construction management, engineering surveying and testing services necessary for the Project ("Services"). The Services are more particularly described in Exhibit "A" attached hereto and incorporated herein by reference. All Services shall be subject to, and performed in accordance with, this Agreement, the exhibits attached hereto and incorporated herein by reference, and all applicable local, state and federal laws, rules and regulations. 3.2 Commencement of Services. The Consultant shall commence work upon receipt of a written "Notice to Proceed" or "Limited Notice to Proceed" from Commission. 3.3 Term. The term of this Agreement shall be from the date of execution of this Agreement or the date of issuance of the Notice to Proceed by the Commission, whichever occurs first, to the issuance by the Commission to Consultant of a Notice of Final Acceptance, as defined in paragraph 3.12 below, or June 30, 2012, unless earlier terminated as provided herein. Consultant shall complete the Services within the term of this Agreement, and shall meet any other established schedules and deadlines. All applicable indemnification provisions of this Agreement shall remain in effect following the termination of this Agreement. 3.4 Commission's Representative. The Commission hereby designates the Commission's Executive Director, or his or her designee, to act as its Representative for the performance of this Agreement ("Commission's Representative"). Commission's Representative shall have the authority to act on behalf of the Commission for all purposes under this Agreement. Commission's Representative shall also review and give approval, as needed, to the details of Consultant's work as it progresses. Consultant shall not accept direction or orders from any person other than the Commission's Representative or his ocher designee. 3.5 Consultant's Representative. Consultant hereby designates ( INSERT NAME OR TITLE j to act as its Representative for the performance of . this Agreement ("Consultant's Representative"). Consultant's Representative shall have full authority to act on behalf of Consultant for all purposes under this Agreement. The Consultants Representative shall supervise and direct the Services, using his professional skill and attention, and shall be responsible for all means, methods, techniques, sequences and procedures and for the satisfactory coordination of all 92 " " p o r t i o n s o f t h e S e r v i c e s u n d e r t h i s A g r e e m e n t . C o n s u l t a n t s h a l l w o r k c l o s e l y a n d c o o p e r a t e f u l l y w i t h C o m m i s s i o n ' s R e p r e s e n t a t i v e a n d a n y o t h e r a g e n c i e s w h i c h m a y h a v e j u r i s d i c t i o n o v e r , o r a n i n t e r e s t i n , t h e S e r v i c e s . C o n s u l t a n t ' s R e p r e s e n t a t i v e s h a l l b e a v a i l a b l e t o t h e C o m m i s s i o n s t a f f a t a l l r e a s o n a b l e t i m e s . A n y s u b s t i t u t i o n i n C o n s u l t a n t ' s R e p r e s e n t a t i v e s h a l l b e a p p r o v e d i n w r i t i n g b y C o m m i s s i o n ' s R e p r e s e n t a t i v e . 3 . 6 S u b s t i t u t i o n o f K e y P e r s o n n e l . C o n s u l t a n t h a s r e p r e s e n t e d t o t h e C o m m i s s i o n t h a t c e r t a i n k e y p e r s o n n e l w i l l p e r f o r m a n d c o o r d i n a t e t h e S e r v i c e s u n d e r t h i s A g r e e m e n t . S h o u l d o n e o r m o r e o f s u c h p e r s o n n e l b e c o m e u n a v a i l a b l e , C o n s u l t a n t m a y s u b s t i t u t e o t h e r p e r s o n n e l o f a t l e a s t e q u a l c o m p e t e n c e u p o n w r i t t e n a p p r o v a l b y t h e C o m m i s s i o n . I n t h e e v e n t t h a t t h e C o m m i s s i o n a n d C o n s u l t a n t c a n n o t a g r e e a s t o t h e s u b s t i t u t i o n o f t h e k e y p e r s o n n e l , t h e C o m m i s s i o n s h a l l b e e n t i t l e d t o t e r m i n a t e t h i s A g r e e m e n t f o r c a u s e , p u r s u a n t t o t h e p r o v i s i o n s o f S e c t i o n 3 . 1 4 . T h e k e y p e r s o n n e l f o r p e r f o r m a n c e o f t h i s A g r e e m e n t a r e : j L I S T N A M E S A N D T I T L E S ] . 3 . 7 P r e l i m i n a r y R e v i e w o f W o r k . A l l r e p o r t s , w o r k i n g p a p e r s , a n d s i m i l a r w o r k p r o d u c t s p r e p a r e d f o r s u b m i s s i o n i n t h e c o u r s e o f p r o v i d i n g S e r v i c e s u n d e r t h i s A g r e e m e n t s h a l l b e s u b m i t t e d t o t h e C o m m i s s i o n ' s R e p r e s e n t a t i v e i n d r a f t f o r m , a n d t h e C o m m i s s i o n m a y r e q u i r e r e v i s i o n s o f s u c h d r a f t s p r i o r t o f o r m a l s u b m i s s i o n a n d a p p r o v a l . I n t h e e v e n t p l a n s a n d d e s i g n s a r e t o b e d e v e l o p e d a s p a r t o f t h e P r o j e c t , f i n a l d e t a i l e d p l a n s a n d d e s i g n s s h a l l b e c o n t i n g e n t u p o n o b t a i n i n g e n v i r o n m e n t a l c l e a r a n c e a s m a y b e r e q u i r e d i n c o n n e c t i o n w i t h t h e P r o j e c t . I n t h e e v e n t t h a t C o m m i s s i o n ' s R e p r e s e n t a t i v e , i n h i s s o l e d i s c r e t i o n , d e t e r m i n e s t h e f o r m a l l y s u b m i t t e d w o r k p r o d u c t t o b e n o t i n a c c o r d a n c e w i t h t h e s t a n d a r d o f c a r e e s t a b l i s h e d u n d e r t h i s c o n t r a c t , C o m m i s s i o n ' s R e p r e s e n t a t i v e m a y r e q u i r e C o n s u l t a n t t o r e v i s e a n d r e s u b m i t t h e w o r k a t n o c o s t t o t h e C o m m i s s i o n . 3 . 8 A p p e a r a n c e a t H e a r i n g s . i f a n d w h e n r e q u i r e d b y t h e C o m m i s s i o n , C o n s u l t a n t s h a l l r e n d e r a s s i s t a n c e a t p u b l i c h e a r i n g s o r o t h e r m e e t i n g s r e l a t e d t o t h e P r o j e c t o r n e c e s s a r y t o t h e p e r f o r m a n c e o f t h e S e r v i c e s . H o w e v e r , C o n s u l t a n t s h a l l n o t b e r e q u i r e d t o , a n d w i l l n o t , r e n d e r a n y d e c i s i o n , i n t e r p r e t a t i o n o r r e c o m m e n d a t i o n r e g a r d i n g q u e s t i o n s o f a l e g a l n a t u r e o r w h i c h m a y b e c o n s t r u e d a s c o n s t i t u t i n g a l e g a l o p i n i o n . 3 . 9 S t a n d a r d o f C a r e : L i c e n s e s . C o n s u l t a n t r e p r e s e n t s a n d m a i n t a i n s t h a t i t i s s k i l l e d i n t h e p r o f e s s i o n a l c a l l i n g n e c e s s a r y t o p e r f o r m a l l S e r v i c e s , d u t i e s a n d o b l i g a t i o n s r e q u i r e d b y t h i s A g r e e m e n t t o f u l l y a n d a d e q u a t e l y c o m p l e t e t h e P r o j e c t . C o n s u l t a n t s h a l l p e r f o r m t h e S e r v i c e s a n d d u t i e s i n c o n f o r m a n c e t o a n d c o n s i s t e n t w i t h t h e s t a n d a r d s g e n e r a l l y r e c o g n i z e d a s b e i n g e m p l o y e d b y p r o f e s s i o n a l s i n t h e s a m e d i s c i p l i n e i n t h e S t a t e o f C a l i f o r n i a . C o n s u l t a n t w a r r a n t s t h a t a l l e m p l o y e e s a n d s u b c o n t r a c t o r s s h a l l h a v e s u f f i c i e n t s k i l l a n d e x p e r i e n c e t o p e r f o r m t h e S e r v i c e s a s s i g n e d t o t h e m . C o n s u l t a n t f u r t h e r r e p r e s e n t s a n d w a r r a n t s t o t h e C o m m i s s i o n t h a t i t s e m p l o y e e s a n d s u b c o n t r a c t o r s h a v e a l l l i c e n s e s , p e r m i t s , q u a l i f i c a t i o n s a n d a p p r o v a l s o f w h a t e v e r n a t u r e t h a t a r e l e g a l l y r e q u i r e d t o p e r f o r m t h e S e r v i c e s , a n d t h a t s u c h l i c e n s e s a n d a p p r o v a l s s h a l l b e m a i n t a i n e d t h r o u g h o u t t h e t e r m o f t h i s A g r e e m e n t . 9 3 Consultant shall perform, at its own cost and expense and without reimbursement from the Commission, any services necessary to correct errors or omissions which are caused by, the Consultant's failure to comply with the standard of care provided for herein, and shall be fully responsible to the Commission for all damages and other liabilities provided for in the indemnification provisions of this Agreement arising from the Consultant's errors and omissions. Any employee of Consultant or its sub - consultants who is determined by the Commission to be uncooperative, incompetent, a threat to the adequate or timely completion of the Project, a threat to the safety of persons or property, or any employee who fails or refuses to perform the Services in a manner acceptable to the Commission, shall be promptly removed from the Project by the Consultant and shall not be re-employed to perform any of the Services or to work on the Project. 3.10 Opportunity to Cure. Commission may provide Consultant an opportunity to cure, at Consultant's expense, all errors and omissions which may be disclosed during Project implementation. Should Consultant fail to make such correction in a timely manner, such correction may be made by the Commission, and the cost thereof charged to Consultant. 3.11 Inspection of Work. Consultant shall allow the Commission's Representative to inspect or review Consultant's work in progress at any reasonable time. 3.12 Final Acceptance. Upon determination by the Commission that Consultant has satisfactorily completed the Services required under this Agreement and within the term set forth in Section 3.3, the Commission shall give Consultant a written Notice of Final Acceptance. Upon receipt of such notice, Consultant shall incur no further costs hereunder, unless otherwise specified in the Notice of Final Acceptance. Consultant may request issuance of a Notice of Final Acceptance when, in its opinion, it has satisfactorily completed all Services required under the terms of this Agreement. In the event copyrights are permitted under this Agreement, then in connection with Federal funding, it is hereby acknowledged and agreed that the United States Department of Transportation shall have the royalty -free non-exclusive and irrevocable right to reproduce, publish, or otherwise use, and to authorize others to use, the work for governmental purposes. 3.13 Laws and Regulations. Consultant shall keep itself fully informed of and in compliance with all local, state and federal laws, rules and regulations in any manner affecting the performance of the Project or the Services, including all Cal/OSHA requirements, and shall give all notices required by law. For example, and not by way of limitation, Consultant shall keep itself fully informed of and in compliance with all implementing regulations, design standards, specifications, previous commitments that must be incorporated in the design of the Project, and administrative controls including those of the United States Department of Transportation. Compliance with Federal procedures may include completion of the applicable environmental documents and approved by a governmental body. If the Consultant performs any work knowing it to be 94 " c o n t r a r y t o t h e r e q u i r e m e n t s o f l a w s , r u l e s a n d r e g u l a t i o n s a n d w i t h o u t g i v i n g w r i t t e n n o t i c e t o t h e C o m m i s s i o n , C o n s u l t a n t s h a l l b e s o l e l y r e s p o n s i b l e f o r a l l c o s t s a r i s i n g t h e r e f r o m . C o n s u l t a n t s h a l l d e f e n d , i n d e m n i f y a n d h o l d C o m m i s s i o n , i t s o f f i c i a l s , d i r e c t o r s , o f f i c e r s , e m p l o y e e s a n d a g e n t s f r e e a n d h a r m l e s s , p u r s u a n t t o t h e i n d e m n i f i c a t i o n p r o v i s i o n s o f t h i s A g r e e m e n t , f r o m a n y c l a i m o r l i a b i l i t y a r i s i n g o u t o f a n y f a i l u r e o r a l l e g e d f a i l u r e t o c o m p l y w i t h s u c h l a w s , r u l e s o r r e g u l a t i o n s . 3 . 1 4 T e r m i n a t i o n . 3 . 1 4 . 1 N o t i c e ; R e a s o n . C o m m i s s i o n m a y , b y w r i t t e n n o t i c e t o C o n s u l t a n t , t e r m i n a t e t h i s A g r e e m e n t , i n w h o l e o r i n p a r t , a t a n y t i m e b y g i v i n g w r i t t e n n o t i c e t o C o n s u l t a n t o f s u c h t e r m i n a t i o n , a n d s p e c i f y i n g t h e e f f e c t i v e d a t e t h e r e o f ( " N o t i c e o f T e r m i n a t i o n " ) . S u c h t e r m i n a t i o n m a y b e f o r C o m m i s s i o n ' s c o n v e n i e n c e o r b e c a u s e o f C o n s u l t a n t ' s f a i l u r e t o p e r f o r m i t s d u t i e s a n d o b l i g a t i o n s u n d e r t h i s A g r e e m e n t , i n c l u d i n g , b u t n o t l i m i t e d t o , t h e f a i l u r e o f C o n s u l t a n t t o t i m e l y p e r f o r m S e r v i c e s p u r s u a n t t o t h e S c h e d u l e o f S e r v i c e s d e s c r i b e d i n S e c t i o n 3 . 1 5 o f t h i s A g r e e m e n t . C o n s u l t a n t m a y n o t t e r m i n a t e t h i s A g r e e m e n t e x c e p t f o r c a u s e . 3 . 1 4 . 2 D i s c o n t i n u a n c e o f S e r v i c e s . U p o n r e c e i p t o f t h e w r i t t e n N o t i c e o f T e r m i n a t i o n , C o n s u l t a n t s h a l l d i s c o n t i n u e a l l a f f e c t e d S e r v i c e s a s d i r e c t e d i n t h e N o t i c e o r a s o t h e r w i s e p r o v i d e d h e r e i n , a n d d e l i v e r t o t h e C o m m i s s i o n a l l D o c u m e n t s a n d D a t a , a s d e f i n e d i n t h i s A g r e e m e n t , a s m a y h a v e b e e n p r e p a r e d o r a c c u m u l a t e d b y C o n s u l t a n t i n p e r f o r m a n c e o f t h e S e r v i c e s , w h e t h e r c o m p l e t e d o r i n p r o g r e s s . 3 . 1 4 . 3 E f f e c t o f T e r m i n a t i o n F o r C o n v e n i e n c e . I f t h e t e r m i n a t i o n i s t o b e f o r t h e c o n v e n i e n c e o f t h e C o m m i s s i o n , t h e C o m m i s s i o n s h a l l c o m p e n s a t e C o n s u l t a n t f o r S e r v i c e s f u l l y a n d a d e q u a t e l y p r o v i d e d t h r o u g h t h e e f f e c t i v e d a t e o f t e r m i n a t i o n . S u c h p a y m e n t s h a l l i n c l u d e a p r o r a t e d a m o u n t o f p r o f i t , i f a p p l i c a b l e , b u t n o a m o u n t s h a l l b e p a i d f o r a n t i c i p a t e d p r o f i t o n u n p e r f o r m e d S e r v i c e s . C o n s u l t a n t s h a l l p r o v i d e d o c u m e n t a t i o n d e e m e d a d e q u a t e b y C o m m i s s i o n ' s R e p r e s e n t a t i v e t o s h o w t h e S e r v i c e s a c t u a l l y c o m p l e t e d b y C o n s u l t a n t p r i o r t o t h e e f f e c t i v e d a t e . o f t e r m i n a t i o n . T h i s A g r e e m e n t s h a l l t e r m i n a t e o n t h e e f f e c t i v e d a t e o f t h e N o t i c e o f T e r m i n a t i o n . 3 . 1 4 . 4 E f f e c t o f T e r m i n a t i o n f o r C a u s e . I f t h e t e r m i n a t i o n i s f o r c a u s e , C o n s u l t a n t s h a l l b e c o m p e n s a t e d f o r t h o s e S e r v i c e s w h i c h h a v e b e e n f u l l y a n d a d e q u a t e l y c o m p l e t e d a n d a c c e p t e d b y t h e C o m m i s s i o n a s o f t h e d a t e t h e C o m m i s s i o n p r o v i d e s t h e N o t i c e o f T e r m i n a t i o n . I n s u c h c a s e , t h e C o m m i s s i o n m a y t a k e o v e r t h e w o r k a n d p r o s e c u t e t h e s a m e t o c o m p l e t i o n b y c o n t r a c t o r o t h e r w i s e . F u r t h e r , C o n s u l t a n t s h a l l b e l i a b l e t o t h e C o m m i s s i o n f o r a n y r e a s o n a b l e a d d i t i o n a l c o s t s i n c u r r e d b y t h e C o m m i s s i o n t o r e v i s e w o r k f o r w h i c h t h e C o m m i s s i o n h a s c o m p e n s a t e d C o n s u l t a n t u n d e r t h i s A g r e e m e n t , b u t w h i c h t h e C o m m i s s i o n h a s d e t e r m i n e d i n i t s s o l e d i s c r e t i o n n e e d s t o b e r e v i s e d , i n p a r t o r w h o l e , t o c o m p l e t e t h e P r o j e c t b e c a u s e i t d i d n o t m e e t t h e s t a n d a r d o f c a r e e s t a b l i s h e d i n S e c t i o n 3 . 9 . T e r m i n a t i o n o f t h i s A g r e e m e n t f o r c a u s e m a y b e c o n s i d e r e d b y t h e C o m m i s s i o n i n d e t e r m i n i n g w h e t h e r t o e n t e r i n t o f u t u r e a g r e e m e n t s w i t h C o n s u l t a n t . 9 5 " 3 . 1 4 . 5 C u m u l a t i v e R e m e d i e s . T h e r i g h t s a n d r e m e d i e s o f t h e P a r t i e s p r o v i d e d i n t h i s S e c t i o n a r e i n a d d i t i o n t o a n y o t h e r r i g h t s a n d r e m e d i e s p r o v i d e d b y l a w o r u n d e r t h i s A g r e e m e n t . 3 . 1 4 . 6 P r o c u r e m e n t o f S i m i l a r S e r v i c e s . I n t h e e v e n t t h i s A g r e e m e n t i s t e r m i n a t e d , i n w h o l e o r i n p a r t , a s p r o v i d e d b y t h i s S e c t i o n , t h e C o m m i s s i o n m a y p r o c u r e , u p o n s u c h t e r m s a n d i n s u c h m a n n e r a s i t d e e m s a p p r o p r i a t e , s e r v i c e s s i m i l a r t o t h o s e t e r m i n a t e d . 3 . 1 4 . 7 W a i v e r s . C o n s u l t a n t , i n e x e c u t i n g t h i s A g r e e m e n t , s h a l l b e d e e m e d t o h a v e w a i v e d a n y a n d a l l c l a i m s f o r d a m a g e s w h i c h m a y o t h e r w i s e a r i s e f r o m t h e C o m m i s s i o n ' s t e r m i n a t i o n o f t h i s A g r e e m e n t , f o r c o n v e n i e n c e o r c a u s e , a s p r o v i d e d i n t h i s S e c t i o n . 3 . 1 5 S c h e d u l e a n d P r o g r e s s o f S e r v i c e s . 3 . 1 5 . 1 S c h e d u l e o f S e r v i c e s . C o n s u l t a n t s h a l l p e r f o r m t h e S e r v i c e s e x p e d i t i o u s l y , w i t h i n t h e t e r m o f t h i s A g r e e m e n t , a n d i n a c c o r d a n c e w i t h t h e S c h e d u l e o f S e r v i c e s s e t f o r t h i n E x h i b i t " B " a t t a c h e d h e r e t o a n d i n c o r p o r a t e d h e r e i n b y r e f e r e n c e . C o n s u l t a n t r e p r e s e n t s t h a t i t h a s t h e p r o f e s s i o n a l a n d t e c h n i c a l p e r s o n n e l t o p e r f o r m t h e S e r v i c e s i n c o n f o r m a n c e w i t h s u c h c o n d i t i o n s . I n o r d e r t o f a c i l i t a t e C o n s u l t a n t s c o n f o r m a n c e w i t h t h e S c h e d u l e , t h e C o m m i s s i o n s h a l l r e s p o n d t o C o n s u l t a n t ' s s u b m i t t a l s i n a t i m e l y m a n n e r . U p o n r e q u e s t o f C o m m i s s i o n ' s R e p r e s e n t a t i v e , C o n s u l t a n t s h a l l p r o v i d e a m o r e d e t a i l e d s c h e d u l e o f a n t i c i p a t e d p e r f o r m a n c e t o m e e t t h e S c h e d u l e o f S e r v i c e s . 3 . 1 5 . 2 M o d i f i c a t i o n o f t h e S c h e d u l e . C o n s u l t a n t s h a l l r e g u l a r l y r e p o r t t o t h e C o m m i s s i o n , t h r o u g h c o r r e s p o n d e n c e o r p r o g r e s s r e p o r t s , i t s p r o g r e s s i n p r o v i d i n g r e q u i r e d S e r v i c e s w i t h i n t h e s c h e d u l e d t i m e p e r i o d s . C o m m i s s i o n s h a l l b e p r o m p t l y i n f o r m e d o f a l l a n t i c i p a t e d d e l a y s . I n t h e e v e n t t h a t C o n s u l t a n t d e t e r m i n e s t h a t a s c h e d u l e m o d i f i c a t i o n i s n e c e s s a r y , C o n s u l t a n t s h a l l p r o m p t l y s u b m i t a r e v i s e d S c h e d u l e o f S e r v i c e s f o r a p p r o v a l b y C o m m i s s i o n ' s R e p r e s e n t a t i v e . 3 . 1 5 . 3 T r e n d M e e t i n g s . C o n s u l t a n t s h a l l c o n d u c t t r e n d m e e t i n g s w i t h t h e C o m m i s s i o n ' s R e p r e s e n t a t i v e a n d o t h e r i n t e r e s t e d p a r t i e s , a s r e q u e s t e d b y t h e C o m m i s s i o n , o n a b i - w e e k l y b a s i s o r a s m a y b e m u t u a l l y s c h e d u l e d b y t h e P a r t i e s a t a s t a n d a r d d a y a n d t i m e . T h e s e t r e n d m e e t i n g s w i l l e n c o m p a s s f o c u s e d a n d i n f o r m a l d i s c u s s i o n s c o n c e r n i n g s c o p e , s c h e d u l e , a n d c u r r e n t p r o g r e s s o f S e r v i c e s , r e l e v a n t c o s t i s s u e s , a n d f u t u r e P r o j e c t o b j e c t i v e s . C o n s u l t a n t s h a l l b e r e s p o n s i b l e f o r t h e p r e p a r a t i o n a n d d i s t r i b u t i o n o f m e e t i n g a g e n d a s t o b e r e c e i v e d b y t h e C o m m i s s i o n a n d o t h e r a t t e n d e e s n o l a t e r t h a n t h r e e ( 3 ) w o r k i n g d a y s p r i o r t o t h e m e e t i n g . 3 . 1 5 . 4 P r o g r e s s R e p o r t s . A s p a r t o f i t s m o n t h l y i n v o i c e , C o n s u l t a n t s h a l l s u b m i t a p r o g r e s s r e p o r t , i n a f o r m d e t e r m i n e d b y t h e C o m m i s s i o n , w h i c h w i l l 9 6 " " " _ i n d i c a t e t h e p r o g r e s s a c h i e v e d d u r i n g t h e p r e v i o u s m o n t h i n r e l a t i o n t o t h e S c h e d u l e o f S e r v i c e s . S u b m i s s i o n o f s u c h p r o g r e s s r e p o r t b y C o n s u l t a n t s h a l l b e a c o n d i t i o n p r e c e d e n t t o r e c e i p t o f p a y m e n t f r o m t h e C o m m i s s i o n f o r e a c h m o n t h l y i n v o i c e s u b m i t t e d . 3 . 1 6 D e l a y i n P e r f o r m a n c e . 3 . 1 6 . 1 E x c u s a b l e D e l a y s . S h o u l d C o n s u l t a n t b e d e l a y e d o r p r e v e n t e d f r o m t h e t i m e l y p e r f o r m a n c e o f a n y a c t o r S e r v i c e s r e q u i r e d b y t h e t e r m s o f t h e A g r e e m e n t b y r e a s o n o f a c t s o f G o d o r o f t h e p u b l i c e n e m y , a c t s o r o m i s s i o n s o f t h e C o m m i s s i o n o r o t h e r g o v e m m e n t a l a g e n c i e s i n e i t h e r t h e i r s o v e r e i g n o r c o n t r a c t u a l c a p a c i t i e s , f i r e s , f l o o d s , e p i d e m i c s , q u a r a n t i n e r e s t r i c t i o n s , s t r i k e s , f r e i g h t e m b a r g o e s o r u n u s u a l l y s e v e r e w e a t h e r , p e r f o r m a n c e o f s u c h a c t s h a l l b e e x c u s e d f o r t h e p e r i o d o f s u c h d e l a y . 3 . 1 6 . 2 W r i t t e n N o t i c e . I f C o n s u l t a n t b e l i e v e s i t i s e n t i t l e d t o a n e x t e n s i o n o f t i m e d u e t o c o n d i t i o n s s e t f o r t h i n s u b s e c t i o n 3 . 1 6 . 1 , C o n s u l t a n t s h a l l p r o v i d e w r i t t e n n o t i c e t o t h e C o m m i s s i o n w i t h i n s e v e n ( 7 ) w o r k i n g d a y s f r o m t h e t i m e C o n s u l t a n t k n o w s , o r r e a s o n a b l y s h o u l d h a v e k n o w n , t h a t p e r f o r m a n c e o f t h e S e r v i c e s w i l l b e d e l a y e d d u e t o s u c h c o n d i t i o n s . F a i l u r e o f C o n s u l t a n t t o p r o v i d e s u c h t i m e l y n o t i c e s h a l l c o n s t i t u t e a w a i v e r b y C o n s u l t a n t o f a n y r i g h t t o a n e x c u s a b l e d e l a y i n t i m e o f p e r f o r m a n c e . 3 . 1 6 . 3 M u t u a l A g r e e m e n t . P e r f o r m a n c e o f a n y S e r v i c e s u n d e r t h i s A g r e e m e n t m a y b e d e l a y e d u p o n m u t u a l a g r e e m e n t o f t h e P a r t i e s . U p o n s u c h a g r e e m e n t , C o n s u l t a n t ' s S c h e d u l e o f S e r v i c e s s h a l l b e e x t e n d e d a s n e c e s s a r y b y t h e C o m m i s s i o n . C o n s u l t a n t s h a l l t a k e a l l r e a s o n a b l e s t e p s t o m i n i m i z e d e l a y i n c o m p l e t i o n , a n d a d d i t i o n a l c o s t s , r e s u l t i n g f r o m a n y s u c h e x t e n s i o n . 3 . 1 7 S t a t u s o f C o n s u l t a n t / S u b c o n s u l t a n t s . 3 . 1 7 . 1 I n d e p e n d e n t C o n t r a c t o r . T h e S e r v i c e s s h a l l b e p e r f o r m e d b y C o n s u l t a n t o r u n d e r i t s s u p e r v i s i o n . C o n s u l t a n t w i l l d e t e r m i n e t h e m e a n s , m e t h o d s a n d d e t a i l s o f p e r f o r m i n g t h e S e r v i c e s s u b j e c t t o t h e r e q u i r e m e n t s o f t h i s A g r e e m e n t . C o m m i s s i o n r e t a i n s C o n s u l t a n t o n a n i n d e p e n d e n t c o n t r a c t o r b a s i s a n d n o t a s a n e m p l o y e e , a g e n t o r r e p r e s e n t a t i v e o f t h e C o m m i s s i o n . C o n s u l t a n t r e t a i n s t h e r i g h t t o p e r f o r m s i m i l a r o r d i f f e r e n t s e r v i c e s f o r o t h e r s d u r i n g t h e t e r m o f t h i s A g r e e m e n t . A n y a d d i t i o n a l p e r s o n n e l p e r f o r m i n g t h e S e r v i c e s u n d e r t h i s A g r e e m e n t o n b e h a l f o f C o n s u l t a n t s h a l l a t a l l t i m e s b e u n d e r C o n s u l t a n t ' s e x c l u s i v e d i r e c t i o n a n d c o n t r o l . C o n s u l t a n t s h a l l p a y a l l w a g e s , s a l a r i e s a n d o t h e r a m o u n t s d u e s u c h p e r s o n n e l i n c o n n e c t i o n w i t h t h e i r p e r f o r m a n c e o f S e r v i c e s a n d a s r e q u i r e d b y l a w . C o n s u l t a n t s h a l l b e r e s p o n s i b l e f o r a l l r e p o r t s a n d o b l i g a t i o n s r e s p e c t i n g s u c h p e r s o n n e l , i n c l u d i n g b u t n o t l i m i t e d t o , s o c i a l s e c u r i t y t a x e s , i n c o m e t a x w i t h h o l d i n g s , u n e m p l o y m e n t i n s u r a n c e , d i s a b i l i t y i n s u r a n c e , a n d w o r k e r s ' c o m p e n s a t i o n i n s u r a n c e . 9 7 3.17.2 Prevailing Wages. By its execution of this Agreement, Consultant certifies that it is aware of the requirements of California Labor Code Sections 1720 et seq. and 1770 et seq., as well as California Code of Regulations, Title 8, Section 16000 et seq. CPrevailing Wage Laws"), which require the payment of prevailing wage rates and the performance of other requirements on certain "public works" and "maintenance" projects. If the Services are being performed as part of an applicable "public works" or "maintenance" project, as defined by the Prevailing Wage Laws, and if the total compensation is $1,000 or more, Consultant agrees to fully comply with such Prevailing Wage Laws. Copies of the prevailing rate of per diem wages are on file at the Commission's offices. Consultant shall make copies of the prevailing rates of per diem wages for each craft, classification or type of worker needed to execute the Services available to interested parties upon request, and shall post copies at the Consultant's principal place of business and at the project site. Consultant shall defend, indemnify and hold the Commission, its elected officials, officers, employees and agents free and harmless from any claims, liabilities, costs, penalties or interest arising out of any failure or alleged failure to comply with the Prevailing Wage Laws. Certified Payrolls are to be submitted whenever required by Prevailing Wage laws. 3.17.3 Assignment or Transfer. Consultant shall not assign, hypothecate, or transfer, either directly or by operation of law, this Agreement or any interest herein, without the prior written consent of the Commission. Any attempt to do so shall be null and void, and any assignees, hypothecates or transferees shall acquire no right or interest by reason of such attempted assignment, hypothecation or transfer. 3.17.4 Subcontracting. Consultant shall not subcontract any portion of the work or Services required by this Agreement, except as expresslystated herein, without prior written approval of the Commission. If Consultant wishes to use a firm as a subcontractor which is not specified in the proposal upon which this Agreement was awarded, prior written approval must be obtained from the Commission. The Subcontracts, if any, shall contain a provision making them subject to all provisions stipulated in this Agreement. Consultant has, as part of its proposal, identified certain companies/firms that will be subconsultants utilized by Consultant CSubconsultants") for Project delivery. A list of said Subconsultants is attached hereto as Exhibit "C" Part 2 and made a part hereof. The Commission hereby approves the use by Consultant of the Subconsultants identified in Exhibit "C" Part 2. In the event and prior to the replacement of any Subconsultant approved herein, the Consultant shall seek and obtain the Commission's written approval. Exhibit "C" Part 2 also sets forth the rates at which each Subconsultant shall bill the Consultant for Services and that are subject to reimbursement by the Commission to Consultant. The cost of Addition Direct Costs, as defined in exhibit "C," shall be the same for both the Consultant and all subconsultants, unless otherwise identified in Exhibit "C" Part 2. 98 " C o n s u l t a n t a c k n o w l e d g e s t h a t a p p r o v a l o f C o n s u l t a n t ' s u t i l i z a t i o n o f t h e i d e n t i f i e d S u b c o n s u l t a n t s t o g e t h e r w i t h t h e i n c o r p o r a t i o n o f S u b c o n s u l t a n t s ' r a t e s c h e d u l e s a n d c o s t p r o p o s a l s i n t o t h i s A g r e e m e n t s h a l l i n n o w a y b e c o n s t r u e d t o c r e a t e a n y c o n t r a c t u a l r e l a t i o n s h i p b e t w e e n a n y S u b c o n s u l t a n t a n d t h e C o m m i s s i o n . T h e S u b c o n s u l t a n t r a t e s c h e d u l e s a n d c o s t p r o p o s a l s c o n t a i n e d h e r e i n a r e f o r a c c o u n t i n g p u r p o s e s o n l y . I n t h e e v e n t t h a t a n y S u b c o n s u l t a n t s h a l l b r i n g a n y a c t i o n , c l a i m o r p r o c e e d i n g p u r p o r t i n g t o e n f o r c e a n y r i g h t p u r p o r t e d l y a r i s i n g u n d e r t h i s A g r e e m e n t , t h e C o n s u l t a n t s h a l l b e r e s p o n s i b l e f o r t h e C o m m i s s i o n ' s r e a s o n a b l e l e g a l f e e s w i t h o u t r e g a r d t o t h e m e r i t s o f a n y s u c h c l a i m . 3 . 1 8 O w n e r s h i p o f M a t e r i a l s / C o n f i d e n t i a l i t y . 3 . 1 8 . 1 D o c u m e n t s & D a t a . T h i s A g r e e m e n t c r e a t e s a n e x c l u s i v e a n d p e r p e t u a l l i c e n s e f o r C o m m i s s i o n t o c o p y , u s e , m o d i f y , r e u s e , o r s u b - l i c e n s e a n y a n d a l l c o p y r i g h t s a n d d e s i g n s e m b o d i e d i n p l a n s , s p e c i f i c a t i o n s , s t u d i e s , d r a w i n g s , e s t i m a t e s , m a t e r i a l s , d a t a a n d o t h e r d o c u m e n t s o r w o r k s o f a u t h o r s h i p f i x e d i n a n y t a n g i b l e m e d i u m o f e x p r e s s i o n , i n c l u d i n g b u t n o t l i m i t e d t o , p h y s i c a l d r a w i n g s o r d a t a m a g n e t i c a l l y o r o t h e r w i s e r e c o r d e d o n c o m p u t e r d i s k e t t e s , w h i c h a r e p r e p a r e d o r c a u s e d t o b e p r e p a r e d b y C o n s u l t a n t u n d e r t h i s A g r e e m e n t ( " D o c u m e n t s & D a t a " ) . C o n s u l t a n t s h a l l r e q u i r e a l l s u b c o n t r a c t o r s t o a g r e e i n w r i t i n g t h a t C o m m i s s i o n i s g r a n t e d a n e x c l u s i v e a n d p e r p e t u a l l i c e n s e f o r a n y D o c u m e n t s & D a t a t h e s u b c o n t r a c t o r p r e p a r e s u n d e r t h i s A g r e e m e n t . C o n s u l t a n t r e p r e s e n t s a n d w a r r a n t s t h a t C o n s u l t a n t h a s t h e l e g a l r i g h t t o g r a n t t h e e x c l u s i v e a n d p e r p e t u a l l i c e n s e f o r a l l s u c h D o c u m e n t s & D a t a . C o n s u l t a n t m a k e s n o s u c h r e p r e s e n t a t i o n a n d w a r r a n t y i n r e g a r d t o D o c u m e n t s & D a t a w h i c h w e r e p r e p a r e d b y d e s i g n p r o f e s s i o n a l s o t h e r t h a n C o n s u l t a n t o r p r o v i d e d t o C o n s u l t a n t b y t h e C o m m i s s i o n . C o m m i s s i o n s h a l l n o t b e l i m i t e d i n a n y w a y i n i t s u s e o f t h e D o c u m e n t s & D a t a a t a n y t i m e , p r o v i d e d t h a t a n y s u c h u s e n o t w i t h i n t h e p u r p o s e s i n t e n d e d b y t h i s A g r e e m e n t s h a l l b e a t C o m m i s s i o n ' s s o l e r i s k . 3 . 1 8 . 2 I n t e l l e c t u a l P r o p e r t y . I n a d d i t i o n , C o m m i s s i o n s h a l l h a v e a n d r e t a i n a l l r i g h t , t i t l e a n d i n t e r e s t ( i n c l u d i n g c o p y r i g h t , p a t e n t , t r a d e s e c r e t a n d o t h e r p r o p r i e t a r y r i g h t s ) i n a l l p l a n s , s p e c i f i c a t i o n s , s t u d i e s , d r a w i n g s , e s t i m a t e s , m a t e r i a l s , d a t a , c o m p u t e r p r o g r a m s o r s o f t w a r e a n d s o u r c e c o d e , e n h a n c e m e n t s , d o c u m e n t s , a n d a n y a n d a l l w o r k s o f a u t h o r s h i p f i x e d i n a n y t a n g i b l e m e d i u m o r e x p r e s s i o n , i n c l u d i n g b u t n o t l i m i t e d t o , p h y s i c a l d r a w i n g s o r o t h e r d a t a m a g n e t i c a l l y o r o t h e r w i s e r e c o r d e d o n c o m p u t e r m e d i a ( " I n t e l l e c t u a l P r o p e r t y " ) p r e p a r e d o r d e v e l o p e d b y o r o n b e h a l f o f C o n s u l t a n t u n d e r t h i s A g r e e m e n t a s w e l l a s a n y o t h e r s u c h I n t e l l e c t u a l P r o p e r t y p r e p a r e d o r d e v e l o p e d b y o r o n b e h a l f o f C o n s u l t a n t u n d e r t h i s A g r e e m e n t . T h e C o m m i s s i o n s h a l l h a v e a n d r e t a i n a l l r i g h t , t i t l e a n d i n t e r e s t i n I n t e l l e c t u a l P r o p e r t y d e v e l o p e d o r m o d i f i e d u n d e r t h i s A g r e e m e n t w h e t h e r o r n o t p a i d 9 9 for wholly or in part by Commission, whether or not developed in conjunction with Consultant, and whether or not developed by Consultant. Consultant will execute separate written assignments of any and all rights to the above referenced Intellectual Property upon request of Commission. Consultant shall also be responsible to obtain in writing separate written assignments from any subcontractors or agents of Consultant of any and all right to the above referenced Intellectual Property. Should Consultant, either during or following termination of this Agreement, desire to use any of the above -referenced Intellectual Property, it shall first obtain the written approval of the Commission. All materials and documents which were developed or prepared by the Consultant for general use prior to the execution of this Agreement and which are not the copyright of any other party or publicly available and any other computer applications, shall continue to be the property of the Consultant. However, unless otherwise • identified and stated prior to execution of this Agreement, Consultant represents and warrants that it has the right to grant the exclusive and perpetual license for all such Intellectual Property as provided herein. Commission further is granted by Consultant a non-exclusive and perpetual license to copy, use, modify or sub -license any and all Intellectual Property otherwise owned by Consultant which is the basis or foundation for any derivative, collective, insurrectional, or supplemental work created under this Agreement. 3.18.3 Confidentiality. All ideas, memoranda, specifications, plans, procedures, drawings, descriptions, computer program data, input record data, written information, and other Documents and Data either created by or provided to Consultant in connection with the performance of this Agreement shall be held confidential by Consultant. Such materials shall not, without the prior written consent of Commission, be used by Consultant for any purposes other than the performance of the Services. Nor shall such materials be disclosed to any person or entity not connected with the performance of the Services or the Project. Nothing furnished to Consultant which is otherwise known to Consultant or is generally known, or has become known, to the related industry shall be deemed confidential. Consultant shall not use Commission's name or insignia, photographs of the Project, or any publicity pertaining to the Services or the Project in any magazine, trade paper, newspaper, television or radio production or other similar medium without the prior written consent of Commission. 3.19 Indemnification. To the fullest extent permitted by law, Consultant shall defend, indemnify and hold Commission, its directors, officials, officers, employees, consultants, volunteers, and agents free and harmless from any and all claims, demands, causes of action, costs, expenses, liability, loss, damage or injury, in law or equity, to property or persons, including wrongful death, in any manner arising out of or incident to alleged negligent acts, omissions, or willful misconduct of Consultant, its officials, officers, employees, agents, consultants, and contractors arising out of or in connection with the performance of the Services, the Project or this • 100 Insurance or includes a general aggregate limit, either the general aggregate limit shall apply separately to this Agreement/location or the general aggregate limit shall be twice the required occurrence limit; (2) Automobile Liability: $1,000,000 per accident for bodily injury and property damage; and (3) Workers' Compensation and Employer's Liability: Statutory Workers' Compensation limits as required by the applicable Labor Code and Employer's Liability limits of no less than $1,000,000 per accident for bodily injury or disease. 3.20.3 Professional Liability. Consultant shall procure and maintain, and require its sub -consultants to procure and maintain, for a period of five (5) years following completion of the Project, errors and omissions liability insurance appropriate to their profession. Such insurance shall be in an amount not less than $2,000,000 per claim. 3.20.4 Aircraft Liability Insurance. Consultant, prior to the direct or indirect use of any civil aircraft to provide Service under this Agreement, shall procure and maintain, or cause to be procured and maintained, aircraft liability insurance or equivalent form, with a single limit of not less than $5,000,000 per each occurrence. Such insurance shall include coverage for owned, hired and non -owned aircraft and passengers, and shall name, or be endorsed to name, the Commission, its directors, officials, officers, employees, consultants, and agents as additional insureds with respect to the Services or operations performed by or on behalf of the Consultant. 3.20.5Insurance Endorsements. The insurance policies shall contain the following provisions, or Consultant shall provide endorsements on forms approved by the Commission to add the following provisions to the insurance policies: (A) General Liability. The general liability policy shall be endorsed to state that: (1) the Commission, its directors, officials, officers, employees and agents shall be covered as additional insureds with respect to the Services or operations performed by or on behalf of the Consultant, including materials, parts or equipment furnished in connection with such work; and (2) the insurance coverage shall be primary insurance as respects the Commission, its directors, officials, officers, employees and agents, or if excess, shall stand in an unbroken chain of coverage excess of the Consultant's scheduled underlying coverage. Any insurance or self- insurance maintained by the Commission, its directors, officials, officers, employees and agents shall be excess of the Consultant's insurance and shall not be called upon to contribute with it in any way. (B) Automobile Liability. The automobile liability policy shall be endorsed to state that: (1) the Commission, its directors, officials, officers, employees and agents shall be covered as additional insureds with respect to the ownership, operation, maintenance, use, loading or unloading of any auto owned, leased, hired or borrowed by the Consultant or for which the Consultant is responsible; and (2) the insurance coverage shall be primary insurance as respects the Commission, its directors, officials, officers, employees and agents, or if excess, shall stand in an 102 unbroken chain of coverage excess of the Consultant's scheduled underlying coverage. Any insurance or self-insurance maintained by the Commission, its directors, officials, officers, employees and agents shall be excess of the Consultant's insurance and shall not be called upon to contribute with it in any way. (C) Workers' Compensation and Employers Liability Coverage. The insurer shall agree to waive all rights of subrogation against the Commission, its directors, officials, officers, ,employees and agents for losses paid under the terms of the insurance policy which arise from work performed by the Consultant. (D) All Coverages. Each insurance policy required by this Agreement shall be endorsed to state that: (A) coverage shall not be suspended, voided or canceled except after thirty (30) days prior written notice by certified mail, return receipt requested, has been given to the Commission; and (B) any failure to comply with reporting or other provisions of the policies, including breaches of warranties, shall not affect coverage provided to the Commission, its directors, officials, officers, employees and agents. 3.20.6 Deductibles and Self -Insurance Retentions. Any deductibles or self -insured retentions must be declared to and approved by the Commission. If the Commission does not approve the deductibles or self -insured retentions as presented, Consultant shall guarantee that, at the option of the Commission, either: (1) the insurer shall reduce or eliminate such deductibles or self -insured retentions as respects the Commission, its directors, officials, officers, employees and agents; or (2) the Consultant shall procure a bond guaranteeing payment of losses and related investigation costs, claims and administrative and defense expenses. 3.20.7 Acceptability of Insurers. Insurance is to be placed with insurers with a current A.M. Best's rating no less than A: VIII, licensed to do business in California, and satisfactory to the Commission. 3.20.8 Verification of Coverage. Consultant shall furnish Commission with original certificates of insurance and endorsements effecting coverage required by this Agreement on forms satisfactory to the Commission. The certificates and endorsements for each insurance policy shall be signed by a person authorized by that insurer to bind coverage on its behalf. All certificates and endorsements must be received and approved by the Commission before work commences. The Commission reserves the right to require complete, certified copies of all required insurance, policies, at any time. 3.20.9 Other Insurance. At its option, the Commission may require such additional coverage(s), limits and/or the reduction of deductibles or retentions it considers reasonable and prudent based upon risk factors that may directly or indirectly impact the Project. In retaining this option Commission does not warrant Consultant's 103 insurance program to be adequate. Consultant shall have the right to purchase insurance in addition to the insurance required in this Section. 3.21 Safety. Consultant shall execute and maintain its work so as to avoid injury or damage to any person or property. In carrying out its Services, the Consultant shall at all times be in compliance with all applicable local, state and federal laws, rules and regulations, and shall exercise all necessary precautions for the safety of employees appropriate to the nature of the work and the conditions under which the work is to be performed. Safety precautions as applicable shall include, but shall not be limited to: (A) adequate life protection and life saving equipment and procedures; (B) instructions in accident prevention for all employees and subcontractors, such as safe walkways, scaffolds, fall protection ladders, bridges, gang planks, confined space procedures, trenching and shoring, equipment and other safety devices, equipment and wearing apparel as are necessary or lawfully required to prevent accidents or injuries; and (C) adequate facilities for the proper inspection and maintenance of all safety measures. 3.22 Fees and Payment. 3.22.1 Compensation. Consultant shall receive compensation, including authorized reimbursements, for all Services rendered under this Agreement at the rates set forth in Exhibit "C" attached hereto and incorporated herein by reference. The total compensation shall be on the basis of direct costs plus a fixed fee as further set forth in Exhibit "C" and shall not exceed the maximum amount of r INSERT WRITTEN DOLLAR AMOUNT ] ($[ INSERT NUMERICAL DOLLAR AMOUNT ]), without written approval of Commission's Executive Director. 3.22.2 Payment of Compensation. Consultant shall submit a monthly itemized statement which indicates work completed and hours of Services rendered by Consultant. The statement shall describe the amount of Services and supplies provided since the initial commencement date, or since the start of the subsequent billing periods, as appropriate, through the date of the Statement. Charges specific to each Milestone listed in the Schedule of Services shall be listed separately on an attachment to each statement. Each statement shall be accompanied by a monthly progress report and spreadsheets showing hours expended for each task for each month and the total Project to date. Each statement shall include a cover sheet bearing a certification as to the accuracy of the statement signed by the Consultant's Project Manager or other authorized officer. 3.22.3 Additional Work. Any work or activities that are in addition to, or otherwise outside of, the Services to be performed pursuant to this Agreement shall only be performed pursuant to a separate agreement between the parties. Notwithstanding the foregoing, the Commission's Executive Director may make a change to the Agreement as permitted by law or authorized by the Commission. . • i 104 " " ( a ) I n a d d i t i o n t o t h e c h a n g e s a u t h o r i z e d a b o v e , a m o d i f i c a t i o n w h i c h i s s i g n e d b y C o n s u l t a n t a n d t h e C o m m i s s i o n ' s E x e c u t i v e D i r e c t o r , o t h e r t h a n a C a r d i n a l C h a n g e , m a y b e m a d e i n o r d e r t o : ( 1 ) m a k e a n e g o t i a t e d e q u i t a b l e a d j u s t m e n t t o t h e A g r e e m e n t p r i c e , d e l i v e r y s c h e d u l e a n d o t h e r t e r m s r e s u l t i n g f r o m t h e i s s u a n c e o f a C h a n g e O r d e r , ( 2 ) r e f l e c t d e f i n i t i v e l e t t e r c o n t r a c t s , a n d ( 3 ) r e f l e c t o t h e r a g r e e m e n t s o f t h e p a r t i e s m o d i f y i n g t h e t e r m s o f t h i s A g r e e m e n t ( " B i l a t e r a l C o n t r a c t M o d i f i c a t i o n " ) . ( b ) C o n s u l t a n t s h a l l n o t p e r f o r m , n o r b e c o m p e n s a t e d f o r a n y c h a n g e , w i t h o u t w r i t t e n a u t h o r i z a t i o n f r o m t h e C o m m i s s i o n ' s E x e c u t i v e D i r e c t o r a s s e t f o r t h h e r e i n . I n t h e e v e n t s u c h a c h a n g e a u t h o r i z a t i o n i s n o t i s s u e d a n d s i g n e d b y t h e C o m m i s s i o n ' s E x e c u t i v e D i r e c t o r , C o n s u l t a n t s h a l l n o t p r o v i d e s u c h c h a n g e . 3 . 2 2 . 4 R e i m b u r s e m e n t f o r E x p e n s e s . C o n s u l t a n t s h a l l n o t b e r e i m b u r s e d f o r a n y e x p e n s e s u n l e s s a u t h o r i z e d i n w r i t i n g b y t h e C o m m i s s i o n ' s R e p r e s e n t a t i v e . . 3 . 2 3 P r o h i b i t e d I n t e r e s t s . 3 . 2 3 . 1 S o l i c i t a t i o n . C o n s u l t a n t m a i n t a i n s a n d w a r r a n t s t h a t i t h a s n o t e m p l o y e d n o r r e t a i n e d a n y c o m p a n y o r p e r s o n , o t h e r t h a n a b o n a f i d e e m p l o y e e w o r k i n g s o l e l y f o r C o n s u l t a n t , t o s o l i c i t o r s e c u r e t h i s A g r e e m e n t . F u r t h e r , C o n s u l t a n t w a r r a n t s t h a t i t h a s n o t p a i d n o r h a s i t a g r e e d t o p a y a n y c o m p a n y o r p e r s o n , o t h e r t h a n a b o n a f i d e e m p l o y e e w o r k i n g s o l e l y f o r C o n s u l t a n t , a n y f e e , c o m m i s s i o n , p e r c e n t a g e , b r o k e r a g e f e e , g i f t o r o t h e r c o n s i d e r a t i o n c o n t i n g e n t u p o n o r r e s u l t i n g f r o m t h e a w a r d o r m a k i n g o f t h i s A g r e e m e n t . F o r b r e a c h o r v i o l a t i o n o f t h i s w a r r a n t y , t h e C o m m i s s i o n s h a l l h a v e t h e r i g h t t o r e s c i n d t h i s A g r e e m e n t w i t h o u t l i a b i l i t y . 3 . 2 3 . 2 C o n f l i c t o f I n t e r e s t . F o r t h e t e r m o f t h i s A g r e e m e n t , n o m e m b e r , o f f i c e r o r e m p l o y e e o f t h e C o m m i s s i o n , d u r i n g t h e t e r m o f h i s o r h e r s e r v i c e w i t h t h e C o m m i s s i o n , s h a l l h a v e a n y d i r e c t i n t e r e s t i n t h i s A g r e e m e n t , o r o b t a i n a n y p r e s e n t o r a n t i c i p a t e d m a t e r i a l b e n e f i t a r i s i n g t h e r e f r o m . 3 . 2 3 . 3 C o n f l i c t o f E m p l o y m e n t . E m p l o y m e n t b y t h e C o n s u l t a n t o f p e r s o n n e l c u r r e n t l y o n t h e p a y r o l l o f t h e C o m m i s s i o n s h a l l n o t b e p e r m i t t e d i n t h e p e r f o r m a n c e o f t h i s A g r e e m e n t , e v e n t h o u g h s u c h e m p l o y m e n t m a y o c c u r o u t s i d e o f t h e e m p l o y e e ' s r e g u l a r w o r k i n g h o u r s o r o n w e e k e n d s , h o l i d a y s o r v a c a t i o n t i m e . F u r t h e r , t h e e m p l o y m e n t b y t h e C o n s u l t a n t o f p e r s o n n e l w h o h a v e b e e n o n t h e C o m m i s s i o n p a y r o l l w i t h i n o n e y e a r p r i o r t o t h e d a t e o f e x e c u t i o n o f t h i s A g r e e m e n t , w h e r e t h i s e m p l o y m e n t i s c a u s e d b y a n d o r d e p e n d e n t u p o n t h e C o n s u l t a n t s e c u r i n g t h i s o r r e l a t e d A g r e e m e n t s w i t h t h e C o m m i s s i o n , i s p r o h i b i t e d . 3 . 2 3 . 4 C o v e n a n t A g a i n s t C o n t i n g e n t F e e s . T h e C o n s u l t a n t r e p r e s e n t s a n d w a r r a n t s t h a t h e / s h e h a s n o t e m p l o y e d o r r e t a i n e d a n y c o m p a n y o r p e r s o n , o t h e r t h a n a b o n a f i d e e m p l o y e e w o r k i n g f o r t h e C o n s u l t a n t , t o s o l i c i t o r s e c u r e t h i s A g r e e m e n t , a n d t h a t h e / s h e h a s n o t p a i d o r a g r e e d t o p a y a n y c o m p a n y o r p e r s o n , 1 0 5 other than a bona fide employee, any fee, commission, percentage, brokerage fee, gift, or any other consideration, contingent upon or resulting from the award or formation of this Agreement. For breach or violation of this warranty, the Commission shall have the right to terminate this Agreement without liability pursuant to Section 3.14, or at its • discretion to deduct from the Agreement price or consideration, or otherwise recover, the full amount of such fee, commission, percentage, brokerage fee, gift, or contingent fee. 3.23.5 Covenant Against Expenditure of Local Agency, State or Federal Funds for Lobbying. Omitted Intentionally 3.24 Accounting Records. Consultant shall maintain complete and accurate records with respect to all costs and expenses incurred and fees charged under this Agreement. The Federal Acquisition Regulations in Title 48, CFR 31 shall be the goveming factors regarding allowable elements of cost. All such records shall be clearly identifiable. Consultant shall allow a representative of the Commission or any duly authorized representative of the Commission during normal business hours to examine, audit, and make transcripts or copies of any and all ledgers and books of account, invoices, vouchers, canceled checks, and any other records or documents created pursuant to this Agreement. All such information shall be retained by Consultant for at least three (3) years following termination of this Agreement. 3.25 Equal Opportunity Employment. Consultant represents that it is an equal opportunity employer and it shall not discriminate against any subcontractor, employee or applicant for employment because of race, religion, color, national origin, ancestry, sex or age. Such non-discrimination shall include, but not be limited to, all activities related to initial employment, upgrading, demotion, transfer, recruitment or recruitment advertising, layoff or termination. 3.26 Right to Employ Other Consultants. Commission reserves the right to employ other consultants in connection with the Project. As required, Consultant shall cooperate fully with any other consultant engaged by the Commission on the Project. 3.27 Governing Law. This Agreement shall be governed by and construed with the laws of the State of California. Venue shall be in Riverside County. 3.28 Attorneys' Fees. If either party commences an action against the other party, either legal, administrative or otherwise, arising out of or in connection with this Agreement, the prevailing party in such litigation shall be entitled to Have and recover from the losing party reasonable attorneys' fees and, all other costs of such actions. 3.29 Time of Essence. Time is of the essence for each and every provision of this Agreement. • • • 106 3.30 Headings. Article and Section Headings, paragraph captions or marginal headings contained in this Agreement are for convenience only and shall have no effect in the construction or interpretation of any provision herein. 3.31 Notices. All notices permitted or required under this Agreement shall be given to the respective parties at the following address, or at such other address as the respective parties may provide in writing for this purpose: CONSULTANT: Attn: COMMISSION: Riverside County Transportation Commission 4080 Lemon Street, 3`d Floor Riverside, CA 92501 Attn: Executive Director Such notice shall be deemed made when personally delivered or when mailed, forty- eight (48) hours after deposit in the U.S. mail, first class postage prepaid, and addressed to the party at its applicable address. Actual notice shall be deemed adequate notice on the date actual notice occurred, regardless of the method of service. 3.32 Conflicting Provisions. In the event that provisions of any attached exhibits conflict in any way with the provisions set forth in this Agreement, the language, terms and conditions contained in this Agreement shall control the actions and obligations of the Parties and the interpretation of the Parties' understanding concerning the performance of the Services. 3.33 Amendment or Modification. No supplement, modification, or amendment of this Agreement shall be binding unless executed in writing and signed by both Parties. 3.34 Entire Agreement_ This Agreement contains the entire agreement of the Parties relating to the subject matter hereof and supersedes all prior negotiations, agreements or understandings. 3.35 Invalidity; Severability. If any portion of this Agreement is declared invalid, illegal, or otherwise unenforceable by a court of competent jurisdiction, the remaining provisions shall continue in full force and effect. 3.36 Provisions Applicable When Federal Department of Transportation Funds Are Involved. Omitted Intentionally 3.37 No Waiver. Failure of Commission to insist on any one occasion upon strict compliance with any of the terms, covenants or conditions hereof shall not be deemed a waiver of such term, covenant or condition, nor shall any waiver or relinquishment of any rights or powers hereunder at any one time or more times be 107 deemed a waiver or relinquishment of such other right or power at any other time or times. [Signatures on following page] • • 108 " " S I G N A T U R E P A G E T O P R O F E S S I O N A L S E R V I C E S A G R E E M E N T I N W I T N E S S W H E R E O F , t h i s A g r e e m e n t w a s e x e c u t e d o n t h e d a t e f i r s t w r i t t e n a b o v e . R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N B y : C O N S U L T A N T B y : [ _ I N S E R T N A M E 1 S i g n a t u r e C h a i r m a n A p p r o v e d a s t o F o r m : B y : B e s t B e s t & K r i e g e r L L P G e n e r a l C o u n s e l N a m e T i t l e 1 0 9 " " S C O P E O F W O R K B a c k g r o u n d I n f o r m a t i o n R C T C i s s e e k i n g p r o p o s a l s f r o m q u a l i f i e d e n g i n e e r i n g p r o f e s s i o n a l s t o p r o v i d e C o n s t r u c t i o n M a n a g e m e n t ( C M ) , M a t e r i a l s T e s t i n g , a n d C o n s t r u c t i o n S u r v e y i n g S e r v i c e s f o r c o n s t r u c t i o n o f 1 - 2 1 5 W i d e n i n g , M u r r i e t a H o t S p r i n g s R o a d t o S c o t t R o a d P r o j e c t l o c a t e d i n t h e c i t y o f M u r r i e t a , C A . S e r v i c e s a r e a n t i c i p a t e d t o i n c l u d e p r e - c o n s t r u c t i o n p l a n , s p e c i f i c a t i o n , a n d e s t i m a t e ( P S & E ) r e v i e w , c o n s t r u c t i o n p r o j e c t a d v e r t i s i n g , b i d a n a l y s i s , a n d a w a r d ; c o n s t r u c t i o n i n s p e c t i o n ; c l a i m a n a l y s i s , c o n t r a c t o r i n t e r f a c e a n d c o n t r a c t a d m i n i s t r a t i o n ; o f f i c e e n g i n e e r i n g ; a n d o t h e r a s s o r t e d d u t i e s a s a p p r o p r i a t e f o r c o n s t r u c t i o n m a n a g e m e n t , a s w e l l a s m a t e r i a l s t e s t i n g a n d c o n s t r u c t i o n s u r v e y i n g . P e r f o r m a n c e R e q u i r e m e n t s C o n s t r u c t i o n M a n a g e m e n t : O F F E R O R s h a l l f u r n i s h a P r o j e c t M a n a g e r t o c o o r d i n a t e O F F E R O R o p e r a t i o n s w i t h C O M M I S S I O N . T h e P r o j e c t M a n a g e r s h a l l b e r e s p o n s i b l e f o r a l l m a t t e r s r e l a t e d t o O F F E R O R p e r s o n n e l a n d o p e r a t i o n s . I t i s r e c o m m e n d e d t h a t a s i n g l e p o i n t o f c o n t a c t o r R e s i d e n t E n g i n e e r b e a s s i g n e d t o d i r e c t a n d c o o r d i n a t e c o n s t r u c t i o n a c t i v i t i e s u n d e r t h i s c o n t r a c t . O t h e r A s s i s t a n t R e s i d e n t E n g i n e e r s m a y b e a s s i g n e d t o e a c h s p e c i f i c p r o j e c t r e s p o n s i b i l i t i e s a s n e e d e d . R e s i d e n t E n g i n e e r s h a l l b e a C i v i l E n g i n e e r , r e g i s t e r e d i n t h e S t a t e o f C a l i f o r n i a . T h e R e s i d e n t E n g i n e e r s h a l l b e i n r e s p o n s i b l e c h a r g e o f c o n s t r u c t i o n a c t i v i t y w i t h i n t h e P r o j e c t . T h e R e s i d e n t E n g i n e e r s h a l l b e r e s p o n s i b l e f o r d a i l y o n - s i t e i n s p e c t i o n s a n d d e c i s i o n s r e g a r d i n g e r o s i o n c o n t r o l t h a t c o m p r i s e a s m a l l p o r t i o n o f t h e P r o j e c t . T h e n u m b e r o f O F F E R O R p e r s o n n e l a s s i g n e d t o t h e p r o j e c t w i l l v a r y t h r o u g h o u t t h e d u r a t i o n o f t h e c o n t r a c t . O F F E R O R p e r s o n n e l w i l l b e a s s i g n e d , i n v a r y i n g l e v e l s o f r e s p o n s i b i l i t y , a s n e e d e d b y t h e O F F E R O R t o m e e t t h e p r o j e c t s c h e d u l e , p r o j e c t r e q u i r e m e n t s , a n d c o n s t r u c t i o n a c t i v i t i e s . R e s u m e s o f p e r s o n n e l m u s t b e s u b m i t t e d t o C O M M I S S I O N f o r r e v i e w a n d a p p r o v a l p r i o r t o a s s i g n m e n t t o t h e P r o j e c t . C O M M I S S I O N a n d O F F E R O R w i l l j o i n t l y d e t e r m i n e t h e q u a l i t y a n d q u a n t i t y o f s e r v i c e s t h a t a r e r e q u i r e d b y O F F E R O R p e r s o n n e l . P e r s o n n e l s e l e c t e d f o r a s s i g n m e n t b y O F F E R O R s h a l l b e m a d e a v a i l a b l e f o r p e r s o n a l i n t e r v i e w s p r i o r t o a c c e p t a n c e b y C O M M I S S I O N . I f , i n t h e o p i n i o n o f C O M M I S S I O N , a n i n d i v i d u a l l a c k s a d e q u a t e e x p e r i e n c e , t h e i n d i v i d u a l m a y b e r e j e c t e d o r m a y b e a c c e p t e d o n a t r i a l b a s i s u n t i l s u c h t i m e t h e i n d i v i d u a l ' s a b i l i t y t o p e r f o r m t h e r e q u i r e d s e r v i c e s h a s b e e n d e m o n s t r a t e d . I f , a t a n y t i m e , t h e p e r f o r m a n c e o f O F F E R O R p e r s o n n e l i s u n s a t i s f a c t o r y t o C O M M I S S I O N , C O M M I S S I O N m a y r e l e a s e h i m / h e r b y w r i t t e n n o t i c e a n d m a y r e q u e s t a n o t h e r q u a l i f i e d p e r s o n b e a s s i g n e d . 1 1 0 If OFFEROR personnel are on leave of absence, the Project Manager shall provide approved, equally qualified replacement personnel until the assigned personnel returns to the Project. The typical workday includes all hours worked by the construction Contractor. If necessary, overtime for OFFEROR personnel may be required. The construction Contractor's operations may be restricted to specific hours during the week, which shall become the normal workday for OFFEROR personnel. The Project Manager, with concurrence from COMMISSION, shall have the authority to increase, decrease, or eliminate OFFEROR personnel work hours dependent on the schedule and requirements of the construction Contractor. All overtime required by OFFEROR personnel shall be approved and authorized by COMMISSION prior to each occurrence. OFFEROR personnel shall be knowledgeable of and comply with all applicable local, state, and federal regulations. OFFEROR personnel shall cooperate and consult with COMMISSION, State, and City officials during the course of the Project. OFFEROR personnel shall perform duties as may be required to assure that construction is being performed in accordance with the Project plans and specifications. OFFEROR personnel shall keep accurate and timely records and document all work performed by the Contractor and OFFEROR. OFFEROR shall monitor for Contractor's compliance with the labor standards provisions of the projects and the related wage determination decisions of the Secretary of Labor. OFFEROR personnel shall assist COMMISSION and local agencies in obtaining compliance with the safety and accident prevention provisions of the projects. Local agencies will retain jurisdictional control for traffic control. All services required hereunder shall be performed in accordance with California Department of Transportation guidelines, regulations, policies, procedures, manuals, and standards, except as noted in the special provisions. Materials Testing: The number of field testing personnel assigned to the project will vary throughout the duration of the construction contract. OFFEROR personnel will be assigned as needed by the Resident Engineer to meet the schedule of the construction contractor. It is anticipated that at least one field technician will be required throughout the construction contract period. At times, additional technicians may be required to provide support for on -going construction activities. The duration of assignments could vary from a minimum of a few days to the full term of the project. OFFEROR personnel will be available within two (2) days of written notification by COMMISSION. • 111 " " " I t i s t h e i n t e n t o f C O M M I S S I O N t o m a i n t a i n a c o n s i s t e n c y o f m a t e r i a l t e s t i n g q u a l i t y t h r o u g h o u t e a c h p h a s e o f e a c h p r o j e c t . O F F E R O R i s t h e r e f o r e e n c o u r a g e d t o p r o v i d e , w h e r e e v e r a n d w h e n e v e r p o s s i b l e , t h e s a m e f i e l d p e r s o n n e l f o r t h e d u r a t i o n o f c o n s t r u c t i o n o f e a c h p r o j e c t . O n d a y s w h e n w o r k i s n o t p e r f o r m e d b y t h e c o n s t r u c t i o n c o n t r a c t o r , s u c h a s r a i n y o r u n s u i t a b l e w e a t h e r d a y s , O F F E R O R w i l l n o t p r o v i d e s e r v i c e s u n l e s s a u t h o r i z e d b y t h e C O M M I S S I O N C o n s t r u c t i o n M a n a g e r . R e s u m e s o f m a t e r i a l s t e s t i n g p e r s o n n e l m u s t b e s u b m i t t e d t o C O M M I S S I O N f o r r e v i e w a n d a p p r o v a l p r i o r t o a s s i g n m e n t t o t h e P r o j e c t . I f , a t a n y t i m e , t h e l e v e l o f p e r f o r m a n c e o f a n y t e s t i n g p e r s o n n e l i s b e l o w e x p e c t a t i o n s , C O M M I S S I O N m a y r e l e a s e t h a t f i e l d p e r s o n a n d r e q u e s t t h a t a n o t h e r b e a s s i g n e d a s n e e d e d . I f a m e m b e r o f O F F E R O R ' s p e r s o n n e l i s o n a l e a v e o f a b s e n c e , O F F E R O R ' s p r o j e c t m a n a g e r w i l l p r o v i d e a n e q u a l l y q u a l i f i e d r e p l a c e m e n t e m p l o y e e u n t i l t h e o r i g i n a l m e m b e r r e t u r n s t o w o r k . T h e r e p l a c e m e n t e m p l o y e e w i l l m e e t a l l t h e r e q u i r e m e n t s o f a p e r m a n e n t l y a s s i g n e d e m p l o y e e . A l l p e r s o n n e l w i l l b e k n o w l e d g e a b l e o f , a n d c o m p l y w i t h , a l l a p p l i c a b l e l o c a l , C a l t r a n s , a n d f e d e r a l r e g u l a t i o n s ; c o o p e r a t e a n d c o n s u l t w i t h C O M M I S S I O N a n d l o c a l a g e n c y o f f i c i a l s d u r i n g t h e c o u r s e o f t h e c o n t r a c t ; a n d p e r f o r m o t h e r d u t i e s a s m a y b e r e q u i r e d t o a s s u r e t h a t t h e c o n s t r u c t i o n i s b e i n g p e r f o r m e d i n a c c o r d a n c e w i t h t h e p r o j e c t p l a n s a n d s p e c i f i c a t i o n s . O F F E R O R ' s p e r s o n n e l w i l l k e e p r e c o r d s a n d d o c u m e n t t h e w o r k a s d i r e c t e d b y t h e R e s i d e n t E n g i n e e r . O F F E R O R p e r s o n n e l s h a l l a s s i s t C O M M I S S I O N a n d l o c a l a g e n c i e s i n o b t a i n i n g c o m p l i a n c e w i t h t h e s a f e t y a n d a c c i d e n t p r e v e n t i o n p r o v i s i o n s o f t h e p r o j e c t s . L o c a l a g e n c i e s w i l l r e t a i n j u r i s d i c t i o n a l c o n t r o l f o r t r a f f i c c o n t r o l . A l l s e r v i c e s r e q u i r e d h e r e u n d e r w i l l b e p e r f o r m e d i n a c c o r d a n c e w i t h C a l t r a n s r e g u l a t i o n s , p o l i c i e s , p r o c e d u r e s , m a n u a l s , a n d s t a n d a r d s . C o n s t r u c t i o n S u r v e y i n g : O F F E R O R w i l l f u r n i s h s u r v e y i n g c r e w ( s ) t o p e r f o r m c o n s t r u c t i o n s u r v e y s f o r t h e p r o j e c t . T h e n u m b e r o f s u r v e y c r e w ( s ) a s s i g n e d t o t h e p r o j e c t w i l l v a r y t h r o u g h o u t t h e d u r a t i o n o f t h e c o n s t r u c t i o n c o n t r a c t . O F F E R O R p e r s o n n e l w i l l b e a s s i g n e d a s n e e d e d b y t h e R e s i d e n t E n g i n e e r t o m e e t t h e s c h e d u l e o f t h e c o n s t r u c t i o n c o n t r a c t o r . I t i s t h e i n t e n t o f C O M M I S S I O N t o m a i n t a i n a c o n s i s t e n c y o f c o n s t r u c t i o n s u r v e y q u a l i t y t h r o u g h o u t e a c h p h a s e o f e a c h p r o j e c t . T h e r e f o r e , O F F E R O R i s e n c o u r a g e d t o p r o v i d e t h e s a m e f i e l d p e r s o n n e l f o r t h e d u r a t i o n o f c o n s t r u c t i o n . I t i s i m p o r t a n t t h a t t h e F i e l d P a r t y C h i e f ( s ) a s s i g n e d t o a p r o j e c t b e c o m p l e t e l y f a m i l i a r w i t h t h e s u r v e y r e q u i r e m e n t s a n d t h e a s s i g n m e n t s f o r t h e p r o j e c t . C o n s t r u c t i o n s u r v e y i n g w i l l n o t b e p e r f o r m e d w h e n c o n d i t i o n s s u c h a s w e a t h e r , t r a f f i c , a n d o t h e r f a c t o r s p r e v e n t s a f e a n d e f f i c i e n t o p e r a t i o n . 1 1 2 Resumes of OFFEROR personnel and certification must be submitted to COMMISSION for review. OFFEROR personnel must be approved by COMMISSION prior to assignment to a project. COMMISSION and OFFEROR will have the responsibility of determining the quality and quantity of work performed by OFFEROR personnel. lf, at any time, the level of performance by OFFEROR personnel is below expectations, COMMISSION may release the survey crew member and request that another be assigned. If OFFEROR's survey crew personnel assigned to the project is on a leave of absence, the Project Manager will provide an equally qualified replacement(s) until the original employee(s) returns to work. The replacement will be required to meet all the requirements of the permanently assigned employee. OFFEROR personnel will: • Be knowledgeable of, and comply with all, applicable local, Caltrans, state, and federal regulations. • Cooperate and consult with COMMISSION officials during the course of the contract. • Perform duties as may be required to assure construction is performed in accordance with the project plans and specifications. ' • Keep records and document work as directed by the Resident Engineer. All services required hereunder will be performed in accordance with Caltrans regulations, policies, procedures, manuals, and standards. Duties and Responsibilities 1. Pre -construction Services a. Plan Review OFFEROR shall review construction contract documents prior to construction. Tasks include review of plans, specifications, technical reports, resident engineer's pending files, and associated items in order to verify completeness and consistency throughout the Project. At minimum, OFFEROR shall check for quantity discrepancies, potential conflicts, constructability, and consistency between plans, specifications and pay items. b. Schedule OFFEROR shall review the proposed Project schedule, compare it to the Project plans and specifications, and provide recommendations to COMMISSION, as appropriate, to ensure efficiency of Contractor and OFFEROR operations and safe and expeditious completion of the Project. • • • 113 " c . B u d g e t O F F E R O R s h a l l r e v i e w t h e P r o j e c t e s t i m a t e a n d p r o v i d e r e c o m m e n d a t i o n s t o C O M M I S S I O N , a s a p p r o p r i a t e , t o e n s u r e e f f i c i e n t u t i l i z a t i o n o f f u n d s a n d c o n t r o l o f p r o j e c t c o s t s . 2 . B i d P r o c e s s a . B i d D o c u m e n t s O F F E R O R s h a l l a s s i s t C O M M I S S I O N , a s r e q u e s t e d , w i t h t h e f o l l o w i n g t a s k s : 1 ) R e v i e w o f b i d d o c u m e n t s 2 ) P r e p a r a t i o n o f b i d t a b u l a t i o n s b . " P r e - c o n s t r u c t i o n M e e t i n g s O F F E R O R s h a l l a s s i s t C O M M I S S I O N i n c o n d u c t i n g o n e o r m o r e , p r e - c o n s t r u c t i o n m e e t i n g s w i t h a l l i n v o l v e d p a r t i e s o n t h e P r o j e c t . P a r t i e s m a y i n c l u d e , b u t a r e n o t l i m i t e d t o , t h e C o n t r a c t o r , t h e d e s i g n e n g i n e e r , c o u n t y , c i t i e s , u t i l i t y c o m p a n i e s , a n d d e v e l o p e r s . c . C o n t r a c t A w a r d O F F E R O R s h a l l a s s i s t C O M M I S S I O N , a s r e q u e s t e d , w i t h t h e f o l l o w i n g t a s k s : 1 ) R e v i e w o f b i d f o r c o m p l e t e n e s s a n d r e s p o n s i v e n e s s 2 ) P e r f o r m b i d a n a l y s i s 3 ) D e v e l o p m e n t o f c o n t r a c t o r p a y m e n t s c h e d u l e s , a n d o t h e r p r o c e d u r a l i t e m s . 4 ) C h e c k i n g C o n t r a c t o r r e f e r e n c e s , l i c e n s e s , i n s u r a n c e , a n d s u r e t i e s . 5 ) C o o r d i n a t i o n w i t h p r o s p e c t i v e C o n t r a c t o r f o r a w a r d o f c o n s t r u c t i o n c o n t r a c t ( s ) . A l l p r o c e s s e s w i l l b e c o n s i s t e n t w i t h p r o c e d u r e s o u t l i n e d b y t h e C a l i f o r n i a D e p a r t m e n t o f T r a n s p o r t a t i o n f o r S p e c i a l F u n d e d P r o g r a m s . 3 . P r o j e c t A d m i n i s t r a t i o n a . O F F E R O R s h a l l a d m i n i s t e r p r o j e c t c o n s t r u c t i o n c o n t r a c t u s i n g C a l t r a n s C o n s t r u c t i o n M a n u a l a s a g u i d e l i n e . 1 1 4 g• b. OFFEROR shall conduct regular project coordination meetings with Contractor, COMMISSION, local agencies, and design engineer, as appropriate. c. OFFEROR shall prepare Contractor progress payments and maintain payment records and supporting documentation. All progress payments shall be reviewed by COMMISSION for approval. d. OFFEROR shall establish and maintain Project records. Project record keeping shall include, but are not limited to, correspondence, memoranda, contract documents, change orders, claims, COMMISSION and engineer directives, meeting minutes, shop drawings, supplementary drawings, and requests for payment. OFFEROR shall maintain a record of the names, addresses, and telephone and fax numbers of the Contractors, subcontractors, and principal material suppliers. e. OFFEROR shall establish and maintain a filing system for each Project using the Caltrans Construction Manual as a guideline_ f. OFFEROR shall monitor Contractors' construction schedules on an ongoing basis and alert COMMISSION to conditions that may lead to delays in completion of the Project. OFFEROR shall prepare and submit a monthly Activity Summary Report for each project. The activity report shall include construction activity, accomplishments, and status of project budget and schedule. h. OFFEROR shall review and ensure compliance with environmental requirements. i. OFFEROR shall participate in partnering sessions with the Contractor, COMMISSION, and Local Agencies, as required. . j. OFFEROR shall ensure that the Project meets all provisions of the Caltrans Quality Assurance Program Manual. k. OFFEROR shall review Contractors' certified payroll records and assist COMMISSION with labor compliance. OFFEROR shall ensure that the Project meets all provisions of the Storm Water Pollution Prevention Plan (SWPPP). ` m. OFFEROR shall assure that the Project meets all applicable regulations of the Air Quality Management District (AQMD). 4. Construction Coordination • 115 a. OFFEROR shall provide a minimum of one qualified Senior Resident Engineer and other qualified Resident Engineers, as needed to effectively manage the Project. b. OFFEROR Resident Engineer shall act as a prime point of contact between Contractor, COMMISSION, OFFEROR's construction surveyor, OFFEROR's materials inspector, and utility companies. OFFEROR may, when requested by COMMISSION, act as point of contact between design engineers, cities, and the public. c. OFFEROR shall maintain regular contact with COMMISSION's Construction Manager. d. OFFEROR shall coordinate utility relocations with utility companies and their designees, as well as the utility inspector. e. OFFEROR shall review Project plans and special provisions for possible errors and deficiencies prior to construction of any specific element and report such findings to COMMISSION. Should COMMISSION determine that changes are necessary, OFFEROR shall assist in implementation and processing of change orders in accordance with contract documents. f. OFFEROR shall provide all required monitoring, coordination, and tracking of construction progress to ensure the Project proceeds on schedule and according to the order of work in the plans and special provisions. OFFEROR shall expedite work, as required, to maintain schedule in conjunction with the overall construction staging program. g. OFFEROR shall coordinate review of shop drawings and Requests for Information (RFI) with the Construction Manager. OFFEROR shall log and track all submittals and requests. h. OFFEROR shall provide a qualified SWPPP coordinator who shall review contractor prepared Storm Water Pollution Prevention Plans (SWPPP) and coordinate approval with COMMISSION. OFFEROR shall cooperate with monitoring agency inspections and field reviews. i. OFFEROR shall coordinate the implementation of any changes with the Construction Manager and the design engineer. j. OFFEROR shall review and approve falsework and shoring plans. k. OFFEROR shall review and approve Traffic Control Plans and forward to COMMISSION to get City approval as necessary. I. OFFEROR shall coordinate all Project construction activities with other on- 116 going projects within and adjacent to the Project limits. 5. Construction Inspection a. OFFEROR shall coordinate all required inspections necessary for the Project. OFFEROR shall ensure that appropriate City, and local agency are notified and present as required throughout the Project. OFFEROR shall notify COMMISSION immediately regarding any directives, recommendations, notices, etc. received from agencies other than COMMISSION. b. OFFEROR shall perform and document daily on -site inspections of the progress and quality of construction to determine if the work being performed is in general conformance with the contract documents, all applicable laws, codes, and ordinances. c. OFFEROR shall exercise reasonable care and diligence to discover and promptly report to COMMISSION any and all defects or deficiencies in the materials or workmanship used in the Project. d. OFFEROR personnel assigned to the Project shall be thoroughly familiar with Caltrans Standard Specifications, Caltrans Standard Plans, and Caltrans Erosion Control and Highway Planting requirements. OFFEROR personnel shall have the ability to read and interpret construction plans and specifications. OFFEROR personnel shall also have knowledge of State of California Construction Safety Orders (CaIOSHA) and traffic control practices as specified in the Work Area Traffic Control Handbook (WATCH). In addition, OFFEROR personnel shall be familiar with the construction requirements of Storm Water Pollution Prevention Program. e. Assignments to be performed by OFFEROR personnel shall include, but are not limited to, the following: 1) Paving and subgrade inspection, structures and foundation inspection, signing and striping inspection, quantity calculations, checking grade and alignment, construction traffic control, and duties that may be required to determine that construction of the Project is being performed in accordance with the contract documents. 2) Identifying actual and potential problems associated with the Project and recommending sound engineering solutions. 3) Subgrade inspection, hardscape inspection, trenching & irrigation inspection, quantity calculations, checking grade and alignment, sub -surface & finish surface drainage inspection, soil amendments 117 and plant material identification & quality control, along with other duties that may be required to determine that construction of the Project is being performed in accordance with the contract documents. 4) Arrange testing in accordance with Ca!trans highway planting procedures. 5) Maintaining awareness of safety and health requirements. Monitoring Contractors' compliance with applicable regulations and construction contract provisions for the protection of the public and Project personnel. 6) Preparing complete and accurate daily reports, calculations, project records, payment quantity documents, reports, and correspondence related to Project activities. Documents shall be sufficient to provide actual cost of force account work. 7) Preparing construction sketches, drawings, and cross -sections, as necessary. 8) Keep records of all deviations from the approved plans to assist the Design Engineer in the preparation of as -built plans. 9) Providing inspections for environmental compliance. 10)Maintaining awareness of water discharge requirements. Monitoring Contractors' compliance with applicable regulations and construction contract provisions. 11)Monitoring Contractors' compliance with applicable regulations required by AQMD. 12)0ther duties as may be required or reasonably requested. 6. Project Support a. Construction Surveys OFFEROR shall perform construction surveying services, field calculations; and home office calculations to support construction of the projects. OFFEROR may be requested to review available survey data, construction plans, and right-of-way plans to confirm compatibility and to identify discrepancies prior to and during construction of proposed projects. The Resident Engineer will assign survey work to the CONSUTLTANT by issuing a "Request for Survey Services". Requests 118 may include, but not be limited to, the following types of surveys and related services: 1) Construction Surveys OFFEROR shall assist the Resident Engineer in all phases of construction staking and calculations as needed. Survey calculations and adjustments shall be performed with established and computed coordinates based on the California Coordinate System. Cross-section data collection shall be performed by conventional and terrain line interpolation survey methods. Survey data will include topography, cross-section, and other survey data in computer formats compatible with the Ca!trans computer survey and design systems. Prepare and maintain survey documents. Survey documents include survey field notes, maps, drawings, and other survey documents. Perform construction staking, including but not limited to: • • • .• • • • Utility locations Clearing limits Slope staking Storm drain, sanitary sewer, and irrigation systems Drainage structures Curbs, gutters, and sidewalk Horizontal and vertical control for structures and portions of structures (bents, abutments, wingwalls, etc.) Rough grade Finish grade Monitor for settlement, if required Global Positioning Satellite (GPS) equipment shall be made available if required by the COMMISSION 2) Right of Way Lines Existing right of way will be established from Local Agency's record information and existing monumentation. • • 119 " " R i g h t o f w a y m o n u m e n t a t i o n s h a l l b e r e n e w e d a n d r e s t o r e d i n a c c o r d a n c e w i t h S e c t i o n 1 0 . 4 o f t h e C a ! t r a n s " S u r v e y M a n u a l " a n d t h e S t a t e o f C a l i f o r n i a L a n d S u r v e y o r ' s A c t " C o m e r r e c o r d s a n d r e c o r d s o f s u r v e y s s h a l l b e p r e p a r e d a n d f i l e d i n a c c o r d a n c e w i t h t h e a p p l i c a b l e s t a n d a r d s a n d t h e S t a t e o f C a l i f o r n i a L a n d S u r v e y o r ' s A c t . " P e r p e t u a t e e x i s t i n g m o n u m e n t a t i o n . I n c l u d e s r e s t o r i n g , r e n e w i n g , r e f e r e n c i n g , a n d r e s e t t i n g e x i s t i n g b o u n d a r y r e l a t e d m o n u m e n t a t i o n . I n a d d i t i o n , s t a k e a r e a s w h e r e c o n s t r u c t i o n d i s t u r b s t h e e x i s t i n g r i g h t o f w a y , p r e p a r i n g a n d f i l i n g r e q u i r e d m a p s a n d r e c o r d s . " R i g h t o f W a y S u r v e y s . I n c l u d e s r e s e a r c h a n d p r e p a r a t i o n f i l i n g o f r e q u i r e d m a p s a n d r e c o r d s . I n a d d i t i o n , l o c a t e a n d s e t m o n u m e n t s f o r r i g h t o r w a y a n d s t a k i n g f o r r i g h t o f w a y f e n c e s . " F i n a l m o n u m e n t a t i o n . I n c l u d e s s e t t i n g o f c e n t e r l i n e p o i n t s o f c o n t r o l u p o n c o m p l e t i o n o f c o n s t r u c t i o n . 3 ) S p e c i a l D e s i g n D a t a S u r v e y s I n c l u d e s d r a i n a g e , u t i l i t y , a n d s u r v e y s r e q u i r e d f o r s p e c i a l f i e l d s t u d i e s . b . M a t e r i a l s T e s t i n g a n d G e o t e c h n i c a l S e r v i c e s O F F E R O R w i l l p r o v i d e e x p e r i e n c e d p e r s o n n e l , e q u i p m e n t , a n d f a c i l i t i e s t o p e r f o r m v a r i o u s c o n s t r u c t i o n m a t e r i a l s s a m p l i n g a n d t e s t i n g . L a b o r a t o r y a n d f i e l d m a t e r i a l s t e s t i n g w i l l b e u s e d t o e n s u r e t h a t s t r u c t u r e a n d r o a d w a y c o n s t r u c t i o n w o r k c o n f o r m s t o C a l i f o r n i a S t a t e D e p a r t m e n t o f T r a n s p o r t a t i o n ( C a l t r a n s ) s t a n d a r d s , s p e c i f i c a t i o n s , a n d s p e c i a l p r o v i s i o n s f o r m a t e r i a l q u a l i t y a n d w o r k m a n s h i p . A l l f i e l d a n d l a b o r a t o r y t e s t i n g i s t o b e p e r f o r m e d i n a c c o r d a n c e w i t h C a l i f o r n i a T e s t M e t h o d s . O F F E R O R w i l l b e r e s p o n s i b l e f o r t h e a c c u r a c y a n d c o m p l e t e n e s s o f a l l t e s t d a t a c o m p i l a t i o n a n d r e s u l t s . c . P u b l i c R e l a t i o n s O F F E R O R s h a l l r e t a i n a p u b l i c r e l a t i o n s f i r m t o i m p l e m e n t a p u b l i c o u t r e a c h p r o g r a m f o r t h e p r o j e c t . O F F E R O R s h a l l c o o r d i n a t e p u b l i c a w a r e n e s s f o r t h e p r o j e c t w i t h C O M M I S S I O N i n c o n j u n c t i o n w i t h t h e l o c a l a g e n c i e s . T h e O F F E R O R w i l l m a n a g e a l l p u b l i c a w a r e n e s s a c t i v i t i e s f o r t h i s p r o j e c t . O F F E R O R ' s p u b l i c 1 2 0 relations firm will be responsible for but not limited to the following outreach activities: • Attend construction meetings • Dissemination of traffic advisories • Respond to public inquiries/calls • Organize ground breaking and ribbon cutting ceremonies • Develop and maintain project information on the Commission's website d. Permits OFFEROR shall review the project for permit compliance and coordinate with COMMISSION and the design engineer to ensure that necessary permits are obtained. OFFEROR shall assist COMMISSION in the coordination, timely processing and verification of approval for all permits. OFFEROR shall maintain permits and permit documentation on site. 7. Cost and Schedule a. OFFEROR shall monitor and track the following: 1. Contract pay item quantities and payments 2. Contract change orders 3. Supplemental work items 4. Agency furnished materials 5. Anticipated extra work balance 6. Contingency balance 7. Project budget b. OFFEROR shall review and monitor Contractor's schedule and inform COMMISSION of any significant changes or deviations in the schedule. c. OFFEROR shall provide and maintain a Project staffing plan of field office personnel. In cooperation with COMMISSION, the staffing plan shall be periodically updated to reflect Project progress and needs. 8. Contract Change Orders and Claims a. OFFEROR shall receive and evaluate requests for changes, and/or substitutions by the Contractor. Contract Change Orders submitted to COMMISSION shall be accompanied by OFFEROR recommendations. Where applicable, OFFEROR shall convey proposed changes to design engineer, or other project Offerors. If the requested changes are accepted, OFFEROR shall negotiate and prepare appropriate Contract Change Orders. • • 121 b. OFFEROR shall attempt to avoid all unnecessary Contract Change Orders. When a Contract Change Order is necessary, OFFEROR shall consult with COMMISSION prior to its preparation. Unless directed otherwise by COMMISSION, the preferred method of payment for Contract Change Orders should be as follows: 1) Agreed Price 2) Adjustment in compensation to a bid item 3) Time and materials or Force Account c. OFFEROR shall attempt to identify all potential claims, track and monitor unresolved claims, and implement claims avoidance processes. d. OFFEROR shall assist COMMISSION, as requested, in the identification, resolution, and final disposition of claims filed by the Contractor or third parties against COMMISSION or the Project. 9. Safety In addition to the requirements specified elsewhere in this contract, the following shall also apply: a. OFFEROR shall implement and conduct a comprehensive safety program including regular tail -gate safety meetings for OFFEROR personnel. OFFEROR shall provide monthly OFFEROR status of safety reports. b. OFFEROR shall comply with State of California Construction Safety Orders and provisions of the Ca!trans Construction Manual. c. OFFEROR shall provide appropriate safety training for all OFFEROR field personnel. d. OFFEROR shall provide all necessary safety equipment as required for OFFEROR personnel. 10. Project Close Out a. OFEROR shall prepare a list of items to be completed and/or corrected by the Contractor for final completion of the Project. b OFFEROR shall collect and furnish as -built information to the design engineer for preparation of as -built drawings including pre -stress drawings and pile logs, as applicable. c. OFFEROR shall review and verify completeness of as -built drawings. 122 d. OFFEROR shall conduct a final walk-through with COMMISSION, Local Agencies, Contractors, and design engineers. e. OFFEROR shall prepare final construction reports including the Project Completion Report. f. OFFEROR shall prepare and deliver to COMMISSION all project files. g. OFFEROR shall assist COMMISSION and Contractor in obtaining final release of all project permits. DELIVERABLES 1. Inspector daily reports, extra work diaries and Resident Engineers' daily diaries. 2_ Monthly Project Activity Summary Reports. 3. Monthly Contractor progress payments, back-up documentation, and Contractor payment records. 4. Contractor final payment documents, delivered to COMMISSION no later than ten (10) working days after acceptance by COMMISSION of the completed construction projects. 5. Project Completion Report. 6. All project files, project reports, correspondence, memoranda, shop drawings, project logs, change order data, claims and claim reports, and Contractor payment records. 7. Certified payrolls and fringe benefit statements for all employees, OFFEROR and Contractor, who are subject to the State and/or Federal prevailing wage rates. 8. All material test results will be provided in accordance with the applicable Standard Specifications and Special Provisions, and test methods. Failing tests will be immediately reported to the Resident Engineer or Structures Representative. All test results will be recorded on the appropriate forms. The test documents will be legible and show the identity of the tester where appropriate. A notebook containing all results will be kept. 9. Unless otherwise specified in the survey request, the deliverables shall conform to the following: a. Survey points, lines, and monuments shall be established, marked, identified, and referenced as required by survey request and requirements herein. • 123 " b . S u r v e y n o t e s , d r a w i n g s , c a l c u l a t i o n s , a n d o t h e r s u r v e y d o c u m e n t s a n d i n f o r m a t i o n s h a l l b e c o m p l e t e d a s r e q u i r e d b y t h e s u r v e y r e q u e s t a n d t h e r e q u i r e m e n t s h e r e i n . c . A l l o r i g i n a l s u r v e y d o c u m e n t s r e s u l t i n g f r o m t h i s c o n t r a c t , i n c l u d i n g o r i g i n a l f i e l d n o t e s , a d j u s t m e n t c a l c u l a t i o n s , f i n a l r e s u l t s , a n d a p p r o p r i a t e i n t e r m e d i a t e d o c u m e n t s , s h a l l b e d e l i v e r e d t o t h e R e s i d e n t E n g i n e e r a n d s h a l l b e c o m e t h e p r o p e r t y o f C O M M I S S I O N . A c o p y o f a l l s u r v e y d o c u m e n t s f u r n i s h e d b y C O M M I S S I O N s h a l l b e r e t a i n e d b y O F F E R O R f o r f u t u r e r e f e r e n c e . W h e n t h e s u r v e y i s p e r f o r m e d w i t h a t o t a l s t a t i o n s u r v e y s y s t e m , t h e o r i g i n a l f i e l d n o t e s s h a l l b e a h a r d c o p y i n a r e a d a b l e f o r m a t o f t h e d a t a ( o b s e r v a t i o n s ) a s o r i g i n a l l y c o l l e c t e d a n d s u b m i t t e d b y t h e s u r v e y p a r t y . T h e h a r d c o p y s h a l l b e s i g n e d b y t h e P a r t y C h i e f . I f t h e P a r t y C h i e f i s n o t l i c e n s e d , t h e p e r s o n i n " r e s p o n s i b l e c h a r g e " w i l l b e r e q u i r e d t o s i g n . d . D e l i v e r a b l e s t o t h e R e s i d e n t E n g i n e e r s h a l l f o l l o w t h e f o r m a t s p e c i f i e d b e l o w : " H o r i z o n t a l C o n t r o l " A l p h a n u m e r i c h a r d c o p y p o i n t l i s t i n g w i t h a d j u s t e d C a l i f o r n i a C o o r d i n a t e S y s t e m n o r t h i n g a n d e a s t i n g s a n d t h e a p p r o p r i a t e d e s c r i p t i o n s . " V e r t i c a l C o n t r o l " A l p h a n u m e r i c h a r d c o p y b e n c h m a r k l i s t i n g w i t h a d j u s t e d e l e v a t i o n s c o m p a t i b l e w i t h t h e d e s i g n d a t u m . " T o p o g r a p h y " A l p h a n u m e r i c h a r d c o p y l i s t i n g , h a r d c o p y d r a w i n g , a n d c o m p u t e r a i d e d d r a w i n g a n d d e s i g n ( C A D D ) d i g i t a l d r a w i n g . T h e C A D D d r a w i n g s h a l l b e c o m p a t i b l e w i t h t h e s y s t e m s u t i l i z e d b y C a l t r a n s . D a t a c o l l e c t i o n m e t h o d u s e d t o c o l l e c t c r o s s - s e c t i o n d a t a a n d t h e c o d i n g ( f e a t u r e d e s c r i p t i o n ) o f t e r r a i n d a t a f o r c r o s s - s e c t i o n s s h a l l c o n f o r m t o t h e s u r v e y r e q u e s t r e q u i r e m e n t s . D e l i v e r a b l e s s h a l l d e p e n d o n t h e d a t a c o l l e c t i o n m e t h o d a s f o l l o w s : " C o n v e n t i o n a l C r o s s S e c t i o n s ( e a c h c r o s s s e c t i o n ) : F o r e a c h c r o s s - s e c t i o n a n d a l p h a n u m e r i c l i s t i n g , a h a r d c o p y d r a w i n g , a n d a c o m p u t e r f o r m a t t e d f i l e c o m p a t i b l e w i t h t h e s y s t e m s u t i l i z e d b y C a l t r a n s . " T e r r a i n L i n e I n t e r p o l a t i o n C r o s s S e c t i o n D a t a ( e a c h t e r r a i n l i n e i n t e r p o l a t i o n s u r v e y ) : T e r r a i n l i n e i n t e r p o l a t i o n c r o s s s e c t i o n s s h a l l i n c l u d e a n a l p h a n u m e r i c l i s t i n g , a h a r d c o p y p l a n v i e w d r a w i n g o f t h e t e r r a i n l i n e s , a n d 1 2 4 a computer input file. The computer .input file shall be provided in a format compatible with the systems utilized by Ca[trans. e. Data Collector Data If specified in the survey request, the raw data from the data collector shall be provided in a format conforming to the survey request requirements f. Other As specified in the survey request. Equipment and Materials to be provided by Offeror 1. OFFEROR will provide office space, telephones, desks, chairs, computers, and appropriate office equipment. One (1) office with a desk, chair, telephone, and computer will be reserved for the COMMISSION. 2. OFFEROR shall provide all necessary equipment including software, materials, supplies, miscellaneous tools, and safety equipment required for its personnel to perform the services accurately, efficiently, and safely. Only those items listed in Attachment B, OFFEROR Cost Proposal, shall be reimbursed by COMMISSION. 2. OFFEROR personnel shall be provided with vehicles suitable for the location and nature of the work involved. Vehicles shall be equipped with flashing yellow lights, either permanently or temporarily affixed. 3. OFFEROR personnel shall be provided with a mobile radio, cellular phone, or other means to assure full-time communication. If a radio system is to be used, OFFEROR shall provide a base station at the field office. 4. OFFEROR personnel shall be provided, with all applicable standard plans, specifications, and other standards as appropriate (see item G below). 5. For Materials Testing, OFFEROR and its staff will be fully equipped at all times to perform the services required, including but not limited to the following: a. An on -site mobile laboratory or laboratory in close proximity to the project will be required. The type and location of the lab should be such that it can meet the needs of the project in an efficient, time effective manner. The laboratory is to be fully staffed, equipped, and supplied to conduct all required soils, materials, and concrete breaking tests in a timely manner. • • 125 " b . O F F E R O R ' s p e r s o n n e l w i l l b e p r o v i d e d w i t h r a d i o s , m o b i l e p h o n e s , o r o t h e r m e a n s t o a s s u r e f u l l - t i m e c o m m u n i c a t i o n . O F F E R O R v e h i c l e s w i l l h a v e f l a s h i n g l i g h t s , v i s i b l e f r o m t h e r e a r , w i t h a d r i v e r c o n t r o l s w i t c h . V a n s w i t h o u t s i d e w i n d o w s w i l l n o t b e u s e d . C O M M I S S I O N f u r n i s h e d m a g n e t i c l o g o s w i l l b e a f f i x e d t o e a c h s i d e o f t h e v e h i c l e a t a l l t i m e s t h e v e h i c l e i s b e i n g u s e d f o r t h e w o r k u n d e r t h i s c o n t r a c t . E a c h v e h i c l e i s t o b e f u l l y c o n t a i n e d w i t h a l l n e c e s s a r y e q u i p m e n t a n d s u p p l i e s n e c e s s a r y t o p e r f o r m t h e f i e l d s a m p l i n g a n d t e s t s r e q u i r e d . c . F i e l d p e r s o n n e l w i l l b e p r o v i d e d w i t h a l l n e c e s s a r y s a f e t y e q u i p m e n t t o p e r m i t w o r k t o b e p e r f o r m e d s a f e l y a n d e f f i c i e n t l y w i t h i n o p e r a t i n g h i g h w a y a n d c o n s t r u c t i o n z o n e e n v i r o n m e n t s . d . A l l e q u i p m e n t t o b e c a l i b r a t e d a s p e r S e c t i o n 3 - 1 0 a n d 3 - 1 1 o f C a l t r a n s ' Q u a l i t y A s s u r a n c e P r o g r a m M a n u a l . 6 . F o r c o n s t r u c t i o n s u r v e y i n g , O F F E R O R a n d s t a f f s h a l l h a v e a d e q u a t e e q u i p m e n t a n d s u p p l i e s t o c o m p l e t e t h e r e q u i r e d s u r v e y w o r k . E q u i p m e n t a n d s u p p l i e s s h a l l , i n c l u d e , b u t n o t b e l i m i t e d t o : a . S u r v e y v e h i c l e s S u r v e y v e h i c l e s w i l l b e s u i t a b l e t o p e r f o r m t h e r e q u i r e d w o r k i n v a r y i n g t e r r a i n a n d c o n d i t i o n s e n c o u n t e r e d o n t h e p r o j e c t . V e h i c l e s s h a l l b e f u l l y e q u i p p e d w i t h a l l n e c e s s a r y t o o l s , i n s t r u m e n t s , s u p p l i e s , a n d s a f e t y e q u i p m e n t r e q u i r e d t o p e r f o r m t h e w o r k a c c u r a t e l y , e f f i c i e n t l y , a n d s a f e l y . V e h i c l e s s h a l l b e e q u i p p e d w i t h a f l a s h i n g y e l l o w b e a c o n l i g h t . b . D a t a P r o c e s s i n g S y s t e m s D a t a p r o c e s s i n g s y s t e m s s h a l l i n c l u d e h a r d w a r e a n d s o f t w a r e t o : " P e r f o r m i n g s u r v e y a n d s t a k i n g c a l c u l a t i o n s f r o m t h e d e s i g n p l a n s a n d s p e c i f i c a t i o n s ; " R e d u c e s u r v e y d a t a c o l l e c t e d w i t h c o n v e n t i o n a l a n d t o t a l s t a t i o n s u r v e y s y s t e m s ; " P e r f o r m n e t w o r k a d j u s t m e n t s f o r h o r i z o n t a l a n d v e r t i c a l c o n t r o l s u r v e y s ; " F o r m a t s u r v e y d a t a t o b e c o m p a t i b l e w i t h t h e C a l t r a n s c o m p u t e r s u r v e y a n d d a t a s y s t e m . c . D r a f t i n g e q u i p m e n t a n d s u p p l i e s . d . D i g i t a l c a l c u l a t o r s . e . H a n d t o o l s a s a p p r o p r i a t e f o r t h e r e q u e s t e d s u r v e y w o r k . 1 2 6 f. Traffic cones (minimum 25). Traffic cones shall be 28 inches in height (minimum). g. Traffic control devices as required to perform the requested_ survey work. Traffic control devices include signs, sign bases, flags, and hand held signs. h. Leveling instruments and equipment: • Self -leveling level. Precision: standard deviation in one mile of double run leveling 0.005 feet or less. • Suitable level rods for the work to be performed. i. Distance measuring instruments and equipment: • Electronic distance measurer (EDM). Precision: standard deviation 3 mm plus 3 PPM, or less; Range: Minimum one mile under average atmospheric conditions. • Prisms, sufficient to perform the required work. • Tapes; steel, cloth. Angle measuring instruments and equipment: • Theodolite for non -control surveys; Precision: direct circle reading to three seconds, or equivalent, horizontal and vertical. • Targets as required to perform the work. k. VVhen required for efficient survey operations, total station survey systems consisting of an electronic angle measuring instrument, EDM, and electronic data collector shall be provided. The angle measuring instruments and EDM shall conform to the requirements for the equipment previously listed. I. Radio or cellular communications equipment for communication between field office and field crews. Caltrans manuals, standards, forms, and other policies and procedures to be followed to perform the required work. Materials to be Furnished by Commission 1. COMMISSION will provide copies of all Project construction documents including plans, special provisions, reports, designer prepared resident engineer files, and contracts. 2. COMMISSION will provide copies of all previously secured permits and Project authorizations. • 127 i 3. Appropriate forms for recording test data in accordance with Caltrans practices and procedures outlined in the "Manual of Test". 4. Magnetic COMMISSION logos to be affixed to OFFEROR vehicles. Standards All construction inspection, surveys, materials sampling and testing, and contract administration shall be in accordance with the Project bid documents, special provisions, plans, and current Caltrans Manuals including: 1. Construction Manual and its revisions 2. Bridge Construction Records and Procedures Manual 3. Quality Assurance Program Manual 4. Manual of Traffic Controls for Construction and Maintenance Work Zones 5. Caltrans Standard Specifications and Standard Plans 6. Caltrans Storm Water Pollution Prevention Plan (SWPPP) and Water Pollution Control Program (WPCP) Preparation Manual 7. Manual of Test (3 volumes) 8. Survey Manual 9. District 8 Standard Staking Procedures Manual Work not covered by the manuals shall be performed in accordance with accepted professional standards. Surveys performed by OFFEROR shall conform to the requirements of the Land Surveyor's Act. In accordance with the Land Surveyor's Act, "responsible charge" for the work shall reside with the Licensed Land Surveyor or a pre -January 1, 1982, Registered Professional Civil Engineer in the State of California. Unless otherwise specified in the survey request, control surveys shall conform to second order (modified) accuracy standards as specified in the Caltrans "Survey Manual". Additional standards for specific survey work may be included in the applicable request for survey. Such standards supplement the standards specified herein. If 128 " " o r f r o m t h e C o n t r a c t o r t o p e r f o r m s e r v i c e s o r w o r k o u t s i d e t h e t e r m s o f a n y e x e c u t e d c o n t r a c t s f o r t h i s P r o j e c t . T h i r d P a r t y R e l a t i o n s h i p s T h i s C o n t r a c t i s i n t e n d e d t o p r o v i d e u n i q u e s e r v i c e s f o r a s p e c i f i c p r o j e c t . I n t h e d e v e l o p m e n t o f t h e P r o j e c t , C O M M I S S I O N h a s w o r k e d c l o s e l y w i t h v a r i o u s p r o f e s s i o n a l O f f e r o r s , a g e n c i e s , a n d o t h e r s i n t h e p r e p a r a t i o n o f t h e c o n s t r u c t i o n d o c u m e n t s a n d o t h e r P r o j e c t r e l a t e d m a t e r i a l s . C O M M I S S I O N , h o w e v e r , i s s o l e l y r e s p o n s i b l e f o r a n d w i l l b e t h e s o l e p o i n t o f c o n t a c t f o r a l l c o n t r a c t u a l m a t t e r s r e l a t e d t o t h e P r o j e c t . O F F E R O R s h a l l t a k e d i r e c t i o n o n l y f r o m C O M M I S S I O N a n d s h a l l r e g u l a r l y i n f o r m o n l y C O M M I S S I O N o f P r o j e c t p r o g r e s s , o u t s t a n d i n g i s s u e s , a n d a l l P r o j e c t r e l a t e d m a t t e r s . D u r i n g t h e c o u r s e o f t h e P r o j e c t , O F F E R O R m a y f i n d o c c a s i o n t o m e e t w i t h C i t y o r C o u n t y r e p r e s e n t a t i v e s , t h e d e s i g n e n g i n e e r , P r o j e c t O f f e r o r s , o r o t h e r t h i r d p a r t i e s w h o h a v e a s s i s t e d w i t h t h e P r o j e c t . T h e s e e n t i t i e s m a y , f r o m t i m e t o t i m e , o f f e r s u g g e s t i o n s a n d / o r r e c o m m e n d a t i o n s r e g a r d i n g t h e P r o j e c t o r e l e m e n t s o f t h e P r o j e c t . W h i l e C O M M I S S I O N e n j o y s a c l o s e r e l a t i o n s h i p w i t h a n d h a s c o n s i d e r a b l e c o n f i d e n c e i n t h e c a p a b i l i t i e s o f t h e s e o t h e r p a r t i e s , O F F E R O R s h a l l n o t a c t o n a n y s u g g e s t i o n s , s o l i c i t e d o r u n s o l i c i t e d , w i t h o u t o b t a i n i n g s p e c i f i c d i r e c t i o n f r o m C O M M I S S I O N . A l l o r a l a n d w r i t t e n c o m m u n i c a t i o n w i t h o u t s i d e a g e n c i e s o r O f f e r o r s r e l a t e d t o t h e p r o j e c t s h a l l b e d i r e c t e d o n l y t o C O M M I S S I O N . D i s t r i b u t i o n o f P r o j e c t r e l a t e d c o m m u n i c a t i o n a n d i n f o r m a t i o n s h a l l b e a t t h e s o l e d i s c r e t i o n o f C O M M I S S I O N r e p r e s e n t a t i v e s . C o n s t r u c t i o n S i t e S a f e t y I n a d d i t i o n t o t h e r e q u i r e m e n t s s p e c i f i e d e l s e w h e r e i n t h i s c o n t r a c t , t h e f o l l o w i n g a l s o w i l l a p p l y . 1 . O F F E R O R w i l l c o n f o r m t o t h e s a f e t y p r o v i s i o n s o f t h e C a ! t r a n s C o n s t r u c t i o n M a n u a l . 2 . O F F E R O R ' s f i e l d p e r s o n n e l w i l l w e a r w h i t e h a r d h a t s w i t h p r o p e r s u s p e n s i o n , o r a n g e v e s t s w i t h r e f l e c t i v e t a p e , s l e e v e d s h i r t , l o n g p a n t s , a n d l e a t h e r b o o t s w i t h a n k l e s u p p o r t a n d r u b b e r s o l e d s h o e s a t a l l t i m e s w h i l e w o r k i n g i n t h e f i e l d . 3 . O F F E R O R w i l l p r o v i d e a p p r o p r i a t e s a f e t y t r a i n i n g f o r a l l O F F E R O R ' s p e r s o n n e l . 4 . A l l s a f e t y e q u i p m e n t w i l l b e p r o v i d e d b y O F F E R O R . B a s i s f o r S u r v e y a n d M o n u m e n t S t a k i n g 1 3 0 COMMISSION will designate the existing horizontal and vertical control monuments that are the basis of OFFEROR performed surveys. COMMISSION will provide the California Coordinate System values and/or elevation values for these monuments. OFFEROR shall adjust OFFEROR performed surveys to be the designated control monuments and the values. Monuments established by OFFEROR shall be marked by OFFEROR with furnished disks, plugs, tags. In addition, OFFEROR shall identify OFFEROR established monuments by tagging or stamping the monuments with the license or registration number of OFFEROR'S surveyor who is in "responsible charge" of the work. Personnel Qualifications and Responsibilities The quantity and qualifications of field personnel to be assigned will be determined by the scope of the Project and the degree of difficulty of required tasks to be performed. All personnel and personnel assignments shall be subject to approval by COMMISSION. • • 131 " " R C T C R I V - 2 1 5 W i d e n i n g P r o j e c t S o u t h s t a r E n g i n e e r i n g & C o n s u l t i n g I n c . T a s k s w i l l b e p e r f o r m e d b y C o m b i n a t i o n o f s t a f f i n g D o e s n o t i n c l u d e O v e r t i m e M o n t h l y C o s t C h a r t R e s o u r c e s p e r S c h e d u l e 1 9 - M o n t h s C o n t r a c t o r S c h e d u l e P r i m a r y f i e l d s t a f f u s a g e i n R e d P r e c o n s b u c t i o n B i d d i n g P r o c e s s S t a g e 1 s t a g e 2 P r e m n a i r o c 8 w l P e r s o n n e l P r i m a r y R o l e L o a d e d N a t e J u l - 1 0 A u g - 1 0 S e p - 1 0 0 4 1 . 1 0 . N o v . 1 0 " . D e e - 1 0 J a o - i l F e b - 1 1 M a r - 1 1 , A p r - 1 1 . - M a y - 1 1 J u n - 1 1 : " ' " J u H t ( w g l l S e y l l O c t - 1 1 N o v - 1 1 " D e c - I l J a n - 1 2 . B r y c e J o h n s t o n , P E R E / P M 5 1 9 7 , 0 0 S 1 5 2 6 0 . 0 0 S 6 , 3 9 1 0 0 5 3 , 9 4 0 . 0 0 5 7 , 1 3 8 0 . 0 0 5 7 . 8 8 0 . 0 0 5 7 , 8 5 0 . 0 0 A m r A h u a l h a s s a n , P E O f f i c e 5 1 8 5 . 0 0 $ 1 0 , 8 0 0 . 0 0 $ 5 , 9 2 0 . 0 0 $ 3 , 7 0 0 . 0 0 5 3 . 7 0 0 . 0 0 5 7 2 0 0 5 0 5 7 , 4 0 0 . 0 0 J o s e C o r o n a , P E S u o c l u r e s L e a d S 1 8 5 m S - S - $ - 5 1 0 5 0 . 0 0 5 - 5 2 , 9 6 0 . 0 0 D a n i e l C l a c c e l a , P E O C O A 5 1 9 7 . 0 0 $ - $ - $ - S - S 3 , 9 4 0 . 0 0 5 3 . 9 4 0 . 0 0 S t a g e 1 F i e l d I n s p e e l a r i a n d O f f i c e " " 8 0 / 0 0 J c r o s t p n , P E R U M 5 1 9 7 0 0 5 2 7 . 5 8 0 . 0 0 S 2 7 , 5 5 0 . 0 0 $ 2 7 , 5 8 0 . 0 0 N M N a u N N s s a n , P E O H C e $ 1 e 5 . 0 0 $ 2 8 . 1 2 0 . 0 0 $ 2 8 , 1 2 0 m S 2 9 , 6 0 0 . 5 0 J o s e C o r o n a . P E S t n x ' A x e s L e a d $ 1 8 5 . 0 0 Y - 5 - S 2 4 0 0 . 0 0 N i c k T u r n e r F i e l d R e a d w i l Y $ 1 2 6 . 0 2 $ - 5 1 9 , 2 1 5 . 8 8 $ 2 0 2 2 2 . 2 4 $ S S R a y T o r t e s F I M d R o a l e I N S I k c [ r i c a l S 1 1 9 . 7 S $ - 1 6 . 2 0 2 6 5 $ 1 9 , 5 1 5 . 5 1 T o m m y R e e s e T M I I i d S a l e l y l S W P P P 3 S - 5 I B 2 0 2 6 5 $ 1 6 0 . 6 9 $ 1 8 , 0 5 7 . 1 8 M a e B m a d w e l e r , C P E S C S W P P O C O A l e a d S 2 0 1 2 3 S - 5 - $ 8 , 7 6 8 . 0 0 D a n i e l C n e M B O a P E O C O A S 1 9 7 3 0 1 9 7 . 0 0 3 7 8 0 . 0 0 5 7 8 0 . 0 0 Y ] B 4 W 5 1 5 0 e 2 F e l d I n s p e c t i o n a n d O t E m e . . ' . - . ` . r , . _ _ " " . _ . . . B r y c e J o h n s t o n . P E R E / P M $ 1 9 7 0 0 $ 2 7 5 6 0 . 0 0 $ 2 7 0 8 0 . 0 0 $ 2 2 . 5 8 0 . 0 0 S 2 7 . 5 5 0 . 0 0 $ 2 7 , 5 8 0 . 0 0 $ 2 7 , 5 8 0 . 0 0 $ 2 7 . 5 8 0 . 0 1 3 $ 2 2 5 8 0 . 0 0 $ 2 7 5 8 0 . 0 0 $ 2 7 , 5 8 0 . 0 0 5 2 9 0 0 8 0 0 N M N M A d r e P a s s a n , P E O I � c e $ 1 8 5 . 0 0 s 2 9 , 6 0 0 . 0 0 $ 2 9 . 6 0 0 A 0 S 2 9 , 5 0 0 0 0 5 2 9 , 6 0 0 . 0 0 E 2 9 . 6 0 0 . 0 0 S 2 9 , 8 0 0 . 0 0 S 2 9 , 0 0 0 . 0 0 S 2 8 , 1 2 0 0 0 $ 2 6 . 1 2 0 . 0 0 N i c k T u r n e r F i e l d R o a d w a y $ 1 2 6 . 4 2 $ 2 1 2 3 8 . 8 0 $ 2 0 , 2 2 7 2 4 $ 2 0 , 2 2 7 2 4 3 2 0 . 2 2 7 . 2 4 $ 2 0 . 2 2 7 2 4 5 2 0 , 2 2 2 2 4 S 2 0 2 2 7 2 4 $ 1 9 , 2 1 5 A 8 5 1 9 , 2 1 5 , 9 8 S 2 1 2 5 1 _ 5 5 i 2 1 2 3 8 . 6 0 5 2 3 . 4 8 8 3 6 S a m A 4 l e n M e l d R o a d w a y 5 1 3 9 1 5 1 S 2 3 . 4 8 8 . 5 6 S 2 2 , 3 7 0 . 0 5 E 2 2 , 3 7 0 . 5 5 3 2 2 , 3 7 0 . 0 6 E 2 2 2 7 0 . 0 5 S 2 2 . 3 7 0 . 0 5 5 3 2 2 , 3 7 0 . 0 5 $ 2 1 , 2 5 1 . 5 5 R a y T O a e b F i e l d 1 9 0 8 d w e y / E 1 3 C M C I I S 1 5 1 . 9 7 5 2 0 , 4 9 1 . 2 9 5 1 9 , 6 1 6 . 6 1 i 1 9 , 6 1 6 5 1 5 1 9 , 6 1 6 - 6 1 3 1 9 , 5 1 5 5 1 S 1 9 , 5 1 5 . 5 1 $ 1 9 , 5 1 6 . 5 1 $ 1 8 0 3 9 . 7 4 E 1 5 5 3 9 . 7 4 $ 2 0 , 4 9 1 2 9 T o m m y R e e s e T r e l f i d S a f e l i 9 $ W P P P S 1 1 9 . 7 5 5 2 o , w a . 7 2 s / 2 , 1 6 0 . 6 9 $ 1 6 , 1 6 0 . 6 9 3 1 2 , 1 6 0 5 9 $ 1 9 . 1 6 0 . 6 9 $ 1 9 , 1 6 0 - 6 9 S 1 9 . 1 6 0 6 9 $ 1 6 2 0 2 5 5 S 1 8 , 2 0 2 - 6 5 S 2 0 , 1 1 8 2 2 M N B B r o a O x a k L C P E S C S W P P P L e a d 5 2 0 1 2 3 S 2 0 1 2 1 5 5 2 , 4 1 7 . 1 5 $ 2 , 4 1 7 . 1 5 $ 2 , 4 1 7 . 1 5 $ 2 4 1 7 . 1 5 $ 2 , 4 1 7 . 1 5 5 2 , 4 1 7 . 1 5 S 2 4 1 7 . 1 5 5 2 , 4 1 7 - 1 5 $ 2 , 4 1 7 . 1 5 D a n i e l C a o c t e l e . P E O C O A S 1 9 7 . 0 0 $ 7 6 0 . 0 0 i 7 8 6 . 0 0 E 7 8 6 . 0 0 5 7 8 6 . 0 0 $ 7 6 1 1 0 0 $ 7 5 8 . 0 0 S 7 8 8 . 0 0 $ 7 5 8 . 0 0 S 7 8 8 m S 2 8 8 m S t a g e 2 K a n e � W i d o n 0 1 9 ' " " " . . . . . . . : _ . ' " 1 5 3 0 0 . . - . . , . : . r . e . F . t e n r - : : - . . �� ' ��: : - . . - . . �� e , i . - s . ��. . C d ' 1 . - . ? . _ _ " t ' - - ' i I D . , - , . . . . , 0 . , �� . . 0 s " . - . J o s e C o r o n a S b u C l u r e s L e a d 5 $ 1 4 6 0 . 0 0 5 7 4 0 A 0 $ 7 4 0 A o 5 7 4 0 . 0 0 " " 5 7 4 0 . 0 0 : " S 2 2 2 8 7 5 2 2 2 5 7 $ 7 4 0 4 0 0 0 S 7 4 U S U 3 s - M o o P E T e c h n i c a l A d v i s o r g $ 4 0 2 3 5 9 5 3 2 2 2 < 7 $ 5 3 2 2 2 J n $ 3 2 2 i 8 ] S 2 , 6 8 6 . 9 0 5 3 , 2 2 2 6 7 5 $ Z A 1 7 . 6 9 4 1 7 . 1 5 $ Z A I 3 . 8 9 $ - w A r m F r a n c o , N a D A m 1 n S w c i u r e s I n s p e c t i o n 6 4 . 2 1 5 1 6 4 . 2 1 $ - $ Z ] $ 8 8 . 8 0 7 , 2 2 2 8 7 $ 2 1 , 5 0 6 . 9 0 E 2 7 , 5 8 8 . 8 0 $ 3 7 5 8 6 3 0 $ 2 7 , 6 8 6 . 8 0 $ 2 2 , 5 1 0 . W 5 , 7 6 3 , 8 9 S 1 5 , ] 6 3 3 9 5 1 5 , 7 6 3 5 9 $ 1 5 , 7 6 a . 5 9 S - S a 9 e i f i e M A a p w " 4 r o r l f r " ' " . " - . . . ' : . . : , : : . . _ . : . : . : : " r , : > : : > r n . . : 3 > . : . . . . . . > . . _ y _ , . ' _ c . . . . . . . . . . . . , . . - . - . . . . . , _ . - . . . . r . - . . . . . B r y c e J o h n s t o n , P E R E / P M $ [ 9 ] 0 0 A m r N v e M a s s a n . P E O f f i c e $ 1 8 5 . 0 0 N i c k T u m e r F i 6 4 0 R o a d w a y $ 1 2 6 4 2 S a n M U M n e w R o a d w a y $ 1 3 9 . 8 1 R a y T o r t e s F a l l R o a d w a y / M o r t a l S 1 2 1 5 1 7 T a r r y R e e s e T M I f M J S a l e t y l S W P P P $ 1 1 9 2 5 S a k e B r o a d w a t e r , C P E S C S W P P P L e a d S 2 0 4 9 7 D a l i e a C l e c c e t l e . P E O C O A 5 1 9 7 . 0 0 n . . . r Y 3 4 , , , Z . 6 1 0 1 , F r ^ s 1 . . . : k 7 . > - . _ : . . < t n . 9 E : - . ` , c Y . . d S O g , : k 2 c . w . ' d l ^ % ' . . - . _ . . . . . a s . : : i l h r , > - r l ` . : o : ; S - < J . " . - , . , - . B r y c e J o h n s t o n . P E R E / P M 5 1 9 7 - 0 6 " A m t A g r e l h a s s a n , P E 0 1 1 i c e $ I 1 3 5 A 0 J o s e C o r w R , P E S a u c M e _ s C M s e o u l $ 1 8 5 0 0 D a n i e l l C i a c c h e l l e . P E O C O A S 1 9 7 0 0 t l 9 M e t e r i a l a T e 6 U b 5 g a g e s - . . . , . . . , . _ . . ; . _ . : . _ " . : . , . - _ x i r , x " } . 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C I A M a n . 1 3 5 6 3 $ - $ 2 , ] I S S ] 5 - $ - 5 - S - - 5 5 4 3 3 1 3 5 4 3 3 1 $ - $ - $ 5 4 3 5 1 5 5 0 . 1 A 1 $ 5 4 3 . 9 1 R o b R y a n T e c h n i c T e c h n i c a l A d v i s o r $ 5 $ - 5 - 3 - - 5 - E 2 A 8 3 . 0 8 5 - E - $ E - S - 3 - S - $ - S - 5 e n d s S t e i n T e c h n c M $ 1 4 1 4 4 1 4 1 . 1 4 $ - $ - i - $ - i - $ i - 5 - $ - $ - $ - $ - 5 - S - M M u s P r o j e c t M a n a 9 8 r n a g e r 1 1 0 _ 1 1 $ 0 8 3 . 2 0 $ 9 6 6 2 9 5 - 5 " - S % 6 . 2 9 S - $ 8 0 9 . 0 4 $ 8 0 9 5 9 S - S - 5 - S 8 0 9 . 0 4 5 8 6 6 a 9 $ 8 6 6 5 9 K e n n t h M 9 5 K e n n e t h M a n t e M F i e l d T e c h n i c i a n $ 1 f 0 1 1 f - S - 3 4 , 4 0 4 . 5 2 1 1 3 1 1 . 2 2 S 1 1 3 7 1 2 2 $ 8 3 7 1 2 2 S B B W - 0 4 $ 6 . 3 7 1 . 2 2 $ E 8 3 7 1 . 2 2 5 $ $ 6 , 8 0 9 . 0 4 L e o n a r d o B a n a M a r e F I O M T e c l m i , y a n $ 1 0 2 . 3 2 $ $ - i - 5 , 1 6 5 6 1 $ 8 , 1 6 5 6 1 5 9 . 1 8 5 5 1 $ $ 1 6 , 3 7 1 - 2 2 $ S 1 6 , 3 7 1 2 2 5 1 6 . 3 7 1 2 2 5 ? 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" y F i ' . . ^ 2 s ; - : , c . : F " $ t : d 5 9 , : . , t y : : t Y - . - . . * . . . . : : Y - " , ; z " , t - , > . ; _ i , . : ; , . $ 3 0 . 5 6 0 . 0 0 $ 1 4 , 9 4 3 . 8 7 $ 1 0 , 3 5 9 . 8 7 $ 2 4 , 0 1 2 - 2 7 $ 2 2 , 3 4 5 . 9 5 $ 2 6 , 3 3 1 . 0 5 $ 6 8 , 1 1 3 . 9 3 $ 1 5 5 , 9 6 8 . 3 9 1 6 0 , 6 0 5 . 4 5 $ 2 6 9 , 9 2 3 . 1 3 $ 2 5 7 , 6 2 1 . 5 1 $ 2 1 2 , 1 3 2 . 0 2 $ 2 1 2 , 6 7 5 . 3 3 $ 2 5 5 , 7 5 1 . 7 5 " $ 2 5 5 , 2 0 8 . 4 4 $ 1 9 8 , 5 3 6 . 9 9 $ 2 3 7 , 7 2 7 . 2 8 S 2 1 9 , 6 8 1 . 2 5 $ 2 1 1 , 1 8 6 . 1 2 $ 7 9 , 8 7 6 . 0 2 $ 4 8 , 6 7 7 . 0 1 S 3 8 4 , 6 8 7 . 7 7 $ RCTC RIV-215 Widening Project Southstar Engineering & Consulting Inc. Tasks will be performed by combination of staffing Does not include Overtime Primary field staff usage in Red Preoonstruotion Personnel Bryce Johnston. PE Amr Abuelhassan, PE Jose Corona, PE Daniel Ciaccnella, PE Slane 1 F1eW Inspec on and Office Bryce Johnston. PE 4mr Almelhassan. PE Jose Corona. PE Nick Turner Ray Tones Tommy Reese Mike Breadwaler, GPEBCi Daniel Claccnella, PE Stage 2 Field Inspection and Office Bryce Johnston. PE Amr Abuethassan, PE Hick Tumor Sam A®no Ray Tones Tommy Reese Mike Broadwaler. CPESC Daniel Ciaochela. PE a Corona Doug Franco, PE Neill Aso Bryce Johnston, PE Amr AbueNassan. PE Nick Tuner Sam Albino Ray Torres Tammy Reese M9ne Broatlwater• CPE.% DaMMa CacchelM, PE Prefect Close Out::,. Bryce Johnston PE Amr Abuelassxn, PE Jose Cana. PE Danielaffiatc ela, PE Mateda sT Chris Gerber Pall SWls Rick Howland ROD Ryan Boris Sinn Lines Valais Kenneth Mancebo Leonardo SantaMada 50rYeya all Stagea/ lit Simernal Union Union Union Unim Public Oimeadl altSlages Cheryl Donahue Elsa Angmhanh Melissa Holguin Materials Testing perCoa'Test r• Stage Posl Construction Totals per StaN Primary Role Loaded Hate - Pob12 Mar-12 Apr-12 • May-12 " Jun-12 - Ju142 Aug-12 Sep-12 Oct-12 Nev-12 1 Firm Totals By Firm .l, RE/PM $ 197.00 $ 49.644.00 Sau061er $ 1.917.485.53 Office $ 16500 E 42,920.00 Soullstar Shoctures Lead S 183.00 E 4,810.00 EwNstar OCDA 8 197.007. $ J,880.00 SOut16[ar $ $ - _ RE/PM $ 197.00 $ 82.74000 SoulDslar Office $ 185.00 $ e0.00 Souhstar Structures Lead S 185.00 7.400.00 3oulnsW Field Roadway S 126.42 $ 39.443.12 HDR CCC 5 600,505%I Fs:W Roadway/Electrical EndcN 5 1'2197 $ 37,363.34 Southslar Traffic/Safety/SWPPP S $ 38,057.18 SWPPP Leatl Lead S '!OL33 01.-13 $ ValiGa! Va9thslar $ 296,83&m OCOA 5 Im.W 2,354.00 $ 2,364.00 SgMlslar RE/PM $ 197.00 5 27,580.00 5 27,580.00 $ 330,960.00 Sau9utar Office S 185.0D S 28.12000 S 18,500.00 5 339.66000 Sou86ar Field Roadway $ 126.42 $ 19,215.88 5 12,642.02 $ 234,130.30 HDR CCC Field Roadway $ 139.81 $ 21251.55 5 - $ 244952.09 HDR CCC FEW Roadway/Electrical S 121.97 $ 18.539.74 5 - $ 213,694.87 Sau86Mr TratlhJSalely/SWPPP S 110.75 S 18.20265 5 19.16009 E 228.970.20 Sou116tar SWPPP Lead 5 N1.43 3 2,417.15 $ 2,417.15 3 29,005.86 Vol Cooper OCOA S 197.00 E 7138.00 S 768.00 E 9,456.60 SouMsfar $ 3 f - � , - _ Structures Lead S t85.00 i - 3 I400.00 $ 9.62000 $Oulhehf Technical Advisor S 201L1.1 5 - 5 3,222.87 3 33.840.17 Val Copper Sinwlunas Inspection $ 164.21 3 - S 1284.14 $ 216,096.61 Vas Cooper _. .. .. •.. • .. . RE/PM S 197.00 5 31,52000 S nse040 S 27,580.00 $ '2164000 5,,.. $ i i $ 110.32000 SoutlSlar Office $ 185.00 $ 29600.00 $ 25,900.00 $ 25,900.00 $ 22,200A0 $ - S - $ - $ - $ 1031330 Southstar Sousrer Field Roadway $ 126.42 $ 20,22724 S 2022724 $ 20,22721 $-10,11162 3 - 3 - $ - 5 - $ 70.795.34 HDR CCC Fcefd RoedweY $ 139.81 S 11,185.03 $ - 3 - S -•E - 5 - $ - $ - $ 11.185.03 HDR CCC Reid Roadway/Electrical 5 121.97 5 21,954.95 $ 21,954.95 f-12,19720 $ 2,434N 5 19.61551 5 9,757.76 L - $ - $ 87,819.81 Soutnstar TI88r/Safely/SWPPP 5 119.75 3 21,555.77 3 2,395A9 3 2,395.09 $ 2,395.09 $ 19,160.69 $ 9540 54 S - S - S 57.482.06 Sootnetar SWPPP Lad S 20.97 $ • 3,27909 3 3,279.59 $ 1,639.60 $ - • 1,539.80 3 $ - $ - $ - 3 9,838.78 Val Cooper OCOA S 197.00 $ 788.00 $ 708.00 $ 788.00 $ ' 788110 S - 5 8 - S - $ 115200 Southstar y i $ S _ �:.�. •: t.:.ti: � � 1 Y' Y:1,..-4.:' r --„ a , .ry x. "...ante 3,K. � .':=Pwr Yir=:,i _ : � P - e:S>kr_.".:N+i.TI 1 RE/PM $ 197.00 3 7,880,00 $ 7.880.00 5 7,880.00 3 1,970.00 3 25610.00 seism& Office $ 18s.00 3 7,400.00 5 7,400.00 3 7,400.00 E 3,700.00 i 25.900.00 SduthStar Structures Closeout $ 185.00 5 1,480.00 3 meow 3 1,4ame0 $ 1,480.00 $ 5.920.00 Swdlutar OCOA $ 197.00 $ 1.576.00 i 1 576.00 i t 576.00 S 1.576.00 S 6.304.00 SOUth3tar _ s z 'c-, n h .:>:. .. , ing . , ..35 a3 Man $ 48 $ 8128 $ 677582 S 6.77382 $ 2,7p8S3 S 2703.53 S t 2TD9S9 $ 175,10022 Twining 5.2. ,668 GeotAssurance ect Engineer $ 123. 8 Twain Assistant CIA .83 3 543.31 $ $43.31 $ 543.31 1 $ - ,6. o TeChnical Advisor $ 260.39 $ $ $ $ 708300 $ 4,166.16 Oohing Technical Advisor 3 14114 $ f $ $ 3 $ Twining Projeet Manager $ 120.80 $ 966.39 $ - $ - S • $ 3 - $ 1415.9E1 $ 2.615.98 S - S - E 13,046.32 Twining Feld Technician $ 110.11 $ 8,809.04 5 8.809.04 Y 0009.04 $ 4,40452 3 4,40352 $ 2,20226 S - 5 - $ - 5 - $ 138,742.31 TwHhp Field Technician $ 102.32 S 15,552.65 i 4.097-80 $ • 16,37122 S 6i1a5,61 3. - $16551 3 4,03280 S 3 i S - 5 234.926.94 Twining :,.h. ( , :': _R tiff 4!.}`f' t hr:;.i!4.Fri at7 a�.:".I ::: Y 1.F.z 1� Survey Manager 8 D7.19 $ 1887A9 $ 1,897.49 97. $ 1,697.48 S - 3 - $ 1,897.19 3 - $ - i - $ - $1 $ 32.731.72 PSpn83 $ 446,153.84 CerGfied Party Chief S 13484 $ 13,653.71 3 - S 12,315.34 S - S - $ 12,315.34 $ 6,84185 $ 6.84105 $ - 5 - $ 188,835.17 Psomas Intrumenbnan S 12239 i 12,258.65 3 i 11,03278 S. - 3 • $ 11,03278 $ 6,129.32 $ 6,129.32 $ S - $ 169,169.34 PSpmaa Office Surveyor 5 14094 S - 3 - 5 7147110 S - Y - $ ' 7,047.00 $ - S - S - S - $ 49,329.00 Psomss Projecl ASSiptant S 84.56 3 676.51 5 - $ 676S1 S - f - 5 • '- S - $ - $ - $ - $ 6,08&et PSOna $ g - $ $ - g n- c..2u,- h'.A''ay `yY �'S"-Fla :if F.,,Wrj`�.555 ....... ...+` ... ..'•5.5.Sgot;.- -5>:;;Sl3 .$ Outreach Manager $ 1552 83. S 83 i 8306 S 3 82208 $ - 62206 i 2. Aeijano and Associates 67565-02 Outreach Speciafisl 105.41 S 42.26 S 3426 84128 84326 84326 843.26 7.406.08 Arrellano and Associates ]ubeachSpecia6sl $ 88.13 352.51 5 15251 $ S 10.399.10 ArteOaw and As5DCE1¢5 S - $ •- - - _=i:'s r •.r' , ...r•:vq•_ ,V-. - ... .,. .c::.A 5 200,760.21 $ 106,546.42 5 207,042.44 5 116,180.34 5 104,782.79 5 112,669.10 5 75,108.89 5 55.770.79 5 18,336.00 5 11,435.53 2,637,750A6 $ 540,674.74 5 160,651_21 3,852,317.21 5 2852217.21 5 3,852.317.21 • " " R C T C R I V - 2 1 5 W i d e n i n g P r o j e c t S o u t h s t a r E n g i n e e r i n g & C o n s u l t i n g I n c . 1 9 - M o n t h s C o n s t r u c t i o n - C M S e r v i c e s C o s t S u m m a r y L a b o r f o r E a c h F i r m T o t a l F i x e d F e e ( 8 % ) A r r e l l a n o & A s s o c i a t e s H D R C C C P s o m a s S o u t h s t a r T w i n i n g V a l i C o o p e r $ 6 7 , 6 6 5 . 0 2 $ 6 0 0 , 5 0 5 . 8 7 $ 4 4 6 , 1 5 3 . 8 4 $ 1 , 9 1 7 , 4 8 5 . 5 3 $ 5 2 3 , 6 6 8 . 3 5 $ 2 9 6 , 8 3 8 . 6 0 $ 5 , 4 1 3 . 2 0 $ 4 8 , 0 4 0 . 4 7 $ 3 5 , 6 9 2 . 3 1 $ 1 5 3 , 3 9 8 . 8 4 $ $ 4 1 , 8 9 3 . 4 7 $ $ 2 3 , 7 4 7 . 0 9 L a b o r S u b t o t a l $ 3 , 8 5 2 , 3 1 7 . 2 1 $ 3 , 8 5 2 , 3 1 7 . 2 1 G e n e r a l a n d A d m i n i s t r a t i v e C o s t s ( 3 % o f s u b c o n t r a c t o r i n v o i c i n g ) C o s t o f M a t e r i a l T e s t s C o s t o f O t h e r D i r e c t C h a r g e s ( O D C ) S u b t o t a l L a b o r a n d M a t e r i a l s C o n t i n g e n c y t o % G r a n d T o t a l $ 5 8 , 0 4 4 . 9 5 $ 1 0 6 , 4 5 2 . 0 0 $ 8 0 , 7 5 0 . 0 0 $ 4 , 0 9 7 , 5 6 4 . 1 8 4 0 9 , 7 5 6 . 4 2 $ 4 , 5 0 7 , 3 2 0 . 5 8 * N o t e : O v e r t i m e w i l l b e m i n i m i z e d b y s t a g g e r i n g s t a r t t i m e o f s t a f f . I f R C T C r e q u e s t s a n d a p p r o v e s u s a g e o f o v e r t i m e , a n y o v e r t i m e u t i l i z e d w i l l b e c h a r g e d a g a i n s t t h e c o n t i n g e n c y a m o u n t i d e n t i f i e d a b o v e . RCTC RIV-215 Widening Project Southstar Engineering & Consulting Inc. 19-Months Construction - Other Direct Costs {ODCs Note At actual cost Description Office Space Estimated # 23 Unit Rate $ 1,500.00 Cost $ 34,500.00 At actual cost Telephones / Internet 23 $ 250.00 $ 5,750.00 At actual cost Utilities/Janitorial 23 $ 500.00 $ 11,500.00 Included in OH Computers / Office Equipment 0 0 $ - IncludedinOH Desk/Chair 0 0 $ - at cost on large orders, general office copying included in OH Photocopying/Printing $ 3,000.00 At actual cost Website (Geographlcs)/Newsletter $ 12,000.00 At actual cost 877 Helpline $ 1,500.00 At actual cost Postage $ 5,000.00 At actual cost Ceremony Rental Fees (Canopies, Chairs, Tables, etc.) $ 4,000.00 At actual cost Ceremony Supplies, Events, Refreshments, Mementos $ 1,000.00 At actual cost Courier Service $ 500,00 At actual cost Newspaper Advertisement for Open House/Hall Rental $ 2,000.00 ODC Subtotal $ 80,750.00 • • Proposed Services Maximum Density, CT 216 Type Roadway Excavation, Sand Backlit', Structural Excavation, Embankment Description Performed all testing associated with backbit and grading operations. The amount of tests will be contingent on time variety of material encountered during construction. Estimated # 40 Unit Rate $ 175.00 Cost - $ 7,000.00 Seive Analysis, CT 202- Roadway Excavation, Sand Badcfi8, Structural Excavation, Embankment Performed all testing associated with backlit] and grading operations. The amount of tests will be contingent on the variety of material encountered during construction. 10 $ 135.00 $ 1,350.00 R - Value CT 301 Roadway Excavation, Sand Bad<1i8, Structural Excavation, Embankment Performed all testing associated with back8d and grading operations. The amount of tests will be contingent on the variety of material encountered during Construction. 5 $ 255.00 $ 1,275.00 Maximum Density, CT 216 Aggregate Base, Aggregate Subbase Performed all testing associated with backfill and grading operations. The amount of tests will be contingent on the variety of material encountered during construction. 30 $ 175.00 $ 5,250.00 Seive Analysis, CT 202 Y Aggregate Base, Aggregate Subbase g9re 9a16per One Sample every 2500 tonnes or 2000 cubic yards (May be decreased to one day). $ 135.00 $ 2,160.00 Durability Index CT 229 Aggregate Base, Aggregate Subbase If inffial source changes and initially for acceptance. 2 $ 210.00 $ 420.00 Sand Equivalent q Aggregate Base, Aggregate Subbase One Sample every 2500 tonnes or WOO cubic yards (May be decreased to one per day). 16 $ 125.00 $ 2,000.00 Moisture Content CT 226 Aggregate Base, Aggregate Subbase Sampled and tested twice daffy if paid for by weight. 32 $ 25.00 $ 800.00 R-Value CT 301 Aggregate Base, Aggregate Subbase One Sample every 2500 tomes or 2000 cubic yams. 16 $ 275.00 $ 4,400_00 Maximum Density, CT 216 Structural Backlit' Performed all testing associated with backfill and grading operations. The amount of tests will be contingent on the variety of material encountered during construction. 6 $ 175.00 $ 1,050.00 Seive Analysis, CT 202 Structural Backtill Performed ad testing associated with backfill and grarffng operations. The amount of tests will be contingent on the variety of material encountered during construction. 6 $ 135.00 $ 810.00 . Sand Equivalent CT 217 Structural Baddill Performed all testing associated with backlit' and grading operations. The amount of tests will be contingent on the variety of material encountered during construction. 6 $ 125.00 $ 750.00 Compression Strength Testing ASTM C172, CT 540 Portland Cement Concrete - Bridge, Major Structures, Minor Structures1 set approximately every 250 cubic meters or 1 set per day 18 $ 29.00 $ 522.03 Fine Aggregate Sand Equivalent CT 217 Portland Cement Cordele - Bridge, Major Structures, Minor Structures 1 test per 250 pubic meters (If production is less than 250 cubic meters, 1 test per day). 18 $ 125.00 $ 2250.00 Sieve Analysis of Coarse Aggregate Portion CT 202 Portland Cement Concrete - Bridge, Major Structures, Minor Structures 1 test per 250 cubic meters (If production is less than 250 cubic meters, 1 test per day): 16 $ 10000 $ 1,80000 Sieve Analysis of Fine Aggregate Portion CT 202 Portland Cement Concrete - Bridge, Major Structures, Minor Structures 1 test per 250 cubic meters (If production is less than 250 cubic meters, 1 test per day). 18 $ 135.00 $ 2,430.00 Coarse Aggregate Cleanness Value C7 227 Poland Cement Concrete - Bridge, Major Structures, Minor Structures 1 test per 250 cubic meters (If production is less than 250 cc Meters, 1 lest per day). 18 $ 275.00 $ 4,950.00 SieveAnalysis of Aggregates CT 202 - 1 lest for every 12,500 Ions or 10% of contractors quality control testing 20 $ 135.00 $ 2,700.00 Aspha8 Content CT 382 1 lest for every 12,500 tons or 10% of contractors quarrty control testing 20 $ 195.00 $ 3,000.00 Moisture Content CT 310,370 1 test for every 12,500 tons or 10% of contractors quality control testing 20 $ 25.00 $ 500.00 Stabilomefer Value CT 366 1 test for every 12,500 tons or 10% of contractors quality control testing 20 $ 199.00 $ 3,980.00 Maximum Density, CT 375, 308 1 lest for every 12,500 tons or 10% of contractors quality control testing 20 $ 199.00 $ 3,980.00 Maximum Theoretical Specific Gravity RICE 1 test for every 12,500 tons or 10% of contractors quafdy control testing 20 $ 145.00 $ 2,900.00 Density of Core Samples, CT 308 1 test for every 250 tons. Cores to be obtained by the Contractor 503 $ 45.00 $ 22,500.00 Sieve Analysis of Aggregates CT 202 1 test for every 6,000 tons or 10% of contractors quality Centre' testing 5 $ 135.00 $ 675.00 Asphalt Content CT 382 1 test for every 6,000 tons or 10% of contractors quality control testing 5 $ 195.00 $ 975.00 Moisture Content CT 310, 370 1 test for every 6,000 tons or 10% of contractors quality control testing 5 $ 25.00 $ 125.00 laboratory Testing Allowance for Steel Billed as needed on a Time and Materials Bads for testing required that may be requested by Cffent. (Allowance Estimated) 1 $ 10,000.00 $ 10p0000 Laboratory Testing Allowance ry Billed as needed on a Time and Materials Basis for testing required that may be requested by Client. (Allowance Estimated) 1 $ 15,000.00 $ 15,000.00 Tests Subtotal $ 106,452.00 601.0L'£Z $ /899'Z %8 869177 Z98£'0 992.0'4 0000'4 Jad000 PA G4'£6817 $ 9L697 %8 MOP'Z 5Z58'0 LZS9'0 0000'4 (uolun) SululMj b817£'Z %8 PPLVZ 9Z58'0 64Z£'0 0000'4 suluimi ti8'86£`E54 $ LLIZ7 %8 17£907 99E2'0 8L45'0 0000'4 JelnnncS 4E269'9E $ MC VC %8 00067 00Eb'4 OOLVO 0000'L seuwosd Lh'OPOV7 $ 0809'Z %8 ZZZ£•Z 8896'0 b£SE'0 0000'4 000 MOH WE44'S $ ME I, %8 0009'6 0009'0 0000'0 0000'4 sapelaossdtgouelle v aa� paxlj 3lioad 1-11" aalidl;InW Igo' }I;oid .talldalnIN nal paayaanp sanl�Ippd IloJARd fualss palm ullu saaildllinw ua u Act unnopmeaa8 peeLpeA0 •oul Bumnsuo0 Bulaaaulfiu3 aelsmos patom fuluem 91 Z-AIN OION • • District Agreement 08-1462 CEQA — The California Environmental Quality Act (California Public Resources Code, sections 21000 et seq.) that requires State and local agencies to identify the significant environmental impacts of their actions and to avoid or mitigate those significant impacts, if feasible. COMPLETION OF WORK — All PARTNERS have met all scope, cost, and schedule commitments included in this agreement and have signed a COOPERATIVE AGREEMENT CLOSURE STATEMENT. CONSTRUCTION — The project component that includes the activities involved in the administration, acceptance, and final documentation of a construction contract for PROJECT. COOPERATIVE AGREEMENT CLOSURE STATEMENT A document signed by PARTNERS that verifies the completion of all scope, cost, and schedule commitments included in this agreement. FHWA — Federal Highway Administration. FHWA STANDARDS — FHWA regulations, policies and procedures, including, but not limited to, the guidance provided at http://www.fhwa.dot.Qov/programs.html. FUNDING PARTNER — A partner who commits a defined dollar amount to WORK. FUNDING SUMMARY - The table in which PARTNERS designate funding sources, types of funds, and the project components in which the funds are to be spent. Funds listed on the FUNDING SUMMARY are "not -to -exceed" amounts for each FUNDING PARTNER. HM-I — Hazardous material (including, but not limited to, hazardous waste) that may require removal and disposal pursuant to federal or state law whether it is disturbed by PROJECT or not. HM-2 — Hazardous material (including, but not limited to, hazardous waste) that may require removal and disposal pursuant to federal or state law only if disturbed by PROJECT. HM MANAGEMENT ACTIVITIES — Management activities related to either HM-1 or HM-2 including, without limitation, any necessary manifest requirements and disposal facility designations. IMPLEMENTING AGENCY — The partner responsible for managing the scope, cost, and schedule of a project component to ensure the completion of that component. IQA — Independent Quality Assurance — Ensuring that IMPLEMENTING AGENCY'S quality assurance activities result in WORK being developed in accordance with the applicable standards and within an established Quality Management Plan. IQA does not include any work necessary to actually develop or deliver WORK or any validation by verifying or rechecking work performed by another partner. PACT Version 9.1 5-28-09 2of18 • 139 District Agreement 08-1462 PARTNERS — The term that collectively references all of the signatory agencies to this agreement. This term only describes the relationship between these agencies to work together to achieve a mutually beneficial goal. It is not used in the traditional legal sense in which one partner's individual actions legally bind the other partners. PROJECT MANAGEMENT PLAN — A group of documents used to guide a project's execution and control throughout the project's lifecycle. RESIDENT ENGINEER — A civil engineer licensed in the State of California who is responsible for construction contract administration activities. Said engineer shall be independent of the design engineering company and the construction contractor. SCOPE SUMMARY — The table in which PARTNERS designate their commitment to specific scope activities within each project component as outlined by the Guide to Capital Project Delivery Workplan Standards (previously known as WBS Guide) available at http://vvww.dot.ca.gov/hq/projmgmt/guidance.htm. SHS — State Highway System. SPONSOR(S) — The partner that accepts the obligation to secure financial resources to fully fund WORK. This includes any additional funds beyond those committed in this agreement necessary to complete the full scope of WORK defined in this agreement or settle claims. SFM (State Furnished Material) — Any materials or equipment supplied by CALTRANS. WORK — All scope and cost commitments included in this agreement. RESPONSIBILITIES 9. RCTC is SPONSOR for all WORK. 10. RCTC is the only FUNDING PARTNER for this agreement. RCTC's funding commitment is defined in the FUNDING SUMMARY. 11. CALTRANS is the CEQA lead agency for PROJECT. 12. RCTC is IMPLEMENTING AGENCY for CONSTRUCTION. SCOPE Scope: General 13. All WORK will be performed in accordance with federal and Califomia laws, regulations, and standards. PACT Version 9.1 5-28-09 3of18 140 District Agreement 08-1462 All WORK will be performed in accordance with FHWA STANDARDS and CALTRANS STANDARDS. 14. IMPLEMENTING AGENCY for a project component will provide a Quality Management Plan for that component as part of the PROJECT MANAGEMENT PLAN. 15. CALTRANS will provide 1QA for the portions of WORK within existing and proposed SHS right of way. CALTRANS retains the right to reject noncompliant WORK, protect public safety, preserve property rights, and ensure that all WORK is in the best interest of the SHS. 16. RCTC may provide IQA for the portions of WORK outside existing and proposed SHS right of way. 17. PARTNERS may, at their own expense, have a representative observe any scope, cost, or schedule commitments performed by another partner. Observation does not constitute authority over those commitments. 18. Each partner will ensure that all of their personnel participating in WORK are appropriately qualified to perform the tasks assigned to them. 19. PARTNERS will invite each other to participate in the selection and retention of any consultants who participate in WORK. 20. PARTNERS will conform to sections 1720 — 1815 of the California Labor Code and all applicable regulations and coverage determinations issued by the Director of Industrial Relations if PROJECT work is done under contract (not completed by a partner's own employees) and is governed by the Labor Code's definition of a "public work" (section 1720(a)(1)). PARTNERS will include wage requirements in all contracts for "public work" and will require their contractors and consultants to include prevailing wage requirements in all agreement -funded subcontracts for "public work". 21. IMPLEMENTING AGENCY for each project component included in this agreement will be available to help resolve WORK -related problems generated by that component for the entire duration of PROJECT. 22. CALTRANS will issue, upon proper application, at no cost, the encroachment permits required for WORK within SHS right of way. Contractors and/or agents, and utility owners will not perform WORK within SHS right of way without an encroachment permit issued in their name. 23. If unanticipated cultural, archaeological, paleontological, or other protected resources are discovered during WORK, all work in that area will stop until a qualified professional can PACT Version 9.1 5-28-09 4of18 141 District Agreement 08-1462 evaluate the nature and significance of the discovery and a plan is approved for its removal or protection. RCTC will notify CALTRANS within twenty-four (24) hours of any discovery. 24. PARTNERS will hold all administrative draft and administrative final reports, studies, materials, and documentation relied upon, produced, created, or utilized for PROJECT in confidence to the extent permitted by law. Where applicable, the provisions of California Government Code section 6254.5(e) will govern the disclosure of such documents in the event that PARTNERS share said documents with each other. PARTNERS will not distribute, release, or share said documents with anyone other than employees, agents, and consultants who require access to complete WORK without the written consent of the partner authorized to release them, unless required or authorized to do so by law. 25. If any partner receives a public records request, pertaining to WORK under this agreement, that partner will notify PARTNERS within five (5) working days of receipt and make PARTNERS aware of any transferred public documents. PARTNERS will consult with each other prior to the release of any public documents related to the PROJECT and provided by the other partner. 26. If HM-1 or HM-2 is found during WORK, IMPLEMENTING AGENCY for the project component during which it is found will immediately notify PARTNERS. 27. CALTRANS, independent of PROJECT, is responsible for any HM-1 found within existing SHS right of way. CALTRANS will undertake HM-1 MANAGEMENT ACTIVITIES with minimum impact to PROJECT schedule. 28. If HM-1 is found outside existing SHS right of way, responsibility for such HM-1 rests with the owner(s) of the parcel(s) on which the HM-1 is found. AUTHORITY, in concert with the local agency having land use jurisdiction over the parcel(s), will ensure that HM-1 management activities are undertaken with minimum impact to PROJECT schedule. 29. If HM-2 is found within PROJECT limits, the public agency responsible for the advertisement, award, and administration (AAA) of the PROJECT construction contract will be responsible for HM-2 MANAGEMENT ACTIVITIES. 30. CALTRANS' acquisition or acceptance of title to any property on which any HM-1 or HM-2 is found will proceed in accordance with CALTRANS' policy on such acquisition. 31. PARTNERS will comply with all of the commitments and conditions set forth in the environmental documentation, environmental permits, approvals, and applicable agreements as those commitments and conditions apply to each partner's responsibilities in this agreement. PACT Version 9.1 5-28-09 5of18 142 District Agreement 08-1462 32. IMPLEMENTING AGENCY for each project component will furnish PARTNERS with written monthly progress reports during the implementation of WORK in that component. 33. Upon COMPLETION OF WORK, ownership and title to all materials and equipment constructed or installed as part of WORK_ within SHS right of way become the property of CALTRANS. 34. IMPLEMENTING AGENCY for a project component will accept, reject, compromise, settle, or litigate claims of any non -agreement parties hired to do WORK in that component. 35. PARTNERS will confer on any claim that may affect. WORK or PARTNERS' liability or responsibility under this agreement in order to retain resolution possibilities for potential future claims. No partner shall prejudice the rights of another partner until after PARTNERS confer on claim. 36. PARTNERS will maintain and make available to each other all WORK -related documents, including financial data, during the term of this agreement and retain those records for four (4) years from the date of termination or COMPLETION OF WORK, or three (3) years from the date of final federal voucher, whichever is later. 37. PARTNERS have the right to audit each other in accordance with generally accepted governmental audit standards. CALTRANS, the State auditor, FHWA, and RCTC will have access to all WORK -related records of each partner for audit, examination, excerpt, or transaction. The examination of any records will take place in the offices and locations where said records are generated and/or stored and will be accomplished during reasonable hours of operation. The audited partner will review the preliminary audit, findings, and recommendations, and provide written comments within 60 calendar days of receipt. Any audit dispute not resolved by PARTNERS is subject to dispute resolution. Any costs arising out of the dispute resolution process will be paid within 30 calendar days of the final audit or dispute resolution findings. 38. PARTNERS consent to service of process by mailing copies by registered or certified mail, postage prepaid. Such service becomes effective 30 calendar days after mailing. However, nothing in this agreement affects PARTNERS' rights to serve process in any other matter permitted by law. 39. PARTNERS will not incur costs beyond the funding commitments in this agreement. If IMPLEMENTING AGENCY anticipates that funding for WORK will be insufficient to PACT Version 9.1 5-28-09 6 of 18 143 District Agreement 08-1462 complete WORK, SPONSOR(S) will seek out additional funds and PARTNERS will amend this agreement. 40. If WORK stops for any reason, IMPLEMENTING AGENCY will place all facilities impacted by WORK in a safe and operable condition acceptable to CAL TRANS. 41. If WORK stops for any reason, PARTNERS are still obligated to implement all applicable commitments and conditions included in the PROJECT environmental documentation, permits, agreements, or approvals that are in effect at the time that WORK stops, as they apply to each partner's responsibilities in this agreement, in order to keep PROJECT in environmental compliance until WORK resumes. 42. Each partner accepts responsibility to complete the activities that they selected on the SCOPE SUMMARY. Activities marked with "N/A" on the SCOPE SUMMARY are not included in the scope of this agreement. Scope: CONSTRUCTION 43. RCTC will advertise, open bids, award, and approve the construction contract in accordance with the Public Contract Code and the California Labor Code. RCTC will not advertise the construction contract until CALTRANS completes or accepts the final plans, specifications, and estimate package; CALTRANS approves the Right of Way Certification; and FUNDING PARTNERS fully fund WORK. By accepting responsibility to advertise and award the construction contract, RCTC also accepts responsibility to administer the construction contract. 44. RCTC will provide a RESIDENT ENGINEER and construction support staff who are independent of the design engineering company and construction contractor. 45. PARTNERS will implement changes to the construction contract through contract change orders (CCOs). PARTNERS will review and concur on all CCOs over $100,000. All CCOs affecting public safety or the preservation of property, all design and specification changes, and all major changes as defined in the CALTRANS Construction Manual will be approved by CALTRANS in advance of the CCO work to be performed. 46. If the lowest responsible construction contract bid (plus estimated contingencies, supplemental costs and State Furnished Material costs) is equal to or less than the amount shown on the FUNDING SUMMARY for CONSTRUCTION Capital, the IMPLEMENTING AGENCY may award the contract. If the lowest responsible construction contract bid is greater than the amount shown on the FUNDING SUMMARY for CONSTRUCTION Capital, all PARTNERS must be involved in determining how to proceed. If PARTNERS do not agree in writing on a course of action within 15 working days, this agreement will terminate. PACT Version 9.1 5-28-09 7of18 144 District Agreement 08-1462 47. RCTC will require the construction contractor to furnish payment and performance bonds naming RCTC as obligee and to carry liability insurance in accordance with CALTRANS specifications. 48. RCTC will submit a written request to CALTRANS for any SFM identified in the PROJECT PS&E package a minimum of 45 calendar days. RCTC will submit a written request to CALTRANS for any additional SFM deemed necessary during PROJECT construction. 49. Upon receipt of both SFM and full payment of CALTRANS' invoice for estimated SFM costs, CALTRANS will make the SFM available at a CALTRANS-designated location. 50. CALTRANS will provide Source Inspection on reimbursed basis. 51. If the need for permits, agreements, and/or approvals arises, RCTC will coordinate the following resource agency permits, agreements, and/or approvals: Regional Water Quality Control Board (401), and Department of Fish and Game (1602). 52. If the need for permits, agreements, and/or approvals arises, RCTC will obtain the following resource agency permits, agreements, and/or approvals: Regional Water Quality Control Board (401), and Department of Fish and Game (1602). 53. If the need for permits, agreements, and/or approvals arises, RCTC will implement the following resource agency permits, agreements, and/or approvals: Regional Water Quality Control Board (401), and Department of Fish and Game (1602). 54. If the need for permits, agreements, and/or approvals arises, RCTC will renew and amend the following resource agency permits, agreements, and/or approvals: Regional Water Quality Control Board (401), and Department of Fish and Game (1602). 55. RCTC will provide maintenance for those portions of the SHS within WORK limits until COMPLETION OF WORK, after which, maintenance will be handled through an existing maintenance agreement. COST Cost: General 56. SPONSOR(S) will secure funds for all WORK including any additional funds beyond the FUNDING PARTNERS' existing commitments in this agreement. Any change to the funding commitments outlined in this agreement requires an amendment to this agreement. 57. The cost of any awards, judgments, or settlements generated by WORK is a WORK cost. 58. CALTRANS, independent of PROJECT, will pay all costs for HM MANAGEMENT ACTIVITIES related to HM-1 found within existing SHS right of way. PACT version 9.1 5-28-09 8of18 • 145 District Agreement 08-1462 59. Independent of PROJECT, all costs for management activities related to HM-1 found outside the existing SHS right of way will be the responsibility of the owner(s) of the parcel(s) where the HM-1 is located.. 60. HM MANAGEMENT ACTIVITIES costs related to HM-2 are a PROJECT . CONSTRUCTION cost. 61. The cost of coordinating, obtaining, complying with, implementing, and if necessary renewing and amending resource agency permits, agreements, and/or approvals is a WORK cost. 62. The cost to comply with and implement the commitments set forth in the environmental documentation is a WORK cost. 63. The cost to ensure that PROJECT remains in environmental compliance is a WORK cost. 64. The cost of any legal challenges to the CEQA environmental process or documentation is a WORK cost. 65. Independent of WORK costs, CALTRANS will fund the cost of its own IQA for WORK done within existing or proposed future SHS right of way. 66. Independent of WORK costs, RCTC will fund the cost of its own IQA for WORK done outside existing or proposed future SHS right of way. 67. Fines, interest, or penalties levied against any partner will be paid, independent of WORK costs, by the partner whose actions or lack of action caused the levy. That partner will indemnify and defend all other partners. 68. The cost to place PROJECT right of way in a safe and operable condition and meet all environmental commitments is a WORK cost. 69. Because IMPLEMENTING AGENCY is responsible for managing the scope, cost, and schedule of a project component, if there are insufficient funds available in this agreement to place the right of way in a safe and operable condition, the appropriate IMPLEMENTING AGENCY accepts responsibility to fund these activities until such time as PARTNERS amend this agreement. IMPLEMENTING AGENCY may request reimbursement for these costs during,the amendment process. 70. If there are insufficient funds in this agreement to implement applicable commitments and conditions included in the PROJECT environmental documentation, permits, agreements, and/or approvals that are in effect at a time that WORK stops, the partner implementing the commitments or conditions accepts responsibility to fund these activities until such time as PARTNERS amend this agreement. PACT Version 9.1 5-28-09 9of18 146 District Agreement 08-1462 That partner may request reimbursement for these costs during the amendment process. 71. PARTNERS will pay invoices within 30 calendar days of receipt of invoice. 72. FUNDING PARTNERS accept responsibility to provide the funds identified on the FUNDING SUMMARY. 73. SPONSOR(S) accepts responsibility to ensure full funding for the identified scope of work. Cost:. CONSTRUCTION Support 74. The cost to maintain the SHS within WORK limits is a WORK cost until COMPLETION OF WORK, after which, the cost of maintenance will be handled through an existing maintenance agreement. 75. Each PARTNER listed below may submit invoices for CONSTRUCTION Support: • RCTC will invoice CALTRANS 76. PARTNERS will exchange funds for actual costs. RCTC will submit to CALTRANS monthly invoices for costs of the prior month's actual expenditures. After PARTNERS agree that all WORK is complete, RCTC will submit a final accounting for all WORK costs. Based on the final accounting, PARTNERS will refund or invoice as necessary in order to satisfy the obligation of this agreement. Cost: CONSTRUCTION Capital 77. The cost of all STATE FURNISHED MATERIAL is a CONSTRUCTION capital cost. CAL F ANS will invoice RCTC for the actual cost of any STATE -FURNISHED MATERIAL. 78. Each PARTNER listed below may submit invoices for CONSTRUCTION Capital: • RCTC will invoice CALTRANS 79. PARTNERS will exchange funds for actual costs. RCTC will submit to CALTRANS monthly invoices for costs of the prior month's actual expenditures. PACT Version 9.1 5-28-09 l0 of 18 147 District Agreement 08-1462 After PARTNERS agree that all WORK is complete, RCTC will submit a final accounting for all WORK costs. Based on the final accounting, PARTNERS will refund or invoice as necessary in order to satisfy the obligation of this agreement. SCHEDULE 80. PARTNERS will manage the schedule for WORK through the work plan included in the PROJECT MANAGEMENT PLAN. GENERAL CONDITIONS 81. This agreement will be understood in accordance with and governed by the Constitution and laws of the State of California. This agreement will be enforceable in the State of California. Any legal action arising from this agreement will be filed and maintained in the Superior Court of the county in which the CALTRANS district office signatory to this agreement resides. 82. CALTRANS invoices for support costs including all direct and applicable indirect costs. Applicable indirect costs are determined by the type of funds being used to pay for support. State and federal funds are subject to the Program Functional Rate. Local funds (Measure money, developer fees, special assessments, etc.) are subject to the Program Functional Rate and the Administration Rate. CALTRANS establishes the Program Functional Rate and the Administration Rate annually according to State and Federal regulations. 83. All obligations of CALTRANS under the terms of this agreement are subject to the appropriation of resources by the Legislature, the State Budget Act authority, and the allocation of funds by the California Transportation Commission. 84. Any PARTNER who performs IQA does so for its own benefit, further, that PARTNER cannot be assigned liability due to it's IQA activities. 85. Neither RCTC nor any officer or employee thereof is responsible for any injury, damage or liability occurring by reason of anything done or omitted to be done by CALTRANS under or in connection with any work, authority, or jurisdiction conferred upon CALTRANS under this agreement. It is understood and agreed that CALTRANS will fully defend, indemnify, and save harmless RCTC and all of its officers and employees from all claims, suits, or actions of every name, kind, and description brought forth under, but not limited to, tortious, contractual, inverse condemnation, or other theories or assertions of liability occurring by reason of anything done or omitted to be done by CALTRANS under this agreement. 86. Neither CALTRANS nor any officer or employee thereof is responsible for any injury, damage, or liability occurring by reason of anything done or omitted to be done by RCTC PACT Version 9.1 5-28-09 11 of 18 148 District Agreement 08-1462 under or in connection with any work, authority, or jurisdiction conferred upon RCTC under this agreement. It is understood and agreed that RCTC will fully defend, indemnify, and save harmless CALTRANS and all of its officers and employees from all claims, suits, or actions of every name, kind, and description brought forth under, but not limited to, tortious, contractual, inverse condemnation, or other theories or assertions of liability occurring by reason of anything done or omitted to be done by RCTC under this agreement. 87. This agreement is not intended to create a third party beneficiary or define duties, obligations, or rights in parties not signatory to this agreement. This agreement is not intended to affect the legal liability of PARTNERS by imposing any standard of care for completing WORK different from the standards imposed by law. 88. PARTNERS will not assign or attempt to assign agreement obligations to parties not signatory to this agreement. 89. Any ambiguity contained in this agreement will not be interpreted against PARTNERS. PARTNERS waive the provisions of California Civil Code section 1654. 90. A waiver of a partner's performance under this agreement will not constitute a continuous waiver of any other provision. An amendment made to any article or section of this agreement does not constitute an amendment to or negate all other articles or sections of this agreement. 91. A delay or omission to exercise a right or power due to a default does not negate the use of that right or power in the future when deemed necessary. 92. If any partner defaults in their agreement obligations, the non -defaulting partner(s) will request in writing that the default be remedied within 30 calendar days. If the defaulting partner fails to do so, the non -defaulting partner(s) may initiate dispute resolution. 93. PARTNERS will first attempt to resolve agreement disputes at the PROJECT team level. If they cannot resolve the dispute themselves, the CAL TRANS district director and the executive officer of RCTC will attempt to negotiate a resolution. If no resolution is reached, PARTNERS' legal counsel will initiate mediation. PARTNERS agree to participate in mediation in good faith and will share equally in its costs. Neither the dispute nor the mediation process relieves PARTNERS. from full andtiraely performance of WORK in accordance with the terms of this agreement. However, if any partner stops WORK, the other partner(s) may seek equitable relief to ensure that WORK continues. Except for equitable relief, no partner may file a civil complaint until after mediation, or 45 calendar days after filing the written mediation request, whichever occurs first. PACT Version 9.1 5-28-09 12 Of 18 • 149 District Agreement 08-1462 Any civil complaints will be filed in the Superior Court of the county in which the CALTRANS district office signatory to this agreement resides. The prevailing partner will be entitled to an award of all costs, fees, and expenses, including reasonable attorney fees as a result of litigating a dispute under this agreement or to enforce the provisions of this article including equitable relief. 94. PARTNERS maintain the ability to pursue alternative or additional dispute remedies if a previously selected remedy does not achieve resolution. 95. If any provisions in this agreement are deemed to be, or are in fact, illegal, inoperative, or unenforceable, those provisions do not render any or all other agreement provisions invalid, inoperative, or unenforceable, and those provisions will be automatically severed from this agreement. 96. This agreement is intended to be PARTNERS' final expression and supersedes all prior oral understanding or writings pertaining to WORK. 97. If during performance of WORK additional activities or environmental documentation is necessary to keep PROJECT in environmental compliance, PARTNERS will amend this agreement to include completion of those additional tasks. 98. PARTNERS will execute a formal written amendment if there are any changes to the commitments made in this agreement. 99. This agreement will terminate upon COMPLETION OF WORK or upon 30 calendar days' written notification to terminate and acceptance between PARTNERS, whichever occurs first. However, all indemnification, document retention, audit, claims, environmental commitment, legal challenge, and ownership articles will remain in effect until terminated or modified in writing by mutual agreement. 100. The following documents are attached to, and made an express part of this agreement: SCOPE SUMMARY, FUNDING SUMMARY. 101. Signatories may execute this agreement through individual signature pages provided that each signature is an original. This agreement is not fully executed until all original signatures are attached. PACT Version 9.1 5-28-09 13 of 18 150 District Agreement 08-1462 CONTACT INFORMATION The information provided below indicates the primary contact data for each partner to this agreement. PARTNERS will notify each other in writing of any personnel or location changes. These changes do not require an amendment to this agreement. The primary agreement contact person for CALTRANS is: Emad Makar, Project Manager 464 West 4th Street, 6th Floor, (MS-1229) San Bernardino, California 92401-1400 Office Phone: (909) 383-4978 Mobile Phone: (909) 289-4632 Fax Number: (909) 383-6472 Email: emad_makar@dot.ca.gov The primary agreement contact person for RCTC is: Lisa DaSilva, Capital Project Manager 4080 Lemon Street, 3rd Floor, P.O. Box 12008 Riverside, California 92502-2208 Office Phone: (951) 787-7141 Email: Ldasilva@rctc.org PACT Version 9.1 5-28-09 14 of 18 151 " D i s t r i c t A g r e e m e n t 0 8 - 1 4 6 2 S I G N A T U R E S P A R T N E R S d e c l a r e t h a t : 1 . E a c h p a r t n e r i s a n a u t h o r i z e d l e g a l e n t i t y u n d e r C a l i f o r n i a s t a t e l a w . 2 . E a c h p a r t n e r h a s t h e a u t h o r i t y t o e n t e r i n t o t h i s a g r e e m e n t . 3 . T h e p e o p l e s i g n i n g t h i s a g r e e m e n t h a v e t h e a u t h o r i t y t o d o s o o n b e h a l f o f t h e i r p u b l i c a g e n c i e s . S T A T E O F C A L I F O R N I A R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N D E P A R T M E N T O F T R A N S P O R T A T I O N C O M M I S S I O N B y : R a y m o n d W . W o l f e , P h D B y : D i s t r i c t D i r e c t o r A n n e M a y e r E x e c u t i v e D i r e c t o r C E R T I F I E D A S T O F U N D S : A t t e s t : B e s t , B e s t a n d K r i e g e r " B y : L e g a l C o u n s e l L i s a P a c h e c o B u d g e t M a n a g e r P A C T V e r s i o n 9 . 1 3 . 3 1 . 0 8 1 5 o f 1 8 1 5 2 08-RI V-215-R8.2/R 16.0 EA: OF161 District Agreement 08-1462 'SCOPE SUMMARY ©oimmis ■ 270 ■■■ .- 10 -. --®-- --®-- ■E■ 05 ■ --. 10 - ---®- .-- 20 - -_111111®. --- 40 - ---®- MINIM 50 - ---m- .- 30 -. --®-- --. 05 - --- 10 - --- 20 . -- 40 -. --®-- -- 88 -- ■sm111■ m= OM 80 Ell . 285 Min. -- 05 .. -- 10 .. Construction (CON) - 270, 285, 290, 295 Construction Engineering and General Contract Administration Construction Staking Padcage and Control Construdion Stakes Construction Engineering Work Construction Contract Administration Work Secured Lease for Resident Engineer Office Space or Trailer Set Up Construction Project Files X X X X X X X X X X Pre -Construction Meeting Progress Pay Estimates Weekly Statement of Working Days Construction Project Files and General Field Office Clerical Work Labor Compliance Activities X X X Approved Subcontractor Substitutions Coordination Civil Rights Contract Compliance X X Other Construction Contract Administration Products Contract Item Work Inspection Construction Material Sampling and Testing X X X Materials Sampling and Testing for Quality Assurance Plant Inspection for Quality Assurance Independent Assurance Sampling and Testing Source Inspection Safety and Maintenance Reviews Relief From Maintenance Process Final Inspection and Acceptance Recommendation Plant Establishment Administration Transportation Management Plan Implementation During Construction Resource Agency Permit Renewal and Extension R- . uests X X X X X X X X Long -Tenn Environmental Mitigation/Mitigation Monitoring Durin. Construction Contract Other Construction Engineering and General Contract Administration Contract Change Order Administration Contract Change Order Process Functional Support X X X X X X PACT Version 9.1 3.31.08 16 of 18 153 District Agreement 08-1462 290 Resolve Contract Claims X 05 Analysis of Notices of Potential Claims X 10 Supporting Documentation and Responses to Notices of Potential Claims X 15 Reviewed and Approved Claim Report X 20 District Claim Meeting or Board of Review X 25 Arbitration Hearing X 30 Negotiated Claim Settlement X 35 Technical Support X 295 Accept Contract, Prepare Final Construction Estimate, and Final Report X X 05 Processed Estimate After Acceptance X 10 Proposed Final Contract Estimate X 15 As -Built Plans X 20 Project History File X 25 Final Report X 30 Processed Final Estimate X 35 Certificate of Environmental Compliance X 40 Long Term Environmental Mitigation/Mitigation Monitoring After Construction Contract Acceptance X 45 Post -Construction Tragic Operations Activities X Other Accept Contract! Prepare Final Construction Estimate and Final Report X PACT Version9.1 3.31.08 17of18 • 154 99l 8I 30 8I 90' l£'£ re uois.QA 10'dd 00'000'001.'99$ 00'000'0L9'84$ 00'000'0£9'9$ 00'000'0£9'9$ 00'000'OLS'84$ wauodwoo sielolgns �x�wns Ouiaun3 Z9171-80 luauiaaaSV Pix1sIG I9id0:V2 0'9111/n11-S I Z-A111-80 • • " A G E N D A I T E M 8 G RIVERSIDE COUNTY TRANSPORTATION COMMISSION DATE: July 14, 2010 TO: Riverside County Transportation Commission FROM: Lisa DaSilva, Capital Projects Manager Marlin Feenstra, Project Delivery Director THROUGH: Anne Mayer, Executive Director SUBJECT: Agreement with the Department of California Highway Patrol for Construction Zone Enhanced Enforcement Program services for the State Route 74/Interstate 215 Interchange Project in the City of Perris and the Interstate 215 Widening Project from Murrieta Hot Springs Road to Scott Road, North of the City of Murrieta STAFF RECOMMENDATION: This item is for the Commission to: 1) Approve Agreement No. 10-31-113-00 with the Department of California Highway Patrol (CHP) for Construction Zone Enhanced Enforcement Program (COZEEP) traffic control services during construction of the 74/215 interchange project in the city of Perris and the Interstate 215 widening project from Murrieta Hot Springs Road to Scott Road, north of the city of Murrieta, for the amount of $285,978 plus a contingency amount of $28,622 to cover potential change orders encountered during construction, for a total not to exceed amount of $314,600; and 2) Authorize the Chair, pursuant to legal counsel review, to execute the agreements on behalf of the Commission. BACKGROUND INFORMATION: The 74/215 interchange in the city of Perris is one of the last remaining highway projects in the 1989 Measure A expenditure plan. T he final design of the project was approved by Caltrans in February 2010. At its May 12, 2010 meeting, the Commission awarded Agreement No. 10-31-030-00 to Skanska USA Civil West (Skanska) for the construction of the 74/215 interchange project. A notice to proceed (NTP) for construction is planned for early July 2010. At its December 10, 2008 meeting, the Commission awarded Agreement No. 09-31-045-00 to URS Corporation to perform final design of the. 1-215 widening project from Murrieta Hot Springs Road to Scott Road, north of the city of Murrieta. The final design package was submitted to Caltrans for approval on Agenda Item 8G 156 June 15, 2010. The project is scheduled to be advertised for construction bids in September 2010, and it is anticipated that construction will start in early 2011. COZEEP traffic control services are required during construction as a safety measure to increase traffic enforcement above normal levels in construction situations where traffic problems are anticipated in an effort to reduce potential for traffic accidents and to reduce traffic speeds. CHP may be used to slow down, or assist in stopping or directing traffic to enable necessary breaks in traffic for critical movements of the contractor's equipment and operations. Staff coordinated with the CHP to develop an agreement for COZEEP traffic control services to be provided by the CHP Temecula area office. The agreement includes COZEEP traffic control services for both the 74/215 Interchange Project and the 1-215 widening project from Murrieta Hot Springs Road to Scott Road. The draft agreement with the CHP is attached. Recommendation: Staff recommends approval of Agreement No. 10-31-113-00 with the CHP for COZEEP traffic control services during construction of the 74/215 Interchange improvement project in the city of Perris and the 1-215 widening project from Murrieta Hot Springs Road to Scott Road, north of the city of Murrieta, for the amount of $285,978, plus a contingency amount of $28,622 to cover potential change orders encountered during construction, for a total not to exceed amount of $ 314, 600. Financial Information In Fiscal Year Budget: Yes N/A Year: FY 2010/11 FY 2011/12+ Amount: $100,000 $214,600 Source of Funds: TUMF and CMIA Budget Ad ustment: No GLA No.: 003015 81304 00000 0000 222 31 81301 003022 81304 00000 0000 262 31 81301 Fiscal Procedures Approved: 4114,440 Date: 06/29/10 Attachment: Agreement No. 10-31-113-00 with CHP Agenda Item 8G • 157 ATTACHMENT STATE OF CALIFORNIA STANDARD AGREEMENT STD 213 (Rev 06/03) ANALYST INITIALS. AGREEMENT NUMBER 9R685000 REGISTRATION NUMBER 1. This Agreement is entered into between the State Agency and the Contractor named below: STATE AGENCY'S NAME Department of California Highway Patrol CONTRACTOR'S NAME STATE AGENCY'S NAME Riverside County Transportation Commission 2. The term of this June 1, 2010 through August 1, 2012 Agreement is: 3. The maximum amount $ 285,978.00 of this Agreement is: Two Hundred Eight Five Thousand, Nine Hundred Seventy -Eight Dollars and Zero Cents 4. The parties agree to comply with the terms and conditions of the following exhibits, which are by this reference made a part of the Agreement. • Exhibit A— Scope of Work Exhibit B — Budget Detail and Payment Provisions 2 page(s) 1 page(s) Exhibit C* — General Terms and Conditions GTC 610 Check mark one item below as Exhibit D: 0 Exhibit - D Special Terms and Conditions (Attached hereto as part of this agreement) Exhibit - D* Special Terms and Conditions 1 page(s) Attachment 1 — Project Plans 7 page(s) Items shown with an Asterisk (*), are hereby incorporated by reference and made part of this agreement as if attached hereto. These documents can be viewed at www.ols.dgs.ca.gov/Standard+Language IN WITNESS WHEREOF, this Agreement has been executed by the parties hereto. CONTRACTOR CONTRACTOR'S NAME (if other than an individual, state whether a corporation, partnership, etc.) Riverside County Transportation Commission BY (Authorized Signature) ,2S DATE SIGNED(Do not type) PRINTED NAME AND TITLE OF PERSON SIGNING ADDRESS 4080 Lemon Street, 3`d Floor Annex Riverside, CA 92501 STATE OF CALIFORNIA AGENCY NAME Department of California Highway Patrol BY (Authorized Signature) ,@S DATE SIGNED(Do not type) PRINTED NAME AND TITLE OF PERSON SIGNING T. L. ANDERSON, Assistant Chief, Administrative Services Division •ADDRESS P.O. Box 942898, Sacramento, CA 94298-0001 California Department of General Services Use Only ❑ Exempt per 158 EXHIBIT A SCOPE OF WORK Riverside County Transportation Commission CHP Agreement # 9R685000 Exhibit A page 1 of 2 1. The Contractor, Riverside County Transportation Commission (County) agrees to reimburse the Department of California Highway Patrol (CHP) for costs associated with traffic control related services provided by the CHP Temecula Area office. Traffic control services shall be provided for the reconstruction of 1-215 between Murrieta Hot Springs Road and Scott Road, in the city of Murrieta, as well as for the reconstruction of the SR-74 (4t St.) interchange at I-215. See attached Project Plans for more detailed description of reconstruction route (Attachment I). 2. The services shall be provided during: The hours of duty performed by CHP officer(s) under this Agreement are those mutually agreed upon by CHP Contract Coordinator and County. Any changes to the proposed plan such as additional hours, dates, and sites for traffic control can be requested and/or on an "as needed" basis and must be mutually agreed upon by the local CHP command and County. 3. The project representatives during the term of this agreement will be: STATE AGENCY Department of California Highway Patrol NAME Officer Dan England TELEPHONE NUMBER (951)506-2000 Direct all inquiries to : FAX NUMBER (951)506-2002 CONTRACTOR Riverside County Transportation Commission NAME Lisa DaSilva TELEPHONE NUMBER (951)787-7141 EMAIL: Idasilva@rctc.org STATE AGENCY Department of California Highway Patrol CONTRACTOR Riverside County Transportation Commission SECTION/UNIT - Business Services Section/Contract Services Unit SECTION/UNIT ATTENTION Melissa Hall ATTENTION Lisa DaSilva, Capital Projects Program Manager ADDRESS P.O. Box 942898, Sacramento, CA 94298-0001 ADDRESS 4080 Lemon St., 3rd Floor Annex, Riverside, CA 92501 TELEPHONE NUMBER (916)843-3611 EMAIL: mehall(cilchp.ca.gov TELEPHONE NUMBER (951)787-7141 EMAIL: Idasilva@rctc.org 159 EXHIBIT A SCOPE OF WORK (Continued) 5. Detailed description of work to be performed: Riverside County Transportation Commission CHP Agreement # 9R685000 Exhibit A page 2 of 2 • A. CHP Temecula Area office shall provide CHP officers) with vehicles and coordinate all traffic control. Should the CHP Temecula Area be unable to fill the necessary staffing for each event, the shortage of CHP Officers will be utilized from out - of -Area uniformed personnel. B. The traffic control service to be performed by CHP officer(s) under this Agreement, including the standards of performance, discipline and control thereof, shall be the responsibility of CHP. C. It is understood by County that billing of CHP officers) time shall be from portal to portal (CHP Area office to the service location and return to CHP Area office) except as specified in Item D. D. If the CHP officer(s) has reported to the assigned location and has worked less than four (4) hours, County agrees to pay every assigned CHP officers) a minimum of four (4) hours overtime. Exception: This does not apply to those cases when the hours worked is part of an extended shift. If the CHP officers) reports) to the assigned service location and if for any reason CHP reassigns the officer(s) away from the service location, County will be billed only for the officers) actual time incurred from the CHP Area office to the service location and for the time spent at the assigned service location covered under this Agreement. E. CANCELLATION County shall not be charged for service cancellations made more than 24 hours prior to the scheduled assignment. 1. County agrees that if service cancellation is made within 24 hours prior to the scheduled assignment and the assigned CHP officer(s) cannot be notified of such service cancellation, a minimum of four (4) hours overtime shall be charged for each assigned CHP officer. 2. County agrees that if service cancellation is made within 24 hours prior to the scheduled assignment and CHP officer(s) is notified of such service cancellation, County shall only be charged a short notice service cancellation fee of $50.00 per assigned CHP officer(s). 3. All service cancellation notices to CHP must be made during normal CHP business hours of 8:00 a.m. to 5:00 p.m., Monday through Friday, excluding state holidays. 4. The CHP agrees to make reasonable efforts to notify the assigned CHP officer(s) of the service cancellation. • 160 EXHIBIT B BUDGET DETAIL AND PAYMENT PROVISIONS 1. Invoicing and Payment Riverside County Transportation Commission CHP Agreement # 9R685000 Exhibit B page 1 of 1 A. The CHP shall provide County with an itemized invoice which details all CHP costs for traffic control services under this Agreement. Monthly itemized invoices will be submitted in duplicate to: Riverside County Transportation Commission 4080 Lemon Street, 3`d Floor Annex Riverside, CA 92501 County agrees to pay CHP within thirty (30) days after the date of the invoice. B. This Agreement reflects the following estimates of hourly usages and anticipated mileage for the Traffic Control Services to be provided Officer Hours: Patrol car mileage: 3,520 hours 11,000 miles C. In consideration for the traffic control services contained herein, County agrees to reimburse the CHP upon receipt of an itemized invoice. County agrees to reimburse the CHP for the actual costs incurred at the time services are provided. The rates indicated in this agreement are for estimate purposes only. It is understood by both parties that rate increases in salary and benefits are governed by collective bargaining agreements and/or statute and that no advance written notification is necessary prior to implementing the increased rates. In the event CHP is granted a rate increase, County agrees to pay the increased rate. The following information are the CHP officer and sergeant overtime rates effective Fiscal Year 09/10, until superseded: CLASSIFICATION OVERTIME RATE CHP Officer CHP Sergeant M/C Officer M/C Sergeant CHP Automobile CHP Motorcycle $79.15 per hour $96.22 per hour $81.88 per hour $99.55 per hour $0.67 per mile $0.85 per mile 161 EXHIBIT D SPECIAL TERMS AND CONDITIONS Riverside County Transportation Commission CHP Agreement # 9R685000 Exhibit D page 1 of 1 I. The CHP and County agree this Agreement may be canceled by either party with thirty (30) days advance written notice. 2. In the event of an emergency, this Agreement may be canceled by either party without prior notice. 3. The CHP and County, agree that this Agreement may be amended by written mutual consent of the parties hereto. 4. Unforeseen events may require CHP officer(s) to expend hours in excess of the original estimate. Any costs in excess of the original estimated amount will be processed by appropriate amendment to the Agreement, to reflect the actual costs incurred. 5. Additional charges may be assessed for CHP supplies, additional equipment utilized, damage to property repaired or replaced at state expense, which are directly related to the services provided herein, but only to the extent such supplies or additional equipment are specifically requested in writing by County or such need for repair or replacement of property arises directly from County gross misconduct or willful negligence with respect to the property. 6. Gifts, donations, or gratuities may not be accepted by CHP employees in their own behalf or in behalf of the Department, informal squad club, or other local funds. 7. Any dispute concerning a question of fact arising under the terms of this agreement which is not disposed within a reasonable period of time (ten days) by the parties normally responsible for the administration of this contract shall be brought to the attention of the Administrative Services Officer (or designated representative) of each organization for joint resolution 8. County agrees that the awarding department, the Department of General Services, the Bureau of State Audits, or their designated representative shall have the right to review and to copy and records and supporting documentation pertaining to the performance of this Agreement. County agrees to maintain such records for possible audit for a minimum of three (3) years after final payment, unless a longer period of records retention is stipulated. County agrees to allow the auditor(s) access to such records during no business hours and to allow interviews of any employees who might reasonably have information related to such records. F County agrees to include a similar right of the State to audit records and interview staff in any subcontract related to performance of this Agreement. (Gov. Code §8546.7, Pub. Contract Code §10115 et CCR Title 2, Section 1896). 9. Any dispute conceming a question of fact arising under the terms of this agreement which is not disposed within a reasonable period of time (ten days) by the parties normally responsible for the administration of this contract shall be brought to the attention of the Administrative Services Officer (or designated representative) of each organization for joint resolution 10. The County agrees to indemnify, defend and save harmless the state, its officers, agents and employees from any and all claims and losses accruing or resulting to any and all contractors, subcontractors, suppliers, laborers, and any other person, firm or corporation furnishing or supplying work services, materials, or supplies in connection with the performance of this Agreement, and from any and all claims and losses accruing or resulting to any person, firm or corporation who may be injured or damaged by County in the performance of this Agreement. 11. The County agrees to provide CHP with a resolution, motion, order or ordinance of the goveming body, which authorizes execution of this Agreement, and indicates the individual who is authorized to sign the Agreement on behalf of County. 162 " A G E N D A I T E M 8 H " " " " " R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N . D A T E : J u l y 1 4 , 2 0 1 0 T O : R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n F R O M : B u d g e t a n d I m p l e m e n t a t i o n C o m m i t t e e A n d r e a Z u r e i c k , S e n i o r S t a f f A n a l y s t S h i r l e y M e d i n a , P r o g r a m m i n g a n d P l a n n i n g M a n a g e r T H R O U G H : A n n e M a y e r , E x e c u t i v e D i r e c t o r S U B J E C T : F i s c a l Y e a r s 2 0 1 1 - 1 5 M e a s u r e A F i v e - Y e a r C a p i t a l I m p r o v e m e n t P l a n s f o r L o c a l S t r e e t s a n d R o a d s B U D G E T A N D I M P L E M E N T A T I O N C O M M I T T E E A N D S T A F F R E C O M M E N D A T I O N : T h i s i t e m i s f o r t h e C o m m i s s i o n t o a p p r o v e t h e F Y s 2 0 1 1 - 1 5 M e a s u r e A F i v e - Y e a r C a p i t a l I m p r o v e m e n t P l a n s ( C I P ) f o r L o c a l S t r e e t s a n d R o a d s a s s u b m i t t e d . B A C K G R O U N D I N F O R M A T I O N : M e a s u r e A i m p o s e s s e v e r a l r e q u i r e m e n t s o n l o c a l a g e n c i e s r e q u e s t i n g t o r e c e i v e l o c a l s t r e e t s a n d r o a d s f u n d s . F i r s t , t h e C o a c h e l l a V a l l e y a n d W e s t e r n C o u n t y c i t i e s a n d t h e c o u n t y m u s t b e p a r t i c i p a t i n g i n e i t h e r t h e C o a c h e l l a V a l l e y A s s o c i a t i o n o f G o v e r n m e n t s ( C V A G ) o r W e s t e r n R i v e r s i d e C o u n c i l o f G o v e r n m e n t s ( W R C O G ) T r a n s p o r t a t i o n U n i f o r m M i t i g a t i o n F e e ( T U M F ) p r o g r a m . W e s t e r n C o u n t y a g e n c i e s m u s t a l s o p a r t i c i p a t e i n t h e M u l t i - S p e c i e s H a b i t a t C o n s e r v a t i o n P l a n m a n a g e d b y t h e W e s t e r n R i v e r s i d e C o u n t y R e g i o n a l C o n s e r v a t i o n A u t h o r i t y ( R C A ) . T h e c i t i e s o f B e a u m o n t a n d L a Q u i n t a a r e n o t T U M F p a r t i c i p a n t s , a n d C o m m i s s i o n s t a f f i s i n t h e p r o c e s s o f o b t a i n i n g c o n f i r m a t i o n f r o m C V A G , W R C O G , a n d R C A r e g a r d i n g t h e c u r r e n t p a r t i c i p a t i o n i n t h e i r p r o g r a m s . A d d i t i o n a l l y , a g e n c i e s a r e r e q u i r e d t o a n n u a l l y p r o v i d e t o t h e C o m m i s s i o n a C I P d e t a i l i n g h o w t h o s e f u n d s a r e t o b e e x p e n d e d a n d a n a n n u a l c e r t i f i c a t i o n o f m a i n t e n a n c e o f e f f o r t ( M O E ) a l o n g w i t h d o c u m e n t a t i o n s u p p o r t i n g t h e c a l c u l a t i o n . O n F e b r u a r y 8 , 2 0 1 0 , C o m m i s s i o n s t a f f . p r o v i d e d t h e l o c a l a g e n c i e s w i t h M e a s u r e A r e v e n u e p r o j e c t i o n s f o r l o c a l s t r e e t s a n d r o a d s t o a s s i s t i n p r e p a r a t i o n o f t h e r e q u i r e d C I P a n d t h e F Y 2 0 0 9 / 1 0 M O E b a s e y e a r a m o u n t s a p p r o v e d b y t h e C o m m i s s i o n o n J u l y 8 , 2 0 0 9 , t o w h i c h t h e a g e n c y w o u l d c e r t i f y t h e i r p r o g r a m s . T h e r e q u i r e d C I P , M O E c e r t i f i c a t i o n , a n d s u p p o r t i n g d o c u m e n t a t i o n h a v e b e e n r e c e i v e d f r o m a l l o f t h e l o c a l a g e n c i e s . T h e F Y 2 0 1 0 / 1 1 d i s b u r s e m e n t s a r e e x p e c t e d t o b e g i n i n S e p t e m b e r 2 0 1 0 . T h e C I P s r e c e i v e d a r e p o s t e d o n t h e C o m m i s s i o n ' s w e b s i t e a n d a r e o n f i l e a t t h e C o m m i s s i o n o f f i c e . 1 6 3 A g e n d a I t e m 8 H Attachment: FYs 201 1-15 Measure A Five -Year CIPs — Posted on Commission's • Website 164 Agenda Item 8H 89060 TT, SM City of Banning Public Works Department May 3, 2010 Theresia Trevino, Chief Financial Officer Riverside County Transportation Commission 4080 Lemon Street, 3"i Floor Riverside, CA 92502 o 4 2 y; TRANSPORTATION COWISSIti� Attention: Shirley Medina, Planning and Programming Manager Subject: Annual Maintenance of Effort and Five -Year Capital Improvement Plan for Measure "A" Dear Mrs. Medina: Enclosed, please find the Measure "A" Five -Year Capital Improvement Plan for Fiscal Years 2011-2015 as approved by the City Council during its regular meeting on April 27, 2010 along with the Maintenance of Effort Certificate Statement. Additionally, the certified Staff Report and Resolution are also included for your use. Should you have any questions or need additional information, please call Arturo Vela at (951) 922-3130. Sincerely, Kahono Oei, P.E. City Engineer Copy: Duane Burk, Director of Public Works File Enc. Measure "A" Five -Year Plan Maintenance of Effort Certification Statement Certified Staff Report and Resolution 99 E. Ramsey St. • P.O. Box 998 • Banning, CA 92220-0998 • (951) 922-3130 • Fax (951) 922-3141 X.29.01 Agency: Page: Prepared By: Phone No. Date: RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM FISCAL YEAR 2011-2015 City of Banning 1 of 5 Arturo Vela (951)922-3130 April 1, 2010 Citywide Street 1 Y2" Asphaltic Concrete (A.C.) Overlay Program YEAR 2011 STREET LOCATION — FROM / TO TOTAL COST ($1,000) MEASURE "A" FUND ($1,000) ITEM NO. 1. Sunset Avenue — Ramsey Street to Wilson Street 175 175 2. Wilson Street — Sunrise Avenue to McGovern Avenue 176 176 TOTAL 351 351 Agency: Page: Prepared By: Phone No. Date: RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM FISCAL YEAR 2011-2015 City of Banning 2of5 Arturo Vela (951) 922-3130 April 1, 2010 Citywide Street 1 %" Asphaltic Concrete (A.C.) Overlay Program ITEM NO. YEAR 2012 STREET LOCATION — FROM / TO TOTAL COST ($1,000) MEASURE "A" FUND ($1,000) 1. Monroe Street — 22"d Street to Jefferson 42 42 2. Jefferson Street — 22"d Street to Monroe Street 35 35 3. Wilson Street — McGovern Ave to Mountain Ave 160 160 4. Wesley Street — Hargrave Street to 1401 E. Wesley St 60 60 5. _ Charles Street — Hargrave Street to 1037 E. Charles St 38 38 6. 23rd Street — Lincoln Street to End 25 25 TOTAL 360 360 Agency: Page: Prepared By: Phone No. Date: RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM FISCAL YEAR 2011-2015 City of Banning 3 of 5 Arturo Vela (951)922-3130 April 1, 2010 Citywide Street 1 %:" Asphaltic Concrete (A.C.) Overlay Program ITEM NO. YEAR 2013 STREET LOCATION — FROM / TO TOTAL COST ($1,000) MEASURE "A" FUND ($1,000) 1. Ramsey Street — 4th Street to Hargrave Street 246 246 2. 41st Street — Jacinto View to Wilson Street 65 65 3. 40th Street — Jacinto View to George Street 35 35 4. George Street — 40th Street to 41st Street 25 25 TOTAL 371 371 Agency: Page: Prepared By: Phone No. Date: RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM FISCAL YEAR 2011-2015 City of Banning 4of5 Arturo Vela (951)922-3130 April 1, 2010 Citywide Street 1 %a" Asphaltic Concrete (A.C.) Overlay Program ITEM NO. YEAR 2014 STREET LOCATION — FROM / TO TOTAL COST ($1,000) 270 MEASURE "A" FUND ($1,000) 270 1. Nicolet Street — Sims Street to Sunset Avenue 2. 2" Street — Livingston Street to Williams Street 45 45 3. 3rd Street — Livingston Street to Williams Street 70 70 TOTAL 385 385 Agency: Page: Prepared By: Phone No. Date: RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM FISCAL YEAR 2011-2015 City of Banning 5 of 5 Arturo Vela (951)922-3130 April 1, 2010 Citywide Street 1 %" Asphaltic Concrete (A.C.) Overlay Program ITEM NO. YEAR 2015 STREET LOCATION - FROM/TO TOTAL COST ($1,000) MEASURE "A" FUND ($1,000) 1. Ramsey Street — 8th Street to 22" Street 300 300 2. Hargrave Street — Ramsey Street to Railroad Tracks 55 55 3. 22"d Street — Ramsey Street to Railroad Tracks 50 50 TOTAL 405 405 2011-2015 GRAND TOTAL 1,872 1,872 89178 GA/AZ/SM City of Banning Public Works Department lb L �,iV%ET11 May 24, 2010 Ms. Shirley Medina, Planning and Programming Manager Riverside County Transportation Commission 4080 Lemon St., 3`d Floor Riverside, CA 92502 Re: Measure "A" Project Status Report for Fiscal Year 2010 Dear Ms. Medina: RiVi. `511'E'_O COUNTY TRANSPORTATION COMMISSION This letter is written to provide you with an update of the approved Measure "A" streets from the 2010 Five -Year Measure "A" Capital Improvement Project list. The Specifications for the City of Banning's Project No. 2010-02 "A.C. Overlay and Pavement` RehabilitatiOn'ort Various Streets," are currently being prepared and include streets to be paved using Measure "A" funds. These streets are attached as Exhibit "A". The strg,t locatipns previously submitted to the Riverside County Transportation Commission tOi' hiscal"'Year 2010 were moved to Fiscal Year 2011 due to changes in street rehabilitation priorities. We anticipate that the project will be awarded by the City Council by August 24, 2010, and the construction of the project should therefore be completed by November, 2010. Also, as requested, I have included the Maintenance of Effort Certification Statement signed by the City Manager which now references Ordinance No. 02-001. If you need any further assistance, please contact me at (951) 922-3130. Sincerely Yours, Arturo Vela, P.E. Assistant, Civil. Engineer Copy:' Duane'Mirk;DirettorofPublicW its ' KahonoOei,<City Engineer File 99 E. Ramsey St. • 'P.O: Box 998.. Banning; CA 92220-0998 • (951) 922-3130 • Fax (951) 922-3141 EXHIBIT "A" PROJECT NO.2010-02 No. Street Locations 1-1/2" to 2-1/2" of A.C. Overlay 6" A.C. Berm 4" of A.C. over Base Grade, Compact, and Place Specified Base 1. Sunset Avenue: Ramsey Street to Wilson Street x 2. Wilson Street: Sunrise Avenue to McGovern Avenue x x x x NOTE: Asterisk in column indicates the type of street improvement to be performed. MAINTENANCE OF EFFORT CERTIFICATION STATEMENT The undersigned agrees and certifies for The City of Banning (the " Agency") that sales tax transportation funds received pursuant to Ordinance No. 02-001 of the Riverside County Transportation Commission ("Measure A") shall be used in compliance with the Commission's Maintenance of Effort base year amounts approved by the Commission at its July 8, 2009 meeting, and that the Agency shall not use such funds to replace discretionary local funds previously expended by the Agency for local transportation purposes. The Agency hereby acknowledges that the failure of the Agency to continue such local expenditure shall result in a reduction or loss of Measure A funds. Dated: 05 — � , 2010 CITY MANAGER ATTTEESyT:J /d SECRETARY V_HiA(kit June 10, 2010 235 north Broadway / Blythe, California 92225 Phone (760) 922-6161 / Fax (760) 922-4938 Riverside County Transportation Commission Attn: Theresia Trevino, Chief Financial Officer 4080 Lemon Street, Third Floor Riverside, CA 92501 Dear Ms. Trevino: Enclosed is the City of Blythe's Measure "A" Five Year Capital Improvement Plan for Local Streets and Roads. This item is included in the 2010/11 Comprehensive Annual Operating and Capital Budget which is scheduled to be presented to the Blythe City Council for adoption at its regularly scheduled meeting of June 22, 2010. Please present this material to your commission in the City's behalf. If you should have any questions, please direct them to Mr. Jim Rodkey, Public Works Director at (760) 922-6161, extension 240. a L 4 /1),,,t7 Helen Colbert Director of Finance xc: David Lane, City Manager Jim Rodkey, Public Works Director Measure "A" Project File CITY OF BLYTHE MEASURE "A" PROJECT STATUS REPORT PROJECT Hobsonway Reconstruction Wheel Chair/ADA Curb Ramps Alleyway Improvements Asphalt/Base Materials Fog & Chip Seal Sidewalk & Street Improvements Combined Streets Project Traffic Signals Rehabilitation Hobsonway Reconstruction Grind & Overlay Project DESCRIPTION Engineering/Construction (Phase 2) Completed 77% Completed/Install ADA Ramps On going Annual Improvements Annual Stock pile for Street Improvements Street Improvements on Various City Streets City Sidewalk Improvements Annual Street Improvements Rehabilitation/Traffic Signals Annual Rehab Completed Engineering/Construction (Phase 3) Engineering Complete Grind and Overlay various city streets EXP. COMP. 2009/10 1998/15 2009/15 2009/15 2009/15 2010/11 2009/15 2009/10 2009/ 11 2010/11 CITY OF BLYTHE MAINTENANCE OF EFFORT CALCULATION MEASURE "A" 2009/10 2010 Current year local discretionary expenditures $ 662,644 Less: Base Year Excess if current year expenditures over Base Year Excess local expenditures at beginning of year Excess local expenditures at end of year (475,677) 186,967 4,709,504 $4,896,471 MAINTENANCE OF EFFORT CERTIFICATION STATEMENT The undersigned hereby agrees and certifies for the City of Blythe (the "Agency") that sales tax transportation funds received pursuant to Ordinance No. 02-001 of the Riverside County Transportation Commission ("Measure A°) shall be used in compliance with the Commission's Maintenance of Effort base year amounts approved by the Commission at its July 8, 2009 meeting, and that the Agency shall not use such funds to replace discretionary local funds previously expended by the Agency for local transportation purposes. The Agency hereby acknowledges that the failure of the Agency to continue such local expenditure shall result in a reduction of loss of Measure A funds. Dated: June 10, 2010 Jig" Rodkey blic Wo`Director ATTEST: tvv-. `. Mallory Butterfield City Clerk RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE '"A" LOCAL FUNDS PROGRAM FISCAL YEAR 2011 Agency: City of Blythe Prepared By. Helen Colbert Phone No.: (760) 922-6161 Date: June 10, 2010 Page 1 of 5 ITEM NO. PROJECT NAME/LIMITS PROJECT TYPE TOTAL COST ($000'S) MEASURE "A" FUNDS ($000'S) 1 2010/11 Traffic Signals/Rehabilitation $65 $65 2 2010/11 Administrative Overhead $100 $100 3 2010/11 Sidewalk Improvements $50 $50 4 1998/15 Wheelchair Ramps (ADA) (50,000/yr) $1,000 $50 5 6 7 8 9 2010/11 Asphalt Emulsion Oil/Base Material (Annual Stock) 2010/11 Combined Streets Annual Improvement Project 2004/15 Hobsonway/CVAG Loan Payment (Phase 1) 2010/11 Hobsonway Design & Reconstruction (Phase 3) 2010/11 Alleyway Improvements/Annual Improvements $175 $150 $2,400 $1,000 $50 $175 $150 $250 $1,000 $50 10 11 2009/15 Lovekin/Chanslorway Loan Advance Payment 2010/11 Grind and Overlay/City Streets 12 2010M 2 Fog, Chip, and Slurry Seal $2,400 $1,226 $100 $240 $1,226 $100 $3,456 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE"A LOCAL FUNDS PROGRAM FISCAL YEAR 2012 Agency: City of Blythe Prepared By; Helen Colbert Phone No.: (760) 922-6161 Date: June 10, 2010 Page 2 of 5 ITEM NO, PROJECT NAME/LIMITS PROJECT TYPE TOTAL COST ($000'S) MEASURE "A" !FUNDS ($000'S) 1 2 3 1998/15 Wheelchair Ramps (ADA) (50,0001yr) 2011/12 Alleyway Improvements/Annual Improvements 2011/12 Fog, Chip & Slurry Seal $1,000 $100 $100 $50 $100 $100 4 5 6 7 8 9 10 2004/15 Hobsonway/CVAG Loan Payment (Phase 1) 2012/14 Hobsonway Reconstruction (Phase 4) 2011/12 Administrative Overhead 2011/15 Asphalt Emulsion OII/Base Material (Annual Stock) 2009/15 Lovekin/Chanslorway Loan Advance Payment 2011/12 Traffic Signal Rehabilitation 2011/12 Combined Streets Annual Improvement Project $2,400 $2,000 $100 $175 $2,400 $65 $150 $250 $2,000 $100 $175 $240 $65 $150 $3,230 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A LOCAL; FUNDS PROGRAM FISCAL YEAR 2013 Agency: Prepared By: Phone No.: Date: City of Blythe Helen Colbert (760) 922-6161 June 10, 2010 Page 3 of 5 ITEM NO. PROJECT NAME/LIMITS PROJECT TYPE TOTAL COST ($000'S) MEASURE "A" FUNDS ($000'S) 1 1998/15 Wheelchair Ramps (ADA) (50,000/yr) $1,000 $50 2 2012/13 Alleyway Improvements/Annual Improvements $100 $100 3 4 5 6 7 8 9 2012/13 Asphalt Emulsion Oil/Base Material (Annual Stock) 2012/13 Combined Streets Annual Improvement Project 2012/13 Administrative Overhead 2004/15 Hobsonway/CVAG Loan Payment (Phase 1) 2012/14 Hobsonway Reconstruction (Phase 4) 2009/15 Lovekin/Chanslorway Loan Advance Payment 2012/13 Traffic Signal Rehabilitation $175 $100 $100 $2,400 $2,000 $2,400 $75 $175 $100 $100 $250 $2,000 $240 $75 $3,090 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM. FISCAL YEAR 2014. Agency: City of Blythe Prepared By: Helen Colbert Phone No.. (760) 922-6161 Date: June 10, 2010 Page 4 of 5 ITEM NO. PROJECT NAME/LIMITS PROJECT TYPE TOTAL COST ($000'S) MEASURE "A" FUNDS ($000'S) 1998/15 Wheelchair Ramps (ADA) (50,000/yr) $1,000 $50 2 3 4 5 6 T 8 2004/15 Hobsonway/CVAG Loan Payment (Phase 1) 2012/14 Hobsonway Reconstruction (Phase 4) 2013I14 Alleyway Improvements/Annual Improvements 2013/14 Asphalt Emulsion Oil/Base Material (Annual Stock) 2013/14 Combined Streets Annual Improvement Project 2013I14 Administrative Overhead 2009/15 Lovekin/Chanslorway Loan Advance Payment $2,400 $2,000 $100 $175 $100 $100 $2,400 $250 $2,000 $100 $175 $100 $100 $240 $3,015 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM FISCAL YEAR 2015 Agency: Prepared By: Phone No.: Date: City of Blythe Helen Colbert (760) 922-6161 June 10, 2010 Page 5 of 5 ITEM NO. PROJECT NAME/LIMITS PROJECT TYPE TOTAL COST ($000'S) MEASURE '"A" FUNDS ($000'S) 1 2 2004/15 Hobsonway/CVAG Loan Payment (Phase 1) 2014/15 Alleyway Improvements/Annual improvements $2,400 $100 $250 $100 3 4 5 6 7 2014/15 Asphalt Emulsion Oil/Base Material (Annual Stock) 2014/15 Combined Streets Annual Improvement Project 2014/15 Administrative Overhead 2014/15 Lovekin/Chanslorway Loan Advance Payment 2014/15 Fog, Chip and Slurry Seal $175 $150 $100 $2,400 $200 $175 $150 $100 $240 $200 $1,215 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM FISCAL YEAR 2011 - 2015 11111111111.1.11.11111111111.10111.1.1.11.. 111111111111111111111 1.1.1 11111.1111111. MIN11111111 1111111111111 1.1111111111111 1111111111111111111111111111111111111111111111.1111111 MI1111111111111111 2°11 Ell 11111111111 2°12 Ill. 1111111111 11111 2°13 1111.11 1.1111. 2°14 11111111111111 11111111 2°15 1111111111 GRAND TOTAL: TOTAL PER YR 3,456,000 3,230,000 3,090,000 3,015,000 1,215,000 14,006,000 Riverside County Transportation Commission Measure A Local Funds Program FY 2010 to 2011 Agency: City of Calimesa Page __1__of __1__: Prepared by: Carlos Zamano Phone Number: (909) 795-9804 Date: May 28, 2010 Item No. Project Names/ Limits Project Type Total Costs Measure A Funds 1 Various streets city wide Street overlay, slurry seal, & reconstruction projects on an annual basis—Prop 1B Funding $440,000 $44,000 2 Pavement reconstruction on Avenue “L” between Fourth Street and Calimesa Boulevard Rehabilitate Pavement on Avenue “L” after the completion of the storm drainage project—STP local monies $82,000 $14,000 3 Calimesa Boulevard Landscape Project from Avenue “L” to Sandalwood Avenue Landscape Calimesa Boulevard with additional planters, trees, decorative lighting, and gazebo shades as required---Transportation Enhancement Grant $385,000 $33,000 4 Calimesa Boulevard and County Line Road Intersection improvements, west to the Interstate 10 Freeway Work with pre-planning conceptual design, water agency legal requirements, etc. prior to widening intersection of County Line Road and Calimesa Boulevard, re-establish potable water well— DEMOSTL grant monies $65,000 $65,000 5 Third Street Pedestrian Enhancement Project from County Line Road to Avenue “L” (Project is scheduled to go to bid on July 13, 2010) Construct sidewalk and related incidental storm drainage facilities to facilitate to-and-from school pedestrian safety--- TCSPPP-CALTRANS grant $1,106,000 $235,000 6 Desert Lawn Drive and Cherry Valley Boulevard Widening Work with pre-planning and/or pre-design conceptual work for additional street widening and safety construction, involving new paving, right- of-way, curbs, gutters, sidewalks, signals, etc. $3,375,000 $75,000 Riverside County Transportation Commission Measure A Local Funds Program FY 2011 to 2012 Agency: City of Calimesa Page __1__of __1__: Prepared by: Carlos Zamano Phone Number: (909) 795-9804 Date: May 28, 2010 Item No. Project Names/ Limits Project Type Total Costs Measure A Funds 1 Various streets city wide Street overlay, slurry seal, & reconstruction projects on an annual basis— $43,000 $34,000 2 Pavement reconstruction on Avenue “L” between Fourth Street and Calimesa Boulevard Observe rehabilitated pavement on Avenue “L” after the completion of the storm drainage project— STP local monies $65,000 $15,000 3 Calimesa Boulevard Landscape Project from Avenue “L” to Sandalwood Avenue Re-slurry or fog-seal street, maintain all electrically decorated trees and gazebo shades as required $65,000 $31,000 4 Calimesa Boulevard and County Line Road Intersection improvements, west to the Interstate 10 Freeway Acquire right-of-way to widen intersection of County Line Road and Calimesa Boulevard, acquire new lot on which to re-establish a potable water well—DEMOSTL grant monies $1,791,000 $690,000 5 Third Street Pedestrian Enhancement Project from County Line Road to Avenue “L” (Project should be completed by November 1, 2010) Observe sidewalk and related incidental storm drainage facilities for settlement and/or cracking issues. $8,000 $5,000 6 Desert Lawn Drive and Cherry Valley Boulevard Widening Start street widening and safety construction, involving new paving, right- of-way, curbs, gutters, sidewalks, signals, and signage, etc. $3,000,000 $599,000 Riverside County Transportation Commission Measure A Local Funds Program FY 2012 to 2013 Agency: City of Calimesa Page __1__of __1__: Prepared by: Carlos Zamano Phone Number: (909) 795-9804 Date: May 28, 2010 Item No. Project Names/ Limits Project Type Total Costs Measure A Funds 1 Various streets city wide Slurry seal, & reconstruction projects. If decided upon, use eco-friendly rubberized asphalt on future projects. $65,000 $40,000 2 Pavement reconstruction on Avenue “L” between Fourth Street and Calimesa Boulevard Fog seal rehabilitated pavement on Avenue “L” after the completion of the storm drainage project $42,000 $20,000 3 Calimesa Boulevard Landscape Project from Avenue “L” to Sandalwood Avenue Observe and note deficiencies in the landscaping and lighting on Calimesa Boulevard. Remove graffiti as req’d. $13,000 $8,000 4 Calimesa Boulevard and County Line Road Intersection improvements, west to the Interstate 10 Freeway Widen intersection of County Line Road and Calimesa Boulevard, re- establish potable water well—DEMOSTL grant monies $426,000 $26,000 5 Third Street Pedestrian Enhancement Project from County Line Road to Avenue “L” Fog seal paving and repair incidental damage/wear on sidewalks and related storm drainage facilities. Remove graffiti as required. $55,000 $40,000 6 Desert Lawn Drive and Cherry Valley Boulevard Widening Complete additional street widening and safety construction, involving new paving, right-of-way, curbs, gutters, sidewalks, signals, and signage $300,000 $30,000 Riverside County Transportation Commission Measure A Local Funds Program FY 2013 to 2014 Agency: City of Calimesa Page __1__of __1__: Prepared by: Carlos Zamano Phone Number: (909) 795-9804 Date: May 28, 2010 Item No. Project Names/ Limits Project Type Total Costs Measure A Funds 1 Various streets city wide Street overlay, slurry seal, & reconstruction projects on an annual basis. Study construction needed to improve traffic flows. $152,000 $112,000 2 Pavement reconstruction on Avenue “L” between Fourth Street and Calimesa Boulevard Observe previous pavement protection measures on Avenue “L” after the completion of the storm drainage project. $10,000 $5,000 3 Calimesa Boulevard Landscape Project from Avenue “L” to Sandalwood Avenue Observation and graffiti removal on landscaping, lighting, and gazebos on Calimesa Boulevard $155,000 $15,000 4 Calimesa Boulevard and County Line Road Intersection improvements, west to the Interstate 10 Freeway Slurry seal intersection of County Line Road and Calimesa Boulevard. Re- stripe as req’d. DEMOSTL grant monies $190,000 $90,000 5 Third Street Pedestrian Enhancement Project from County Line Road to Avenue “L” Fog seal paving work along Third Street. Remove graffiti and repair incidental vandalism, etc. $42,000 $20,000 6 Desert Lawn Drive and Cherry Valley Boulevard Widening Observe and re-stripe paving as required. Re-time traffic signals as required to enhance traffic flow and reduce pollution $55,000 $25,000 Riverside County Transportation Commission Measure A Local Funds Program FY 2014 to 2015 Agency: City of Calimesa Page __1__of __1__: Prepared by: Carlos Zamano Phone Number: (909) 795-9804 Date: May 28, 2010 Item No. Project Names/ Limits Project Type Total Costs Measure A Funds 1 Various streets city wide Street overlay, slurry seal, & reconstruction projects on an annual basis—Prop 1B Funding $100,000 $44,000 2 Pavement reconstruction on Avenue “L” between Fourth Street and Calimesa Boulevard Observe durability of rubberized asphalt slurry seal Avenue “L” after the completion of the storm drainage project $55,000 $25,000 3 Calimesa Boulevard Landscape Project from Avenue “L” to Sandalwood Avenue Re-slurry seal and re-stripe Calimesa Boulevard. Repair planter irrigation and lighting systems as required. $75,000 $50,000 4 Calimesa Boulevard and County Line Road Intersection improvements, west to the Interstate 10 Freeway Test and review durability of rubberized asphalt. Remove graffiti and repair vandalism at intersection of County Line Road and Calimesa Boulevard. $100,000 $45,000 5 Third Street Pedestrian Enhancement Project from County Line Road to Avenue “L” Chip seal paving on Third Street to protect original street surface. $145,000 $45,00 6 Desert Lawn Drive and Cherry Valley Boulevard Widening Chip seal new paving, repair signage and striping as required. Remove graffiti as required. $275,000 $75,000 908 Park Avenue Calimesa, California 92320 ● (909) 795-9801 City Of Calimesa Project Progress Report Calimesa City Street Maintenance Program May 28, 2010 The City of Calimesa has an aggressive and on-going pavement management and protection program. The City of Calimesa is unique in that the City is small enough so the Public Works Director can personally inspect the streets and the related streetscape “furniture” for decay and faults. Due to the personalized nature of this inspection, it is currently not possible to list exactly what streets will be scheduled for fog seal, slurry seal, or chip seal in any given fiscal year. However, it is possible to say that the streets in the best condition in any given fiscal year will be given the attention needed to keep them as the “best streets” while the streets that need reconstruction will be reconstructed as the larger budget allows. Pavement Reconstruction on Avenue “L” between Fourth Street and Calimesa Boulevard May 28, 2010 This project is currently on “hold” until the Riverside County Flood Control and Water Conservation District completes a major addition to their pipeline system under Avenue “L”. It is anticipated that the initial pavement reconstruction will begin late in Fiscal Year 2010/2011. This will not be an ongoing project once the asphalt overlay is completed. However, based on current civil engineering pavement management theories, this reconstruction will receive aggressive pavement maintenance to ensure its longevity. Calimesa Boulevard Landscape Project Status Report Calimesa Boulevard from Avenue “L” to Sandalwood May 28, 2010 This project is currently in the design stage, with an expanded study on the possibility of piping/covering Calimesa Creek. The study is checking the feasibility of converting the old Calimesa Creek alignment into an avian preserve and/or a xeriscape demonstration garden for local native specie exhibits. The current environmental review is moving smoothly with no anticipated delays. The local businesses are hopeful this project will go out to bid soon with the actual 908 Park Avenue Calimesa, California 92320 ● (909) 795-9801 construction beginning late in the 2009/2010 Fiscal Year. Completion will occur in Fiscal Year 2011/2012. County Line Road/Calimesa Boulevard Intersection Improvement Project Status Report May 28, 2010 The County Line Road/Calimesa Boulevard Improvement is very much a needed project within the City; however, it is also a project that is fraught with problems. The are ongoing discussions internally among the City Staff about how to deal with the right-of-way acquisition issues on County Line Road, construction near a “blue line” stream, and the relocation of an active City well. The California Department of Fish and Game has been contacted as part of the aforementioned study on the feasibility of piping/covering Calimesa Creek. This project will not start before late in Fiscal Year 2011/2012. The street improvement portion of the project itself is not expected to take longer than six months to complete. The bridge (culvert) widening on Calimesa Boulevard will be done concurrently with County Line Road Street improvements but this aspect of the construction may take longer than six months to complete. The relocation and drilling of the replacement well will undoubtedly be done independently of the street and bridge improvement work on an unknown time frame dictated by the local water agency. (Currently, CALTRANS is reinforcing the Interstate 10 overcrossing at County Line Road; this work will benefit our road widening project.) Third Street Pedestrian Enhancement, Segment 1 May 28, 2010 The plans and the specifications for the Third Street Pedestrian Enhancement Project have been completed and are ready for bid advertisement. Currently CALTRANS is reviewing the plans, the specifications, and the contract documents as part of their Request for Authorization for Construction (RFA— Construction) process. The City of Calimesa anticipates this project will be completed by November 1, 2010. Most of the right-of-entry permits necessary for some on the construction have been re-verified as valid (e.g., the same property owner) with verification of the remaining few outstanding unverified right-of-entry permits being actively pursued. CALTRANS has approved the various phases of the environmental documents. 908 Park Avenue Calimesa, California 92320 ● (909) 795-9801 Cherry Valley Boulevard/Desert Lawn Drive Improvements May 28, 2010 With the unprecedented collapse of subdivision financing in 2008, the City of Calimesa is currently studying and discussing how best to widen and improve the existing streets south of Interstate 10 to facilitate an approved commercial development that has been delayed due to financial reasons. Even though the development can be served with the existing streets, the traffic generation potential of this development will warrant a “fast track” approach to completing the project when the various studies are completed. MAINTENANCE OF EFFORT CERTIFICATION STATEMENT (--1 IThe undersigned agrees and certifies for � kl d�t' i �cia.)l\i\rY (-1(the "Agency") that sales tax transportation funds received pursuant to Ordinance No. 02-001 of the Riverside County Transportation Commission ("Measure A") shall be used in compliance with the Commission's Maintenance of Effort base year amounts approved by the Commission at its July 8, 2009 meeting, and that the Agency shall not use such funds to replace discretionary local funds previously expended by the Agency for local transportation purposes. The Agency hereby acknowledges that the failure of the Agency to continue such local expenditure shall result in a reduction or loss of Measure A funds. Dated: , Ovve, A' , 201 O CITY MANAGE ATITEST: s - - SECRETARY RIVERSIDE COUNTY TRANSPORTATION COMMISSIONMEASURE "A" LOCAL STREETS AND ROADS PROGRAMFY 2011 - 2015Agency: City of Canyon LakePage 1 of 1Prepared by: Habib MotlaghPhone #:(951) 943-6504Date: 2/24/2010ItemTotal Cost Measure ANo.Project Name / Limits Project Type($000's)Funds ($000's)1 Rehabilitation and Widening of Pavement Replacement, Widening, 6,000 * 623Railroad Canyon Road Signal Modification, Striping, UtilityRelocation, Median Improvements*City may request advane of Fundsto deliver the project in FY 2010/11 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE “A” LOCAL FUNDS PROGRAM FY 2010-11 Agency: City of Cathedral City Page 1 of 1 Prepared by: Sheila McGrath-Hibdon, Engineering Financial Analyst Phone #: (760) 770-0319 Date: June 21, 2010 Project Name / Limits Total Cost Item No. Capital Projects Project Type ($000’s) Measure A ($000’s) 1 Public Works Department & Parks Maintenance City wide maintenance operations including parking, median maintenance and street light energy. 2,172.6 1,021.1 2 Engineering & Planning Departments Transportation and traffic related planning and development activities as well as highway design and related engineering activities. 1,983.0 356.9 3 Risk Management Traffic related claims management. 2,322.6 46.7 4 Traffic Signal Maintenance (on-going maintenance agreement) Maintenance of traffic signal system. 600.1 120.0 5 Capital Improvement Projects (on-going and proposed projects) Various Traffic / transportation related projects. 9,059.9 881.3 $ 16,148.2 $ 2,426.0 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE “A” LOCAL FUNDS PROGRAM FY 2011-12 Agency: City of Cathedral City Page 1 of 1 Prepared by: Sheila McGrath-Hibdon, Engineering Financial Analyst Phone #: (760) 770-0319 Date: June 21, 2010 Project Name / Limits Total Cost Item No. Capital Projects Project Type ($000’s) Measure A ($000’s) 1 Public Works Department & Parks Maintenance City wide maintenance operations including parking, median maintenance and street light energy. 2,237.7 1,051.8 2 Engineering & Planning Departments Transportation and traffic related planning and development activities as well as highway design and related engineering activities. 2,042.6 367.7 3 Risk Management Traffic related claims management. 2,402.6 48.1 4 Traffic Signal Maintenance (on-going maintenance agreement) Maintenance of traffic signal system. 618.0 123.6 5 Capital Improvement Projects (on-going and proposed projects) Various Traffic / transportation related projects. 6,366.9 415.5 $ 13,637.9 $ 2,006.5 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE “A” LOCAL FUNDS PROGRAM FY 2012-13 Agency: City of Cathedral City Page 1 of 1 Prepared by: Sheila McGrath-Hibdon, Engineering Financial Analyst Phone #: (760) 770-0319 Date: June 21, 2010 Project Name / Limits Total Cost Item No. Capital Projects Project Type ($000’s) Measure A ($000’s) 1 Public Works Department & Parks Maintenance City wide maintenance operations including parking, median maintenance and street light energy. 2,304.9 1,083.3 2 Engineering & Planning Departments Transportation and traffic related planning and development activities as well as highway design and related engineering activities. 2,103.9 378.7 3 Risk Management Traffic related claims management. 2,474.7 49.5 4 Traffic Signal Maintenance (on-going maintenance agreement) Maintenance of traffic signal system. 636.6 127.3 5 Capital Improvement Projects (on-going and proposed projects) Various Traffic / transportation related projects. 18,964.2 25.1 $ 26,484.3 $ 1,664.0 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE “A” LOCAL FUNDS PROGRAM FY 2013-14 Agency: City of Cathedral City Page 1 of 1 Prepared by: Sheila McGrath-Hibdon, Engineering Financial Analyst Phone #: (760) 770-0319 Date: June 21, 2010 Project Name / Limits Total Cost Item No. Capital Projects Project Type ($000’s) Measure A ($000’s) 1 Public Works Department & Parks Maintenance City wide maintenance operations including parking, median maintenance and street light energy. 2,374.0 1,115.8 2 Engineering & Planning Departments Transportation and traffic related planning and development activities as well as highway design and related engineering activities. 2,167.0 390.0 3 Risk Management Traffic related claims management. 2,499.5 50.0 4 Traffic Signal Maintenance (on-going maintenance agreement) Maintenance of traffic signal system. 643.0 128.6 5 Capital Improvement Projects (on-going and proposed projects) Various Traffic / transportation related projects. 24,983.2 11.7 $ 32,666.7 $ 1,696.1 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE “A” LOCAL FUNDS PROGRAM FY 2014-15 Agency: City of Cathedral City Page 1 of 1 Prepared by: Sheila McGrath-Hibdon, Engineering Financial Analyst Phone #: (760) 770-0319 Date: June 21, 2010 Project Name / Limits Total Cost Item No. Capital Projects Project Type ($000’s) Measure A ($000’s) 1 Public Works Department & Parks Maintenance City wide maintenance operations including parking, median maintenance and street light energy. 2,445.2 1,149.3 2 Engineering & Planning Departments Transportation and traffic related planning and development activities as well as highway design and related engineering activities. 2,232.0 401.8 3 Risk Management Traffic related claims management. 2,524.4 50.5 4 Traffic Signal Maintenance (on-going maintenance agreement) Maintenance of traffic signal system. 649.4 130.0 5 Capital Improvement Projects (on-going and proposed projects) Various Traffic / transportation related projects. 12,226.3 11.7 $ 20,077.4 $ 1,743.1 CITY OF CATHEDRAL CITY MEASURE "A" LOCAL FUNDS PROGRAM FY2009-2010 PROJECT STATUS REPORT June 21, 2010 OPERATIONS: 156-8301 Measure A Expended to Date:88,413$ 161-xxxx Measure A Expended to Date:692,749$ CAPITAL IMPROVEMENT PROJECTS: ONGOING PROJECTS CIP No. 1002 Perez Road Pavement Rehabiliation. This project is now complete Total Project Budget:(1,505,180)$ Measure A Allocation:(282,382)$ Measure A Expended To Date:282,382$ Measure A to Carry Forward to FY 2011:-$ 1003 Total Project Budget: $ (2,525,000) Measure A Allocation:(1,226,000)$ Measure A Expended To Date:552,507$ Measure A to Carry Forward to FY 2011:(673,493)$ 1010 Total Project Budget: $ (132,986,000) Measure A Allocation:(433,334)$ Measure A Expended To Date:391,899$ Measure A to Carry Forward to FY 2011:(41,435)$ 1011 Total Proposed Project Budget: $ (344,290) Total Allocated Measure A:(50,000)$ Measure A Expended To Date:-$ Measure A to Carry Forward to FY 2011:(50,000)$ The following projects, programs and operations were listed in prior Five-Year Plans and Project Status Reports, have been added as new projects, have been cancelled or amended. All Operations and Capital Projects utilize a combination of Measure A and other funding sources. The following figures are un-audited and reflect expenditures through June 02, 2010. Traffic Signal Maintenance Annual Contract: The City has a contract with Honeywell to perform signal maintenance of its 46 traffic signals. City Public Works Department operations, including parkway and median maintenance and street lighting charges. Agua Caliente School and Dream Homes Area Curb Ramps: The project will provide for the installation of ADA barrier free access to Agua Caliente School Ramon Road Widening East of Date Palm: To widen and rehabilitate Ramon Road, east of Date Palm to the east City limits. This project will be complete during during FY 10/11. DaVall / I-10 Interchange: Construct new regional arterial improvement including: the widening of Da Vall Rd. from 2 to 6 lanes between Dinah Shore and Ramon Rd., widening from 2 to 6 lanes from Ramon Rd to McCallum Way, widening from 2 to 6 lanes from McCallum Way to Ave. 30, construct new 6-lane road Ave. 30 to I-10, and construct new 6-lane road I-10 to Varner Rd. This project is part of CVAG's Transportation Project Prioritization Study and is expected to begin construction during FY 2020 and is currently in the PID phase. An additional $91,494 in FY09 Measure A funding overages from CIP 1001, 1002, 2505, 8687, 8930 and 8941 was reallocated to this project during FY 09/10. Pg. 1 of 5 Updated 06/21/2010 Cathedral City Status Report FY 09/10 CITY OF CATHEDRAL CITY MEASURE "A" LOCAL FUNDS PROGRAM FY2009-2010 PROJECT STATUS REPORT June 21, 2010 1013 Total Proposed Project Budget: $ (239,560,000) Total Allocated Measure A:(40,000)$ Measure A Expended To Date:26,060$ Measure A to Carry Forward to FY 2011:(13,940)$ 1014 Total Proposed Project Budget: $ (176,533) Total Allocated Measure A:(22,769)$ Measure A Expended To Date:11,070$ Measure A to Carry Forward to FY 2011:(11,699)$ 1015 Total Proposed Project Budget: $ (755,328) Total Allocated Measure A:(282,328)$ Measure A Expended To Date:282,328$ Measure A to Carry Forward to FY 2011:-$ 1016 Total Proposed Project Budget: $ (1,000,000) Total Allocated Measure A:(114,700)$ Measure A Expended To Date:1,672$ Measure A to Carry Forward to FY 2011:(113,028)$ 2012 Total Project Budget: $ (42,912,064) Measure A Allocation:(50,000)$ Measure A Expended To Date:-$ Measure A to Carry Forward to FY 2011:(50,000)$ 2500 Total Proposed Project Budget: $ (476,320) Total Allocated Measure A:(238,160)$ Measure A Expended To Date:13,769$ Measure A to Carry Forward to FY 2011:(224,391)$ 2512 Total Project Budget: $ (597,000) Measure A Allocation:(50,560)$ Measure A Expended To Date:20,227$ Measure A to Carry Forward to FY 2011:(30,333)$ Edom Hill Truck Climbing Lane: Climbing lane from Varner Rd. northerly for 4,700 linear feet as required by an agreement with Riverside Integrated Waste Management Bureau (IWMB). Landau / I-10 Interchange: To prepare the Project Initiation Document and other preliminary studies and documents necessary to construct a new 6-lane mixes flow, partial cloverleaf interchange iwth auxillary lanes and 4-two lane ramps, plus a 6-lane grade separation bridge over the UPRR tracks, including the widening of Landau Blvd. between Vista Chino and Varner Road. Cove Assessment District: This is an on-going project for sanitary sewer, street and other improvements in the Cove Area of Cathedral City. The second phase of this project is expected to be completed 07/2010. Perez Road Sewers: Necessary to eliminate septic tanks in compliance with State mandate. Sanitary sewer plans are complete and shelf ready; a funding strategy is currently being developed to construct the sewer improvements. Varner Road and Date Palm Drive Shoulder Stabilization: This project is to provide PM10 soil stabilization to reduce blowsand track-out onto City streets. Ramon Road at Whitewater River Bridge Widening: Necessary to eliminate lane restriction for capacity and safety, as well as a land deficiency, and to improve the structure efficiency rating. Lead agency may be Agua Caliente Band of Cahuilla Indians (ACBCI) as an HBRR Indian Land project. Total estimated project cost is $10,000,000, of which $500,000 is Measure A funds. Anticipated timeframe to project completion is five years. Cathedral Canyon / Terrace Road: For the construction of missing sidewalks along Cathedral Canyon and Terrace Roads. Project to be completed during FY 09/10. Pg. 2 of 5 Updated 06/21/2010 Cathedral City Status Report FY 09/10 CITY OF CATHEDRAL CITY MEASURE "A" LOCAL FUNDS PROGRAM FY2009-2010 PROJECT STATUS REPORT June 21, 2010 2513 Total Project Budget: $ (198,850) Measure A Allocation:(45,425)$ Measure A Expended To Date:9,317$ Measure A to Carry Forward to FY 2011:(36,108)$ 3522 Total Project Budget: $ (590,324) Measure A Allocation:(52,266)$ Measure A Expended To Date:52,266$ Measure A to Carry Forward to FY 2011:-$ 6507 Total Project Budget: $ (48,419) Measure A Allocation:(48,419)$ Measure A Expended To Date:48,419$ Measure A to Carry Forward to FY 2011:-$ 7011 Total Project Budget: $ (1,350,000) Measure A Allocation:(30,000)$ Measure A Expended To Date:-$ Measure A to Carry Forward to FY 2011:(30,000)$ 8645 Total Project Budget: $ (81,350) Measure A Allocation:(25,000)$ Measure A Expended To Date:1,827$ Measure A to Carry Forward to FY 2011:(23,173)$ 8670 Total Project Budget: $ (21,500,000) Measure A Allocation:(50,000)$ Measure A Expended To Date:23,398$ Measure A to Carry Forward to FY 2011:(26,602)$ Whitewater Neighborhood Sidewalk Improvements: For infill sidewalks necessary to turn existing dirt, grass and native pathways within the Whitewater neighborhood between Dinah Shore Drive and Ramon Road into ADA compliant concrete sidewalks, driveway approaches and curb ramps. Whitewater Channel Bike Trail, Phas I, II & III: This project is to design and construct a Class I Bikeway along the eastside of the Whitewater Channel from Vista Chino Dr. to 30th Ave., and along both sides of 30th Ave. from the Whitewater Channel to Landau Bl. as well as along the eastside of the Whitewater Channel from 30th Ave. to Ramon Rd., and along both sides of Ramon Rd. from Whitewater Channel to Cathedral Canyon Dr. The final phase is along the eastside of the Whitewater Channel from Ramon Rd. to Dinah Shore Dr., and along both sides of Dinah Shore Dr. from the Whitewater Channel to Cathedral Canyon Dr. Date Palm Widening and Bridge Repair (N. of I-10 to Varner Rd. including Longs Creek Canyon Bridge): Project to include the widening of Date Palm, Long Canyon Creek Bridge, traffic signal at Verner Road and ROW acquisition in support of the Date Palm / I-10 Interchange project. Clean Streets Management: To provide for the on-going reduction of entrained road dust emissions as part of the City's arterial and auxiliary street maintenance and as part of the City's systematic approach in maintaining compliance with PM-10 standards. Alternative funding for FY11 has been secured and Measure funds will no longer be utilized. Other Corridor Signal Studies: A completed project to plan and/or implement traffic impact, signal timing and synchronization, traffic count, speed and other traffic related signal studies towards improving traffic flow, congestion and life expectancy to the City's arterial roadways and collector streets. Drainage Basins: On-going activities to acquire and construct retention/detention basins to prevent street flooding. Pg. 3 of 5 Updated 06/21/2010 Cathedral City Status Report FY 09/10 CITY OF CATHEDRAL CITY MEASURE "A" LOCAL FUNDS PROGRAM FY2009-2010 PROJECT STATUS REPORT June 21, 2010 8691 Total Project Budget: $ (4,942,650) Measure A Allocation:(250,000)$ Measure A Expended To Date:249,543$ Measure A to Carry Forward to FY 2011:(457)$ 8835 Total Project Budget: $ (38,006) Measure A Allocation:(17,000)$ Measure A Expended To Date:1,416$ Measure A to Carry Forward to FY 2011:(15,584)$ 8915 Total Project Budget: $ (236,683) Measure A Allocation:(97,780)$ Measure A Expended To Date:87,473$ Measure A to Carry Forward to FY 2011:(10,307)$ 8919 Total Project Budget: $ (22,118,033) Measure A Allocation:(192,933)$ Measure A Expended To Date:100,876$ Measure A to Carry Forward to FY 2011:(92,057)$ 8921 Total Project Budget: $ (8,250,525) Measure A Allocation:(80,000)$ Measure A Expended To Date:80,000$ Measure A to Carry Forward to FY 2011:-$ 8946 Total Project Budget: $ (115,600) Measure A Allocation:(115,600)$ Measure A Expended To Date:3,609$ Measure A to Carry Forward to FY 2011:(111,991)$ 8988 Total Project Budget: $ (3,551,135) Measure A Allocation:(160,000)$ Measure A Expended To Date:153,786$ Measure A to Carry Forward to FY 2011:(6,214)$ Date Palm / Varner Road Blowsand Abatement Windfences: For the installation of windfences on Date Palm Dr. from I-10 to Varner Rd. and along Varner Rd. from Date Palm Dr. northerly to the west City limits. E. Palm Canyon Bridge Widening at the West Cathedral Canyon Channel: To design and construct a widened bridge structure and approach lane to accommodate six lanes and sidewalks on the bridge. Construction of this project is expected to be completed within two years. Ramon Road West: Over the next three years this project will beautify and improve the Ramon Road corridor, increase traffic flow and reduce congestion. Ramon Road Median Islands: On-going project to construct and landscape median islands at various locations in Ramon Road. Cove Drainage: To construct storm drains in the upper and lower portions of the Cathedral City Cove area necessary to protect the Downtown core from a 100-year flood hazard. The project has 12 systems and was in two phases: Phase 1 is complete, Phase 2 is anticipated to be completed July 2010. Cathedral Canyon Bridge Whitewater Low Flow Crossing: To construct a new 4-lane bridge on Cathedral Canyon Dr. at the Whitewater River Channel to eliminate a low flow crossing. Design phase in anticipated during FY2010, ROW acquisition FY2011; construction is estimated to be completed during FY2012. ADA Compliance: For the on-going construction of access ramps and other disabled access improvements on public streets and sidewalks. Pg. 4 of 5 Updated 06/21/2010 Cathedral City Status Report FY 09/10 CITY OF CATHEDRAL CITY MEASURE "A" LOCAL FUNDS PROGRAM FY2009-2010 PROJECT STATUS REPORT June 21, 2010 CAPITAL PROJECTS PENDING COUNCIL APPROVAL: PENDING Total Proposed Project Budget: $ (132,000) Total Requested Measure A Allocation:(47,500)$ PENDING Total Proposed Project Budget: $ (750,000) Total Requested Measure A Allocation:(86,025)$ PENDING Total Proposed Project Budget: $ (15,000,000) Total Requested Measure A Allocation:(1,720,500)$ PENDING Total Proposed Project Budget: $ (1,400,000) Total Requested Measure A Allocation:(160,580)$ PENDING Total Proposed Project Budget: $ 2,700,000 Total Requested Measure A Allocation:309,690$ PENDING Total Proposed Project Budget: $ (2,300,000) Total Requested Measure A Allocation:(263,810)$ PENDING Total Proposed Project Budget: $ (600,000) Total Requested Measure A Allocation:(68,820)$ PENDING Total Proposed Project Budget: $ (250,000,000) Total Requested Measure A Allocation:(28,675,000)$ South City Improvement District: This project will provide for sewers and streets in five areas north of the Whitewater River necessary to eliminate septic systems in the south city area and is expected to take five years to complete. Varner Road Traffic Signals: This project is necessary as a requirement of an agreement with Riverside IWMB and will include signals at Date Palm, Mountain View and Edom Hill. The project is estimated to be completed in two years. I-10 Infrastructure Study: On-going study to develop long range fees needed to provide infrastructure north of I-10. Total project cost is estimated at $132,000, of which $47,500 is Measure A funds. Varner Road Widening - Palm Drive to East City Limits E. Palm Canyon Road Widening - West of Cree Road E. Palm Canyon Road Widening - West of Perez Road E. Palm Canyon Road Widening - Between Sangate and Rancho Mirage city limits Cathedral Canyon Drive Rehabilitation at Dinah Shore Drive Pg. 5 of 5 Updated 06/21/2010 Cathedral City Status Report FY 09/10 89092 TT, SM 4 1 1515 SIXTH STREET COACHELLA, CA 92236 Fax: (760) 398-8117 May 5, 2010 Ms. Shirley Medina Program Manager Riverside County Transportation Commission 3580 University Avenue, Suite 111 Riverside, California 92507 Subject: Dear Shirley, Administration 398-3502 Animal Control 398-4978 Building 398-3002 City Clerk 398-3502 City Council 398-3502 Code Enforcement 398-4978 Economic Develop. 398-3502 Engineering 398-5744 Finance 398-3502 Fire 398-8895 Capital Improvement Plan - Measure "A" Projects Fiscal Year 2010-2014 Grants 398-3502 Neighborhood Sys. 398-4978 Personnel 398-3502 Planning 398-3102 Public Works 398-5744 Recreation 398-3502 Riverside Sheriffs Office 863-8990 Sanitary 391-5008 Senior Sys. 398-0104 Utilities 398-2702 Attached is the City of Coachella's Capital Improvement Plan for Measure "A" Local Streets and Roads. Dollar amounts are rounded to the nearest thousand. Also attached is the Maintenance of Effort (MOE) certification and information as per the City's independent accounting report. If you have any questions, please feel free to contact Mark Chappell of my staff, or me. Mark can be reached at (760) 398-5744 ext. 181, and I can be reached at (760) 398-5744 ext. 134. Sincerely, Tony J. ucero, P.E. City Engineer cc: Gene Rogers , Interim City Manager Paul Toor, Director of Public Works Richard Acevedo, Interim Finance Director Mark Chappell, Senior Civil Engineer Attachments X.29.24 RIVERS/DE COUNTY TRANSPORTATION COMM/SS/ON MEASURE A LOCAL FUNDS PROGRAM FY 2010 - 2071 Agency: City of Coachella Page 1 of 1 Prepared by: T. Lucero Phone #: 760.398.5744 Date: 04/07/10 Item No. Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 1 2 3 4 Van Buren Street South of Avenue 48 Frederick Street South of Avenue 49 Dillon Road South of Avenue 44 Enterprise Way South of Avenue 52 Reconstruct Reconstruct Overlay Reconstruct $200 $180 $50 $180 $489 SUBTOTAL = $610 $489 Pre print/usersham easureA 5yrform TOTALS $610 $489 1MeasACFP.20010.11 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE A LOCAL FUNDS PROGRAM FY 2011 - 2015 Agency: City of Coachella Page 1 of 4 Prepared by: T. Lucero Phone #:760.398.5744 Date: 04107\/10 Item No. Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) FY 20011-12 1 Naomi Court From La Ponderosa to East End Reconstruct $147 $147 2 Perez Street From Naomi Ct. to La Hernandez Reconstruct $160 $160 3 Romaulda Court Perez Street to La Hernandez East End Reconstruct $25 $25 4 Ortiz Street From Perez St. to La Hernandez Reconstruct $68 $68 SUBTOTAL = $400 $400 Prep n nt/usershi/ measureA 5yrform MeasACFP.20011.12 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE A LOCAL FUNDS PROGRAM FY 2011 - 2015 Agency: City of Coachella Page 2 of 4 Prepared by: T. Lucero Phone #: 760.398.5744 Date: 04/07/10 Item No. Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) FY 20012-13 5 Avenida De Platina Reconstruct $85 $85 From Ave. 50 to Via Conchilla 6 Via Conchilla Reconstruct $42 $21 From Avenida De Plata to Avenida De Platina 7 Avenida De Oro Reconstruct $240 $240 From Ave. 50 to Guitron Street Reconstruct $168 $168 8 Avenida Cortez From Avenue 50 to Calle Leon 9 Calle Leon Reconstruct $64 $64 From Calle Vega to Avenida Cortez SUBTOTAL = $599 $578 reprint/users/ri/measureA 5yrform 1MeasACFP.20012.13 RIVERS/DE COUNTY TRANSPORTATION COMMISSION MEASURE A LOCAL FUNDS PROGRAM FY 2011 - 2015 Agency: City of Coachella Page 3 of 4 Prepared by: T. Lucero Phone #:760.398.5744 Date: 04/07/10 Item No. Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($ 000's) FY 20013-14 10 Calle Vega Reconstruct $53 $45 From Calle Leon to Paseo Laredo 11 Paseo De Laredo From Frederick to Avenida Reconstruct $88 $88 Cortez 12 Via Durango From Avenida Coez to End Reconstruct $59 $59 SUBTOTAL = $200 $192 reprint )users /n measure A5yrform \MeasACFP.20013.14 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE A LOCAL FUNDS PROGRAM FY 2011 - 2015 Agency: City of Coachella Page 4 of 4 Prepared by: T. Lucero Phone #:760.398.5744 Date: 04/07/10 Item No. Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) FY 20014-15 13 Via Hermosa From Avenida Cortez to Reconstruct $59 $59 End 14 Vera Cruz From Avenida Cortez to Reconstruct $59 $59 15 End Frederick Street Reconstruct $260 $260 From Avenue 50 to Avenue 16 49 Reconstruct $1,008 $559 Avenue 49 From Harrison to Van Buren SUBTOTAL = $1,386 $937 reps nt/usersl n I measure y orm TOTALS $2,585 $2,107 MeasACFP.20011.15 MAINTENANCE OF EFFORT CERTIFICATION STATEMENT The undersigned agrees and certifies for C ' arc cd,A ch#A-c,c.,d. (the "Agency") that sales tax transportation funds received pursuant to Ordinance No. 02-001 of the Riverside County Transportation Commission ("Measure A") shall be used in compliance with the Commission's Maintenance of Effort base year amounts approved by the Commission at its July 8, 2009 meeting, and that the Agency shall not use such funds to replace discretionary local funds previously expended by the Agency for local transportation purposes. The Agency hereby acknowledges that the failure of the Agency to continue such local expenditure shall result in a reduction or loss of Measure A funds. Dated: s��j , 2010 U:4( CITY MANAGE N:12x/ ATTEST: SECRETARY CITY OF COACHELLA, CALIFORNIA Report on Agreed -Upon Procedures Applied to the Measure A Local Streets and Roads Program Year Ended June 30, 2009 MHM Mayer Hoffman McCann R.C. An Independent CPA Firm 2301 Dupont Drive, Suite 200 Irvine, California 92612 949-474-2020 ph 949-263-5520 ix _. ..... ...... ..... _... ._.. www.mhm-pc.com Board of Commissioners Riverside County Transportation Commission Riverside, Califomia INDEPENDENT ACCOUNTANTS' REPORT ON APPLYING AGREED -UPON PROCEDURES We have performed the procedures enumerated below, which were agreed to by the Riverside County Transportation Commission (RCTC), solely to assist RCTC in determining whether the City of Coachella, Califomia (City) was in compliance with the Measure A Local Streets and Roads Program grant terms and conditions for the year ended June 30, 2009. The City's management is responsible for the accounting records. This agreed -upon procedures engagement was conducted in accordance with attestation standards established by the American Institute of Certified Public Accountants. The sufficiency of the procedures is solely the responsibility of those parties specified in the report. Consequently, we make no representation regarding the sufficiency of the procedures described below, either for the purpose for which this report has been requested or for any other purpose. The procedures performed and the results of those procedures were as follows: 1. We reviewed the 1989 Measure A (Ordinance 88-1) compliance requirements. Although the 2009 Measure A (Ordinance 02-001) is not effective until July 1, 2009, Western County jurisdictions are required to participate in the Transportation Uniform Mitigation Fee (fUMF) program, which is administered by the Westem Riverside Council of Govemments (WRCOG). Results: No exceptions were noted as a result of our procedures. 2. We obtained the City's approved Five -Year Capital Improvement Plan (C1P) from RCTC for the fiscal year ended June 30, 2009. Results: No exceptions were noted as a result of our procedures. 3. We obtained a detailed general ledger and balance sheet from the City for the fiscal year ended June 30, 2009. a. We identified the amount of Measure A cash and investments recorded at June 30, 2009. 1 L._ Board of Commissioners Riverside County Transportation Commission Riverside, Califomia Results: The City recorded Measure A cash and investments in the amount of $417,581 as of June 30, 2009. b. We identified amounts due from other funds. Results: There were no amounts due from other funds as of June 30, 2009. c. We identified reservations or designations of ending fund balance for the Measure A activity. Results: The City has recorded an unreserved Measure A fund balance of $508,398 as of June 30, 2009. d. We identified the existence of any restatement of Measure A fund balance and inquired of management as to the reason for any restatement. Results: The City has not restated Measure A fund balance. We obtained an operating statement for Measure A activity for the fiscal year ended June 30, 2009 (see Exhibit A), including budget amounts. a. We reviewed the revenues in the operating statement. i. We inquired of management as to what fund is used to record Measure A revenues received from RCTC for the fiscal year ended June 30, 2009, and documented what the total revenues were for the fiscal year. Results: The City accounts for Measure A revenue received from RCTC in its Local Transportation Fund (Fund #117). The City has recorded total revenues in the amount of $457,616 for the fiscal year ended June 30, 2009. ii. We obtained a listing of Measure A payments made from RCTC to the City. We compared the Measure A revenue recorded by the City to the listing of payments made by RCTC. Results: No exceptions were noted as a result of our procedures. iii. We determined the amount of interest allocated to the Measure A activity for the fiscal year ended June 30, 2009. Results: The City allocated interest in the amount of $11,063 to the Measure A activity for the fiscal year ended June 30, 2009. b. We reviewed the expenditures in the operating statement. 2 Board of Commissioners Riverside County Transportation Commission Riverside, California i. We inquired of management as to what fund is used to record Measure A expenditures and what the total expenditures were for the fiscal year ended June 30, 2009. Results: The City accounts for Measure A expenditures in its Local Transportation Fund (Fund #117). The City has recorded total Measure A expenditures in the amount of $503,341 for the fiscal year ended June 30, 2009. ii. We judgmentally selected at least 20% of total Measure A expenditures for testing. Results: The City recorded Measure A expenditures in the amount of $503,341. We selected $403,341 (80.13%) for testing. The expenditures consisted of transfers to other funds. 1. For the expenditures selected for testing, we compared the dollar amount recorded in the general ledger to the supporting documentation. Results: No exceptions were noted as a result of our procedures. 2. For the expenditures selected for testing, we reviewed the 5-Year CIP and noted whether the projects claimed were included in the 5-Year CIP and whether they constitute allowable costs. Results: The expenditures selected for testing were included in the 5-Year CIP and were allowable costs. No exceptions were noted as a result of our procedures. iii. We inquired of management as to the nature of any transfers recorded in the Measure A Fund. Results: The City transferred $503,341 to its Phase 6 Street Rehabilitation Project Fund, and $63,780 to Ave 50/Hwy 86 S Interchange Project. The transfer for the Phase 6 Street Rehabilitation Project Fund was included in the City's 5-year CIP. However, the Ave 50/Hwy 86 S Interchange Project transfer in the amount of $63,780 was not included in the City's 5-year CIP. This expenditure was subsequently reversed by the City. iv. We inquired of management as to the amount of indirect costs, if any, included in expenditures. Results: Per discussions with management and our review of the costs recorded in the general ledger, there were no indirect costs included in expenditures for the fiscal year ended June 30, 2009. 3 Board of Commissioners Riverside County. Transportation Commission Riverside, Califomia 5. We compared the budgeted expenditures to actual amounts and inquired of management as to the nature of significant budget variances. Results: The following schedule compares the budgeted expenditures to actual amounts. Transfers out Budget Actual Variance $506.000 $503.341 $2.659 Totals $506,000 $503,341 $2.659 The variance was due to the actual project cost being less than budgeted. 6. We obtained a listing of jurisdictionswho participate in the Westem County or Coachella Valley TUMF programs from RCTC. a. if the jurisdiction is a participant in the TUMF program, we selected at least two disbursements for validation as to the amount remitted to WRCOG or Coachella Valley Association of Govemments (CVAG), as applicable. Results: The payments selected for testing indicated that TUMF is collected and remitted to CVAG, as required. b. We noted the total amount of TUMF fees collected and remitted during the fiscal year. Results: The total amount of TUMF fees collected and remitted during the fiscal year was $194,881. 7. We obtained the maintenance of effort (MOE) base year requirement from RCTC. a. We obtained a copy of schedule 3 from the annual Street Report. Results: No exceptions were noted as a result of our procedures. b. We compared the amount of discretionary funds spent per the Street Report to the MOE base requirement. Results: No exceptions were noted as a result of our procedures. c. Using the prior year's report, we added any current year MOE excess or deducted any current year MOE deficiency to the prior year carryover. Results: MOE activity is summarized as follows: 4 Board of Commissioners Riverside County Transportation Commission Riverside, California MOE excess at July 1, 2008 $ 7.489.140 Current year local discretionary expenditures 2,708,830 Less MOE base year requirement (69,663) Excess MOE for fiscal year ended June 30, 2009 2,639,167 MOE excess at June 30, 2009 $10,128,307 We were not engaged to, and did not, conduct an audit, the objective of which would be the expression of an opinion on the accounting records. Accordingly, we do not express such an opinion. Had we performed additional procedures, other matters might have come to our attention that would have been reported to you. This report is intended solely for the information and use of the Riverside County Transportation Commission and is not intended to be and should not be used by anyone other than this specified party. Irvine, Califomia November 5, 2009 5 EXHIBIT A CITY OF COACHELLA, CALIFORNIA Summary of Revenues and Expenditures Year Ended June 30, 2009 (Unaudited) Budget Actual Variance Revenues: Measure A $ 700,000 $ 446,553 $ (253,447) Interest 5,290 11,063 5,773 Total revenues Expenditures: Transfers out Total expenditures 705,290 457,616 (247,674) 506,000 503,341 2,659 506,000 503,341 2,659 Excess (deficiency) of revenues over (under) expenditures $ 199,290 $ (45,725) $ (245,015) Note: The above numbers were taken directly from the financial records of the City of Coachella and were not audited. 89081 TT, SM (951)739-4823 (951) 279-3627 (FAX) Kip @ci.corona.ca.us April 29, 2010 OFFICE OF: PUBLIC WORKS DEPARTMENT 400 SOUTH VICENTIA AVENUE. P.O. BOX 940, CORONA, CALIFORNIA 92879-0940 CITY HALL - ON LINE ALL THE TIME (http://www.discovercorona.com) Theresia Trevino, Chief Financial Officer Riverside County Transportation Commission 4080 Lemon Street, 3rd Floor Riverside, CA 92502-2208 nnD, IJI, ECE OVER MAY 0JM n rSPOR ATION COUNTY SUBJECT: MEASURE A FIVE YEAR PLAN AND PROJECT STATUS Enclosed is the Measure A proposed FY 2010/11 through 2014/15 Capital Improvements Plan, the Maintenance of Effort (MOE) signed certification statement, the Program Status Report for current fiscal year 2009/10 and the Measure A Annual Disbursement Projects received at the City. The City's minimum Maintenance of Effort is set at $1,784,399, however, as of June 30, 2010 the City would have spent $4,299,339 from Measure A and $6,085,806 from other funds to support Measure A project expenditures. The document supporting the MOE calculations can be found attached, entitled: "Calculation of Expenditure Level for Fiscal Year 2009/10." The Measure A proposed FY 2010/11 through 2014/15 Capital Improvement Plan is scheduled for submittal and review by our City Council during the Budget Workshop to be held on June 2, 2010. Adoption of the document is scheduled for June 16, 2010. If you have any questions please contact Kim Sitton at 951-279-3532. vm Kip D. Field, P.E. Public Works Director KF/DR Attachments c: Barbara Thierjung, Assistant Finance Director Kim Sitton, Accounting Supervisor X.29.07 MAINTENANCE OF EFFORT CERTIFICATION STATEMENT The undersigned agrees and certifies for The City of Corona (the "Agency") that sales tax transportation funds received pursuant to Ordinance No. 02-001 of the Riverside County Transportation Commission ("Measure A") shall be used in compliance with the Commission's Maintenance of Effort base year amounts approved by the Commission at its July 8, 2009 meeting, and that the Agency shall not use such funds to replace discretionary local funds previously expended by the Agency for local transportation purposes. The Agency hereby acknowledges that the failure of the Agency to continue such local expenditure shall result in a reduction or loss of Measure A funds. Dated: J 3 , 2010 ATTEST: obbins, City Manager PROJECT STATUS REPORT - MEASURE A CITY OF CORONA Item No., Project Name and Description Project No. Estimated Completion FY2009-10 Appropriations Status • 1. Advanced Traffic Management System - Phase 11 6243 November 2010 $8,264 Under Construction Implement advanced traffic management system, or ATMS, at various corridors/locations as per ATMS Master Plan and anticipated Federal Highways Administration, or FHWA approved scope. 2. Arterial Widening 7081 On -going $192,011 On -going Street widening in various areas throughout the City to complete the full width of street improvements. 3. Auto Center/Santa Fe Railroad Grade Separation 7115 On -going $1,251,000 Under Design - Estimate Completion September 2010 Right-of-way - Estimate Completion November 2010 Construct a four lane grade separation bridge at intersection of Auto Center Drive with the Burlington Northern Santa Fe grade crossing. 4. Citywide GIS Master Plan 7103 On -going $48,006 On -going Acquisition of hardware and software, data conversion and applications development to expand the existing Geographic Information System, or GIS, for Citywide implementation. 5. City Wide Traffic Model Update 6184 On -going $26,131 On -going Circulation element update. 6. Cota Bridge Widening 7112 On -going $50,000 On -going Bridge widening on Cota Street by the Corporation Yard. 7. Curb, Gutter, and Sidewalk Installation/Replacement 8027 On -going $741,670 On -going Repair or replacement of curb, gutter, sidewalk, and drive approaches. Installation of missing sidewalk, curb, gutter, access ramps, bike paths, root pruning, engineering, and incidental work. 8. El Cerrito/1-15 Interim Interchange Improvements 6927 February 2009 $173,000 Complete Phase II: Reconstruct intersection and widen El Cerrito, 1-15 southbound off -ramp and northbound on -ramp in Caltrans right-of-way and construct two traffic signals at both ramps. Page 1 PROJECT STATUS REPORT - MEASURE A CITY OF CORONA Item No., Project Name and Description Project No. Estimated Completion FY2009-10 Appropriations Status 9. Local Street Widening, Curb and Gutter Improvements 7352 On -going $351,618 On -going Local streets widening and installation of curbs, gutters, driveways, and sidewalks. Miscellaneous curb and gutter repair and related work. 10. Magnolia/I-15 Freeway Corridor 7096 On -going $1,088,514 Under Design Improvements to the Magnolia Avenue/1-15 Freeway interchange to improve traffic flow. Ramp northbound, widening of the on ramp and widening Magnolia between both 1-15 Freeway ramps. 11. Malor Pavement Rehabilitation Pavement rehabilitation of various streets in accordance with the Pavement Management Program. 7080 On -going $2,508,437 On -going 12. McKinlev/Santa Fe Railroad Grade Separation 6937 On -going $536 On -going Project Study Report Phase Study to construct a new grade separation bridge at McKinley to eliminate congestion delays caused by increasing train traffic. 13. Ontario and Magnolia/Main Median Protect 6274 June 2010 $35,0o0 Under Construction Design and landscape of median, landscape, and hardscape. 14. Pavement Management Study 7069 On -going $28,880 On -going Field survey of local streets for inclusion into Micropaver to complete the street inventory and update of study for rehabilitation projects. 15. Pavement Rehabilitation for Local Streets Pavement rehabilitation for local streets in accordance with the current pavement management study. Rehabilitation may include reconstruction paving, crack sealing, slurry, etc. Area limits are: AREA 1: Via Santiago, Border, Brentwood, and Avenida Del Vista. AREA 2: Sixth Street, Rimpau, Magnolia, and Fullerton. AREA 3: River Road, Auburndale, Rincon Street, and Corydon Street. AREA 4: Ontario, California, Foothill, and Main Street. 6921 On -going $4,826,776 On -going Page 2 PROJECT STATUS REPORT - MEASURE A CITY OF CORONA Item No., Project Name and Description Project No. Estimated Completion FY2009-10 Appropriations Status 16. Resurfacina and Pavement Maintenance 6922 On -going $300,270 On -going Resurface miscellaneous and repair potholes and pavement failures with City forces. 17. Sampson Avenue Pavement Rehabilitation Pavement rehabilitation from Radio Road to 200 feet east of Granite Street, two lanes and paved median. 6267 January 2010 $315,000 Complete 18. Sidewalk. Curb and Gutter Installation/Replacement Maintenance 7073 On -going $476,585 On -going Repair or replacement of curb, gutter, sidewalk, and drive approaches. Installation of missing sidewalk, curb, gutter, access ramps, bike paths, root pruning, engineering, and incidental work. 19. Sixth Street East Improvements 7107 January 2010 $391,562 Complete Design and construct landscape median on East Sixth Street from El Sobrante Road to the easterly city limits. Improve the East Sixth Street / El Camino intersection to ultimate improvements and install traffic signal. 20. Sixth Street Pavement Rehabilitation Pavement rehabilitation from Paseo Grande to West Grand Boulevard, four lanes and paved median. 6266 February 2010 $45,000 Complete 21. South Corona Master Planned Streets 8002 On -going $30,000 On -going Construction of master planned streets in South Corona. 22. City's Cost Allocation Plan (Overhead) Operational On -going $29,995 On -going TOTAL $12,918,255 Page 3 Agency: City of Corona Prepared by: Dana Romeo Phone No:(951)279-3537 Date: March 18, 2010 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE A LOCAL FUNDS PROGRAM CURRENT FISCAL YEAR 2009-10 Fiscal Year 2009-10 Estimated item No. Project Name/Limits - Project Type FY 2009-10 Appropriations Total Cost Expenditures CTD 3/18/10 Encumbrances CTD 3/18/10 Continuing Appropriations for FY2009-10 1 Advanced Traffic Management System Phase II Roads, Bridges and Freeways $ 8,264 $ - $ 8,264 $ - 2 Arterial Widening Roads, Bridges and Freeways 192,011 - 49,950 142,061 3 Auto Center/Santa Fe Railroad Grade Separation Roads, Bridges and Freeways 1,251,000 13,251 61,121 1,176,628 4 Citywide GIS Master Plan Building, Facilities and Systems 48,006 1,323 - 46,683 5 Citywide Traffic Model Update Roads, Bridges and Freeways 26,131 - 11,487 14,644 6 Cote Bridge Widening Roads, Bridges and Freeways 50,000 - - 50,000 7 Curb/Gutter/Sidewalk Replacement Roads, Bridges and Freeways 741,670 129,774 - 611,896 8 El Cerrito/I.15 Interim Interchange Improvements Roads, Bridges and Freeways 173,000 - - 173,000 9 Local Street Widening/Curb and Gutter Improvement Roads, Bridges and Freeways 351,618 - - 351,618 10 Magnolia/I.15 Freeway Corridor Roads, Bridges and Freeways 1,088,514 33,041 150,562 904,911 11 Major Pavement Rehabilitation Roads, Bridges and Freeways 1,908,437 18,482 1,113,068 776,887 12 McKinley/Santa Fe Railroad Grade Separation Roads, Bridges and Freeways 536 300 236 - 13 Ontario and Magnolia/Main Median Project Roads, Bridges and Freeways 35,000 13,156 - 21,844 14 Pavement Management Study Roads, Bridges and Freeways 28,880 5,680 - 23,200 15 Pavement Rehabilitation Building, systems and Facilities 4,268,826 2,637,053 417,070 1,214,703 16 Resurfacing/Pavement Maintenance Roads, Bridges and Freeways 300,270 50,530 - 249,740 17 Sampson Avenue Pavement Rehabilitation Roads, Bridges and Freeways 315,000 121,938 - 193,062 18 Sidewalk/Curb and Gutter Installation/Replacement Maintenance Roads, Bridges and Freeways 476,585 141,541 - 335,044 19 Sixth Street East Improvement Roads, Bridges and Freeways 391,562 26,015 - 365,547 20 Sixth Street Pavement Rehabilitation Roads, Bridges and Freeways 45,000 390 - 44,610 21 South Corona Master Planned Streets Roads, Bridges and Freeways 30,000 - - 30,000 22 Cost Allocation (Overhead) Operational Budget 29,995 29,995 ' - - Total ' By June 30, 2010 $11,760,305 $3,222,469 $1,811,758 $6,726,078 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE LOCAL FUNDS PROGRAM FY 2010-11 to 2014-15 Agency: City of Corona Page 1 of 5 Prepared by: Dana Romeo Phone No.: (951) 279-3537 Date: March 18, 2010 Fiscal Year 2010-11 Hem No. Project Name/Limits Project Type Total Cost Measure A Funds 1 Citywide GIS Master Plan Buildings, Facilities and Systems $6,114 $2,182 2 Curb, Gutter, and Sidewalk Installation/Replacement Roads, Bridges and Freeways $50,00o $50,000 3 Local Street Widening, Curb/Gutter Improvements Roads, Bridges and Freeways $100,000 $100,000 4 Major Pavement Rehabilitation Roads, Bridges and Freeways $1,700,000 $850,000 5 Pavement Management Study Roads, Bridges and Freeways $50,000 $50,000 6 Pavement Rehabilitation for Local Streets Roads, Bridges and Freeways $3,087,950 $1,007,950 7 Resurfacing and Pavement Maintenance Roads, Bridges and Freeways $3oo,000 $3oo,000 8 Sidewalk, Curb & Gutter Installation/Replacement Maintenance Roads, Bridges and Freeways $300,000 $300,000 9 Cost Allocation (Overhead) Operational Budget $29,785 $29,785 Total: Estimated Measure A Entitlements Disbursements: Prior Years Estimated Fund Balance: Oi Difference funded by prior available fund balance. $5,623,849 $2,689,917 $2,468,000 $221,917 Qi $2,689,917 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE LOCAL FUNDS PROGRAM FY2010-11 to 2014-15 Agency: City of Corona Page 2 of 5 Prepared by: Dana Romeo Phone No.: (951) 279-3537 Date: March 18, 2010 Fiscal Year 2011-12 Item No. Project Name/Limits Project Type Total Cost Measure A Funds 1 Arterial Widening Roads, Bridges and Freeways $200,000 $200,000 2 Citywide GIS Master Plan Buildings, Facilities and Systems $6,270 $2,237 3 Curb, Gutter, and Sidewalk Installation/Replacement Roads, Bridges and Freeways $300,000 $300,000 4 Local Street Widening, Curb/Gutter Improvements Roads Bridges and Freeways $150,000 $150,000 5 Major Pavement Rehabilitation Roads, Bridges and Freeways $200,000 $200,000 6 Pavement Management Study Roads, Bridges and Freeways $50,000 $50,000 7 Pavement Rehabilitation for Local Streets Roads, Bridges and Freeways $1,595,084 $1,595,084 8 Cost Allocation (Overhead) Operational Budget $30,679 $30,679 Total: Estimated Measure A Entitlements Disbursements: $2,532,033 $2,528,000 $2,528,000 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE A LOCAL FUNDS PROGRAM FY2010-11 to 2014-15 Agency: City of Corona Page 3 of 5 Prepared by: Dana Romeo Phone No.: (951) 2793537 Date: March 18, 2010 Fiscal Year 2012-13 Item No. Project Name/Limits Project Type Total Cost Measure A Funds 1 Arterial Widening Roads, Bridges and Freeways $200,000 $200,000 2 Citywide GIS Master Plan Buildings, Facilities and Systems $6,360 $2,269 3 Curb, Gutter, and Sidewalk Installation/Replacement Roads, Bridges and Freeways $300,000 $300,000 4 Local Street Widening, Curb/Gutter Improvements Roads, Bridges and Freeways $150,000 $150,000 5 Pavement Management Study Roads Bridges and Freeways $50,000 $50,000 6 Pavement Rehabilitation for Local Streets Roads, Bridges and Freeways $1,870,132 $1,870,132 7 City's Cost Allocation Plan (Overhead) Operational Budget $31,599 $31,599 Total: Estimated Measure A Entitlements Disbursements: $2,608,091 $2,604,000 $2,604,000 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE A LOCAL FUNDS PROGRAM FY2010-11 to2014-15 Agency: City of Corona Page 4 of 5 Prepared by: Dana Romeo Phone No.: (951) 279-3537 Date: March 18, 2010 Fiscal Year 2013-14 Item No. Project Name/Limits Project Type Total Cost Measure A Funds 1 Arterial Widening Roads, Bridges and Freeways $200,000 $200,000 2 Citywide GIS Master Plan Buildings, Facilities and Systems $15,944 $5,689 3 Curb, Gutter, and Sidewalk Installation/Replacement Roads, Bridges and Freeways $300,000 $300,000 4 Local Street Widening, Curb/Gutter Improvements Roads, Bridges and Freeways $150,000 $150,000 5 Major Pavement Rehabilitation Roads, Bridges and Freeways $751,156 $751,156 6 Pavement Management Study Roads, Bridges and Freeways $50,000 $50,000 7 Pavement Rehabilitation for Local Streets Roads, Bridges and Freeways $1,218,608 $1,218,608 8 City's Cost Allocation Plan (Overhead) Operational Budget $32,547 $32,547 Total: Estimated Measure A Entitlements Disbursements: $2,718,255 $2,708,000 $2,708,000 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE A LOCAL FUNDS PROGRAM FY 2010-11 to 2014-15 Agency: City of Corona Page 5 of 5 Prepared by: Dana Romeo Phone No.: (951) 279-3537 Date: March 18, 2010 Fiscal Year 2014-15 Item No. Project Name/Limits Project Type Total Cost Measure A Funds 1 Arterial Widening Roads, Bridges and Freeways $200,000 $200,000 2 Citywide GIS Master Plan Buildings, Facilities and Systems $6,438 $2,297 3 Pavement Management Study Roads, Bridges and Freeways $50,000 $50,000 4 City's Cost Allocation Plan (Overhead) Operational Budget $33,523 $33,523 Total: Estimated Measure A Entitlements Disbursements: $289,961 $285,820 $2,843,000 CITY OF CORONA Street Related Admin, Maintenance & Capital Projects June 30, 2010 CALCULATION OF EXPENDITURE LEVEL FOR FISCAL YEAR 2008-2009 1. GENERAL AND DISCRETIONARY FUNDED STREET EXPENDITURES INCURRED : Actual Expenditures from July 1, 2009 to March 31, 2010 (See Attached***) Less: Transfers to the General Fund from Street Related Funds Estimated Expenditures from April 1, 2010 to June 30, 2010 $4,083,103 (575,365) 1,361,034 TOTAL GENERAL AND DISCRETIONARY EXPENDITURES FOR FISCAL YEAR: $4,868,773 2. NON -DISCRETIONARY FUNDED STREET EXPENDITURES INCURRED : Actual Expenditures from July 1, 2009 to March 31, 2010 (See Attached**) Fund 227 - Measure A Fund 222 - Gas Tax Other Funds (including 44641430 - Street Lighting) 3,224,504 293,583 5,541,163 9,059,250 Actual Expenditures from July 1, 2009 to March 31, 2010 (See Attached**) $9,059,250 Fund 227 - Measure A Fund 222 - Gas Tax Other Funds (including 44641430 - Street Lighting) 1,074,835 97,861 1,847,054 3,019,750 Estimated Expenditures from April 1, 2010 to June 30, 2010 3,019,750 Total Annualized Non -Discretionary Expenditures: Fund 227 - Measure A Fund 222 - Gas Tax Other Funds (including 44641430 - Street Lighting) 4,299,339 391,444 7,388,218 12,079,000 TOTAL NON -DISCRETIONARY EXPENDITURES FOR FISCAL YEAR: $12,079,000 3. LOCAL DISCRETIONARY FUND EXPENDITURES NECESSARY EACH YEAR TO MEET THE MAINTENANCE OF EFFORT REQUIREMENT FOR THE CITY OF CORONA IS $1,784,399 AS APPROVED BY RIVERSIDE COUNTY TRANSPORTATION COMMISSION ON JULY 8, 2009: Fiscal Year 2009/10 (BASE YEAR) General and Discretionary Fund Expenditures $1,784,399 CITY OF CORONA Street Related Admin & Maintenance June 30, 2010 Labor & Acct No. Description Overhead Contracts Cap Outlay Total Administration 11039110 Engineering Administration 206,271 206,271 11039220 Transportation/Env Planning 75,635 75,635 11039310 P.W. Capital Improvements 805,780 805,780 11039320 Public Works - Special Projects 65,439 65,439 11039430 Drainage Quality Engineering 65,593 65,593 11039510 Public Works Inspection-Misc 712,651 712,651 11048220 Urban Forestry 300,204 300,204 Total Administration Maintenance Gen. 110 2,231,573 0 0 2,231,573 2,231,573 11041110 Maintenance Administration 190,600 11041220 Concrete Maintenance 273,583 11041310 Street Maintenance 535,879 11041320 Drainage Maintenance 254,693 11041430 HOA/Street Lighting 74,623 11041440 Street Signs 140,832 11041520 Street Sweeping 252,918 11041530 Graffiti Removal 105,795 70800110 Major Pavement Rehab 10,081 24500000 Fund 245 - Drainage Quality Engineering 0 24539320 Special Projects 41,333 24539430 Drainage Quality Engineering 451,783 44600000 Fund 446 - Street Lighting 1,925 44639240 Signal Maintenance 501,423 44639320 Special Projects 128,025 44641430 Street Lighting 976,809 Total Maintenance 3,940,302 GRAND TOTAL 6,171,875 12,526 12,526 12,526 190,600 273,583 535,879 254,693 74,623 140,832 252,918 105,795 22,607 41,333 451,783 1,925 501,423 128,025 976,809 0 3,952,828 ** ** 1,851,530 Street Other Lighting 446 Funds 1,925 501,423 128,025 976,809 0 41,333 451,783 Grand Total 0 6,184,401 4,083,103 *** 1,608,182 493,116 6,184,401 Acct No. 62430222 62660222 63150222 69210222 69220222 69370222 70060222 70070222 70730222 70940222 72920222 80270222 Acct No. 61840227 62660222 62670227 62740227 69210227 69220227 69370227 70690227 70730227 70800227 70960227 71070227 71150227 80270227 Description Advanced Traffic Mgmt System Sixth St Pavement Pavement Rehab/Local Streets Pavement Rehab/Local Streets Resurfacing/Pavement McKinley/Santa Fe Fuller St Improvement Vicentia/Bollero Sidewalk/Curb/Gutter Install Miscellaneous Repair/Replacement Striping Rehabilitation In -pavement Crosswalk Lights Maint Description Circulation Element Update Sixth Street Pavement Sampson Ave Pavement Ontario / Magnolia Pavement Rehab / Local Streets Resurfacing & Pavement Maintenance McKinley/BNSF RR Pavement Management Study Sidewalk/Curb/Gutter Instal Major Pavement Rehab I-15/Magnolia Interchange Sixth Street East Improvement Auto Ctr/BSNF RR Curb, Gutter Sidewalk Replacement CITY OF CORONA Street Related Cap Expenditures June 30, 2010 Labor & Ovh Contracts Cap Outlay 4,478 70,961 O 7,259 40,969 27,256 1,612 18,776 3,223 O 4,975 O 4,450 0 9,743 14,668 27,619 19,933 4,389 924 31,148 O 1,200 Total Fund 222 75,439 75,439 7,259 7,259 68,225 68,225 20,388 20,388 3,223 3,223 4,975 4,975 4,450 4,450 9,743 9,743 42,287 42,287 24,322 24,322 32,072 32,072 1,200 1,200 CITY OF CORONA Street Related Cap Expenditures June 30, 2010 Labor & Ovh Contracts Cap Outlay O 6,305 390 1,914 120,025 11,278 2,230 23,715 2,613,338 23,102 30,452 O 300 O 5,680 21,101 144,111 6,473 12,009 O 33,041 1,901 24,114 3,174 10,077 32,950 96,824 Total 6,305 390 121,939 13,508 2,637,053 53,554 300 5,680 165,212 18,482 33,041 26,015 13,251 129,774 Measure A Fund 224 Fund 227 Measure A Fund 222 Fund 224 Fund 227 6,305 390 121,939 13,508 2,637,053 53,554 300 5,680 165,212 18,482 33,041 26,015 13,251 129,774 Other Funds Other Funds Fund # 222 Fund # Totals 293,583 Totals 227 3,224,504 Measure A Other Acct No. Description Labor & Ovh Contracts Cap Outlay Total Fund 222 Fund 224 Fund 227 Funds Fund # Totals 65480211 2008/09 SR2S Project 1,122 4,603 5,725 5,725 211 69270211 E1 Cerrito / I-15 0 1,471 1,471 1,471 211 69500211 I-15/Cajalco Improvement 0 8,802 8,802 8,802 211 70630211 Traffic Signal Construction 0 13,190 13,190 13,190 211 71070211 Sixth Street East Improvements 0 53,912 53,912 53,912 211 83,100 86050212 Chase Street Improvement 0 750 750 750 212 750 62430242 Advanced Traffic 16,603 695,864 712,467 712,467 242 712,467 62430243 Advanced Traffic 0 986,713 986,713 986,713 243 62660243 Sixth Street Pavement Rehab 29,963 864,469 894,432 894,432 243 62670243 Sampson Ave Pavement Rehab 11,835 751,606 763,441 763,441 243 65480243 2008/09 SR2S Project 1,684 34,490 36,174 36,174 243 71070243 Sixth Street East Improvements 1,600 134,216 135,816 135,816 243 71150243 Auto Center DR / BNSF 0 229,785 229,785 229,785 243 3,046,361 62740261 Ontario / Magnolia / Main 0 353,864 353,864 353,864 261 80020261 SC Mstr plan street part 860 14,996 15,856 15,856 261 86040261 Foothill Parkway West 310 142,461 142,771 142,771 261 512,491 Measure A Other Acct No. Description Labor & Ovh Contracts Cap Outlay Total Fund 222 Fund 224 Fund 227 Funds Fund # Totals 70630446 Traffic Signal 883 883 883 446 883 61970478 Green River Road Improvements 1,458 12,487 13,945 13,945 478 86040478 Foothill Parkway Westerly Extn 36,522 81,540 118,062 118,062 478 132,007 69370479 McKinley/BSNF RR 836 8,580 9,416 9,416 479 70960479 Magnolia/ I-15 2,726 256 2,982 2,982 479 71150479 Auto Center/BSNF RR Grade Sep 377 63,520 63,897 63,897 479 76,295 Totals 318,584 7,685,637 0 8,082,441 293,583 0 3,224,504 4,564,354 8,082,441 Prepared by Theresa Dailey, Finance Department April, May & June's Est Exp 2,694,147 97,861 1,074,835 1,521,451 10,//6,588 391,444 44641430 Street Lighting annualized 4,299,339 6,085,806 1. _3 0 2 ,.412 7,388,218 89265 SM, AZ, GA City of Desert Hot Springs 65-950 Pierson Blvd. • Desert Hot Springs • CA • 92240 (760) 329-6411 www.cityofdhs.org Department of Public Works May 28, 2010 Ms. Shirley Medina, Planning and Programming Manager Riverside County Transportation Commission P.O. Box 12008 4080 Lemon Street, 3'" floor Riverside, CA 92502-2208 Attention: Ms. Andrea Zureick, Senior Staff Analyst -Programming RE: FY 2011-2015 MEASURE "A" LOCAL STREETS AND ROADS CAPITAL IMPROVEMENT PLANS Dear Ms. Shirley Medina: Enclosed please find a copy of the City of Desert Hot Springs Five Year Measure "A" Capital Improvement Plan along with the City of Desert Hot Springs Measure "A" status report for submittal to the Riverside County Transportation Commission for review and approval. If you have any questions, please call me at (760) 329-6411extension 218. Sincerey? Amir H. Modarressi, P.E. Interim City Engineer cc: Rudy Acosta, Assistant City Manager / Redevelopment Director Jason Simpson, Assistant City Manager / Administrative Director encl.: rn R.. JUN. 07 ")�1 �I <, _� RlvERsICE couN . TRANsPoRTA IoN comm r,N X.29.23 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM FY 2011-2015 Agency: CITY OF DESERT HOT SPRINGS Page 1 of 1 Prepared by: AMIR MODARRESSI Phone # (760)329-6411, Ext. 218 Date: May 25, 2010 Item Project Name/Limits Project Type Total Cost Measure "A" No. 1 2 3 4 5 6 Acoma Ave, Buena Vista Ave, Cahuilla Ave Desert View Ave Estrlla Ave, Flora Ave (from Wcst Dr. to Cactus Dr.) Western Avenue and Scenic Drive Road Improvements Palm Drive traffic signal improvements (from Camino Campanero to Pierson Blvd. Street improvements for Ramona Dr Cactus Dr El Cajon dr. La Mesa Dr; Calliente Dr. (from Hacienda Ave to Two Bunch Patens Tr) And Hacienda Ave & Ironwood Dr (from Palm Dr to Ramona Dr) City-wide tratiic and speed studies Sarita Dr.,Susan Dr.Mark Dr. Nathum DR Luis Dr. Verbena Dr. (from Two Bunch Palms To Ironwood Dr.) Final design, Construction engineering and Construction Preliminary engineering, final design Construction engineering and Construction Preliminary engineering, final design Construction engineering and Construction Preliminary engineering, final design Construction engineering and Construction Traffic Engineering Study Preliminary engineering, final design Construction engineering and Construction ($1,000's) $ 2,400 $ 391 $ 658 $2,200 $ 75 $ 900 funds ($1,000's) $ 650 $ 41 $ 200 $ 414 $ 75 $ 350 GRAND TOTAL $ 6,624 $1,730 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM FY 2010-2011 Agency: CITY OF DESERT HOT SPRINGS Page 1 of 5 Prepared by: AMIR MODARRESSI Phone # (760)329-6411, Ext. 218 Date: May 25, 2010 Item Project Name/Limits Project Type Total Cost Measure "A" No. ($1,000's) funds ($1,000's) l Acoma Ave, Buena Vista Ave, Cahuilla Ave Final design, Construction engineering and $ 1800 $ 350 Desert View Ave Estrlla Ave, Flora Ave Construction (from West Dr. to Cactus Dr.) 2 Western Avenue and Scenic Drive Road Preliminary engineering, final design $ 250 $ 21 Improvements Construction engineering and Construction 3 Palm Drive traffic signal improvements Preliminary engineering, final design $ 390 $ 100 (from Camino Campanero to Pierson Blvd. Construction engineering and Construction 5 City-wide traffic and speed studies Traffic Engineering Study $ 75 $ 75 GRAND TOTAL $2,515 $ 546 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM FY 2011-2012 Agency: CITY OF DESERT HOT SPRINGS Page 2 of 5 Prepared by: AMIR MODARRESSI Phone # (760)329-6411, Ext. 218 Date: May 25, 2010 Item Project Name/Limits Project Type Total Cost Measure "A" No. ($1,000's) funds ($1,000's) 1 Acoma Ave, Buena Vista Ave, Cahuilla Ave Final design, Construction engineering and $ 400 $ 176 Desert View Ave Estrlla Ave, Flora Ave Construction (from West Dr. to Cactus Dr.) 2 Western Avenue and Scenic Drive Road Preliminary engineering, final design $ 141 $ 20 Improvements Construction engineering and Construction 3 Palm Drive traffic signal improvements Preliminary engineering, final design $ 268 $ 100 (from Camino Campanero to Pierson Blvd. Construction engineering and Construction GRAND TOTAL $ 809 $ 296 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE `°A" LOCAL FUNDS PROGRAM FY 2012-2013 Agency: CITY OF DESERT HOT SPRINGS Page 3 of 5 Prepared by: AMIR MODARRESSI Phone # (760)329-6411, Ext. 218 Date: May 25, 2010 Item Project Name/Limits Project Type Total Cost Measure "A" No. ($1,000's) funds ($1,000's) 1 Acoma Ave, Buena Vista Ave, Cahuilla Ave Final design, Construction engineering and $ 200 $ 124 Desert View Ave Estrlla Ave, Flora Ave Construction (from West Dr. to Cactus Dr.) 4 Street improvements for Ramona Dr Cactus Dr. Preliminary engineering, final design $1,500 $ 181 El Cajon dr. La Mesa Dr; Calliente Dr. Construction engineering and Construction (from Hacienda Ave to Two Bunch Palms Tr) And Hacienda Ave & Ironwood Dr (from Palm Dr to Ramona Dr) GRAND TOTAL $1,700 $ 305 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM FY 2013-2014 Agency: CITY OF DESERT HOT SPRINGS Page 4 of 5 Prepared by: AMIR MODARRESSI Phone # (760)329-6411, Ext. 218 Date: May 25, 2010 Item Project Name/Limits Project Type Total Cost Measure "A" No. ($1,000's) funds ($1,000's) 4 Street improvements for Ramona Dr Cactus Dn Preliminary engineering, final design $ 350 $ 100 El Cajon dr. La Mesa Dr; Calliente Dr. Construction engineering and Construction (from Hacienda Ave to Two Bunch Palms Tr) And Hacienda Ave & Ironwood Dr (from Palm Dr to Ramona Dr) 6 Sarita Dr.,Susan Dr.Mark Dr. Nathum DR Preliminary engineering, final design $ 450 $ 150 Luis Dr. Verbena Dr. (from Two Bunch Palms Construction engineering and Construction To Ironwood Dr.) GRAND TOTAL $ 800 $ 250 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM FY 2014-2015 Agency: CITY OF DESERT HOT SPRINGS Page 5 of 5 Prepared by: AMIR MODARRESSI Phone # (760)329-6411, Ext. 218 Date: May 25, 2010 Item Project Name/Limits Project Type Total Cost Measure "A" No. ($1,000's) hands ($1,000's) 4 Street improvements for Ramona Dr Cactus Dn Preliminary engineering, final design $ 350 $ 133 El Cajon dr. La Mesa Dr; Calliente Dr. Construction engineering and Construction (from Hacienda Ave to Two Bunch Palms Tr) And Hacienda Ave & Ironwood Dr (from Palm Dr to Ramona Dr) 6 Sarita Dr.,Susan Dr.Mark Dr. Nathum DR Preliminary engineering, final design $ 450 $ 200 Luis Dr. Verbena Dr. (from Two Bunch Palms Construction engineering and Construction To Ironwood Dr.) GRAND TOTAL $ 800 $ 333 CITY OF DESERT HOT SPRINGS CAPITAL PROJECT STATUS REPORT May 28, 2010 By: Amir Modarressi SLURRY SEAL CONSTRUCTION ON VARIOUS CITY STREETS, PROJECT - There are streets through -out the City that are programmed to receive slurry seal as part of the City Pavement Management System. The construction of street slurry covered more than three million square feet of streets through- out the City. The construction was completed without any cost overrun. ESSENTIAL ROAD IMPROVEMENTS - PHASE II- This project is for Street improvements in an area defined by the streets between West Dr and Palm Dr from Pierson Blvd to Hacienda Ave. The rehabilitation work will include pulverizing the existing AC paving, construction of curbs, gutters, cross gutters, driveway approaches, and sidewalks. The staff has secured the Caftans approval of the project and will send out for construction bidding as early as May 2009. WESTERN AVENUE/SCENIC DRIVE STREET IMPROVEMENTS- This project is for street improvement to Westem Avenue (Pierson Blvd. to 600' north of Scenic Drive) and also Scenic Drive (from 200' west of Westem Avenue to 600' east of Westem Avenue). The engineering design work is 90% complete. Preliminary Environmental Study is being reviewed by Caltrans Local Assistance. The request for Authorization will be submitted to Caftans as soon as Caftans approves the Preliminary Environmental Study. MAINTENANCE OF EFFORT CERTIFICATION STATEMENT The undersigned agrees and certifies for City of Desert Hot Springs, (the "Agency") that sales tax transportation funds received pursuant to Ordinance No. 02-001 of the Riverside County Transportation Commission CMeasure A") shall be used in compliance with the Commission's Maintenance of Effort base year amounts approved by the Commission at its July 8, 2009 meeting, and that the Agency shall not use such funds to replace discretionary local funds previously expended by the Agency for local transportation purposes. The Agency hereby acknowledges that the failure of the Agency to continue such local expenditure shall result in a reduction or loss of Measure A funds. Dated: Mav 25, 2010 Rick D iels, City Manager ATTEST: I Soriano, Deputy City Clerk City of Desert Hot Springs Measure A Transportation Fund Notes to Financial Statements Traffic Uniform Mitigation Fee Program As required under Measure A, Measure A monies cannot be allocated to individual cities in the Coachella Valley unless they participate in the Traffic Uniform Mitigation Fee (TUMF) Program, which is necessary for the implementation of the planned Regional Arterial System. The City collected TUMF fees totaling approximately $93,725 in 2008, which were remitted to the Coachella Valley Association of Governments (CVAG). Maintenance of Effort In accordance with the laws and regulations of Measure A, the City is required to maintain its continuous commitment of local discretionary expenditures for streets and roads. The base year calculation of local discretionary expenditures (Base Year) represents the average amount of streets and road expenditures incurred for 2005 through 2008. During 2008, the City's local discretionary expenditures for streets and roads, as calculated below, indicates the City is in conformance with this requirement. The City has a total cumulative excess of local discretionary expenditures of $129,725 on June 30, 2008. 2008 Current Year local discretionary expenditures $229,628 Less: Base Year $(124,036) Excess of current year expenditures under Base Year $105,592 Excess local expenditures at the bepjnning of the year $ 24,133 Excess local expenditures at the end of the year $129,725 Item No.Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 07/08 Measure A Allocation Pavement Maintenance & Improvements 2,305,000 08/09 Measure A Allocation Pavement Maintenance & Improvements 1,565,000 08/09 Small Rehab Projects Pavement Maintenance & Improvements 300,000 09/10 Measure A Allocation Pavement Maintenance & Improvements 1,047,000 Total Measure A Funds to be carried forward in 2010-2011 5,217,000 2010-2011 1 City-wide Pavement Rehabilitation / Street Improvement Program Pavement Maintenance & Improvements 1,022,000 TOTALS 0 1,022,000 PRIOR YEAR MEASURE A FUNDS RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE A LOCAL FUNDS PROGRAM FY 2010 - 2011 Agency: City of Hemet Page 1 of 5 Prepared by: Mike Gow Phone #: (951) 765-3870 Date: May 25, 2010 Item No.Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 1 City-wide Pavement Rehabilitation / Street Improvement Program Pavement Maintenance & Improvements 1,047,000 1,047,000 TOTALS 1,047,000 1,047,000 Phone #: (951) 765-3870 Date: May 25, 2010 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE A LOCAL FUNDS PROGRAM FY 2011 - 2012 Agency: City of Hemet Page 2 of 5 Prepared by: Mike Gow Item No.Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 1 City-wide Pavement Rehabilitation / Street Improvement Program Pavement Maintenance & Improvements 1,078,000 1,078,000 TOTALS 1,078,000 1,078,000 Phone #: (951) 765-3870 Date: May 25, 2010 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE A LOCAL FUNDS PROGRAM FY 2012 - 2013 Agency: City of Hemet Page 3 of 5 Prepared by: Mike Gow Item No.Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 1 City-wide Pavement Rehabilitation / Street Improvement Program Pavement Maintenance & Improvements 1,122,000 1,122,000 TOTALS 1,122,000 1,122,000 Prepared by: Mike Gow Phone #: (951) 765-3870 Date: May 25, 2010 MEASURE A LOCAL FUNDS PROGRAM FY 2013 - 2014 Agency: City of Hemet Page 4 of 5 Item No.Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 1 City-wide Pavement Rehabilitation / Street Improvement Program Pavement Maintenance & Improvements 1,178,000 1,178,000 TOTALS 1,178,000 1,178,000 Prepared by: Mike Gow Phone #: (951) 765-3870 Date: May 25, 2010 MEASURE A LOCAL FUNDS PROGRAM FY 2014 - 2015 Agency: City of Hemet Page 5 of 5 MEASURE ‘A’ LOCAL FUNDS PROGRAM PROJECT STATUS REPORT FY Ending JUNE 30, 2010 Agency: City of Hemet Date: May 25, 2010 ; 2006/2007 City-wide Pavement Rehabilitation Program (Project #5500) Progress to Date Project completed TOTAL ESTIMATED EXPENDITURE $7,200.000 Completion Date May 11, 2010 ; 2007/08 Street Rehabilitation (Project #6503) Progress to Date Funds to be used for 2010-2011 Citywide Street Rehabilitation Project, which is currently in design. TOTAL ESTIMATED EXPENDITURE $ 2,305,000 Completion Date To be determined ; 2008/09 Street Rehabilitation (Project #6504) Progress to Date Funds to be used for 2010-2011 Citywide Street Rehabilitation Project, which is currently in design. TOTAL ESTIMATED EXPENDITURE $ 1,565,000 Completion Date To be determined ; 2008/09 Small Rehab/Paving Projects (Project #6505) Progress to Date Funds to be used for 2010-2011 Citywide Street Rehabilitation Project, which is currently in design. TOTAL ESTIMATED EXPENDITURE $ 300,000 Completion Date To be determined ; 2009/10 Annual Pavement Rehab Project (Project #6506) Progress to Date Funds to be used for 2010-2011 Citywide Street Rehabilitation Project, which is currently in design. TOTAL ESTIMATED EXPENDITURE $ 1,047,000 Completion Date To be determined MAINTENANCE OF EFFORT CERTIFICATION STATEMENT The undersigned agrees and certifies for 14E:- Ce of- k/i ,7 (the "Agency") that sales tax transportation funds received pursuant to Ordinance No. 02-001 of the Riverside County Transportation Commission ("Measure A") shall be used in compliance with the Commission's Maintenance of Effort base year amounts approved by the Commission at its July 8, 2009 meeting, and that the Agency shall not use such funds to replace discretionary local funds previously expended by the Agency for local transportation purposes. The Agency hereby acknowledges that the failure of the Agency to continue such local expenditure shall result in a reduction or loss of Measure A funds. Dated: 201 Cd/ CITY MANAGER ATTES : SET -LAY r114/1-MG� City of Hemet 2010 Measure A MOE - Base Year (FY 08/09) Account Description 120-9900-9950 Discretionary spending from Street Report General Fund Op Trans to 221/Grading Import Fee on Large 81,369 100.00% $ 81,369 dirt hauling trucks FY 08/09 Amount Percent Base Year Net Amt 227-9900-9950 Op Trans to 221/Traffic signal maint & energy 30,000 100.00% $ 30,000 LLMD 254-4400 Street Sweeping 349,940 100.00% $ 349,940 Sewer 254-9900-9950 Op Trans to 221/maintain road shoulders & other 309,996 50.00% $ 154,998 Sewer drainage areas that impact storm drains & NPDES sys-work done by street crews funded by yard depts Equipment Replacement - Streets dept allocation 684-4550 Equipment Maintenance - Streets dept allocation 686-4100 PW Engineering 168,705 100.00% $ 168,705 100.00% $ (1) 653,055 50.00% $ 326,528 227/228 Various Lighting & Landscape Districts 72,066 100.00% $ 72,066 Total $ 1,183,605 I:ICOMMONTNCEISPREADS1MOE12010 Measure A MOE, 6/14/2010, 5:58 PM INDIAN WELLS CALI FORNIA February 23, 2010 Riverside County Transportation Commission Shirley Medina, Planning and Programming Officer 4080 Lemon Street, 3rd Floor Riverside, CA 92502-2208 88741 SM/AZ/GA -biy_E©11]WIE l MAR 02 2010 RIVERSIDE COUNTY TRANSPORTATION COMMISSION Re: Measure "A": Local Streets and Roads five-year Capital Improvement Plan and Status Update Dear Ms. Medina: Attached is the City of Indian Wells Measure "A" Local Streets and Roads Five Year Capital Improvement Plan for Fiscal Years 2010/11-2014/15. Following is the status of the City project listed on the FY 2009-10 five-year plan: Project Status Cost Measure "A" ($000's) ($000's) Citywide Traffic Services Ongoing $631 $163 Sincerely, Paul Goble, P.E., T.E. Public Works Director c: Kevin McCarthy, Finance Director 44-950 Eldorado Drive -- Indian Wells, California 92210-7497 -- V (760) 346-2459 F (760) 346-0407 www.IndianWells com X.29.09 Agency: Page: Prepared by: Phone/E-mail: Date: RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM FY 2010-2011 The City of Indian Wells 1 of 1 Paul Goble, P.E., T.E., Public Works Director (760) 776-0237 pgoble(@indianwells.com February 23, 2010 Item No. Project Name/Limits Project Type Total Cost ($000's) Measure "A" Funds ($000's) $167 1 Citywide Traffic Services Mowing, Tree trimming, and watering within right of way. Replace top soil, shrubs, trees, irrigation facilities, etc. $630/year TOTAL $630 $167 Agency: Page: Prepared by: Phone/E-mail: Date: RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM FY 2011-2012 The City of Indian Wells 1of1 Paul Goble, P.E., T.E., Public Works Director (760) 776-0237 pgoble©indianwells.com February 23, 2010 Item No. Project Name/Limits Project Type Total Cost ($000's) Measure "A" Funds ($000's) 1 Citywide Traffic Services Mowing, Tree trimming, and watering within right of way. Replace top soil, shrubs, trees, irrigation facilities, etc. $630/year $175 TOTAL $630 $175 Agency: Page: Prepared by: Phone/E-mail: Date: RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM FY 2012-2013 The City of Indian Wells 1of1 Paul Goble, P.E., T.E., Public Works Director (760) 776-0237 pgoble@indianwells.com February 23, 2010 Item No. Project Name/Limits Project Type Total Cost ($000's) Measure "A" Funds ($000's) $181 1 Citywide Traffic Services Mowing, Tree trimming, and watering within right of way. Replace top soil, shrubs, trees, irrigation facilities, etc. $630/year TOTAL $630 $181 Agency: Page: Prepared by: Phone/E-mail: Date: RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM FY 2013-2014 The City of Indian Wells 1 of 1 Paul Goble, P.E., T.E., Public Works Director (760) 776-0237 pgoble@indianwells.com February 23, 2010 Item No. Project Name/Limits Project Type Total Cost ($000's) Measure "A" Funds ($000's) 1 Citywide Traffic Services Mowing, Tree trimming, and watering within right of way. Replace top soil, shrubs, trees, irrigation facilities, etc. $630/year $188 TOTAL $630 $188 Agency: Page: Prepared by: Phone/E-mail: Date: RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM FY 2014-2015 The City of Indian Wells 1 of 1 Paul Goble, P.E., T.E., Public Works Director (760) 776-0237 pgobleC�indianwells.com February 23, 2010 Item No. Project Name/Limits Project Type Total Cost ($000's) Measure "A" Funds ($000's) 1 Citywide Traffic Services Mowing, Tree trimming, and watering within right of way. Replace top soil, shrubs, trees, irrigation facilities, etc. $630/year $197 TOTAL $630 $197 MAINTENANCE OF EFFORT CERTIFICATION STATEMENT The undersigned agrees and certifies for City of Indian Wells that sales tax transportation funds received pursuant to Ordinance No. 02-001 of the Riverside County Transportation Commission ("Measure A") shall be used in compliance with the Commission's Maintenance of Effort base year amounts approved by the Commission at its July 8, 2009 meeting, and that the Agency shall not use such funds to replace discretionary local funds previously expended by the Agency for local transportation purposes. The Agency hereby acknowledges that the failure of the Agency to continue such local expenditure shall result in a reduction or loss of Measure A funds. Dated: February 24, 2010 Finance Direct ,.ATTEST: Public Wor s Director June 2010 City of Indian Wells July -June 2010 Feb-09 Estimate Actual 12months � � pit °r^,�. ,aF.FI� I "J 204 209 215-218 250 337 General Fund 81-01 PW Admit' 5110-5260 sal/benefit 322,700 484,050 484,050 83-01 Maint 5640 materials (actual + emcum) 29,811 44,717 44,717 Traffic Safety 101-83-02 7,083 10,625 10,625 202-83-02 54,981 82,472 82,472 Capital Improve. 93.99 FAMD Rehabilitation Project 139,273 139,273 93.70 Pavement Overlay 0 0 93.12-14 Hwy 111 Imerovements 843,021 843,021 93.97 Fred Waring Widenin% 0 0 Gas Tax All Gas Tax Funds 29,581 44,372 44,372 Landscape/Lighting xxx.84.xx.xxxxx All LLMD's 942,645 942,645 204.84.xx.xxxxx Mem A 205,000 205,000 . 101.84.20.xxxxx Cgwude 478,531 478,531 ` _TOTAL 3,274,704 1,017,922 82,472 . 0 205,000 139,273 44,372 942,645 843,021 D DISCRETIONARY 1,100,394 B BASE M.O.E. 55,962 E EXCESS __ULU& , !CITY OF INDIAN WELLS SUMMARY OF ESTIMATED EXPENDITURES FISCAL YEAR ENDINjG JUNE 30, 2009 F F Maintenance of Effort, discretionary spending, Current Year 1,100 394 Excess Current Year $ $1,044,432 2/25/2010 12:35 PM kevinlmoelMeasA-MOE 89093 TT, SM CITY OF INDIO 100 CIVIC CENTER MALL • INDIO, CA 92201 760.391.4000 • FAX 760.391.4008 • WWW.INDIO.ORG May 5, 2010 Ms. Shirley Medina Planning and Programming Manager Riverside County Transportation Commission 4080 Lemon Street, 3rd Floor Riverside, CA 92501 FECLAVE IA MAY 06 MO RIVERSIDE COUNTY 'TRANSPORTATION COMMISSION Subject: Five Year Measure A Capital Improvement Plan (FY 2011-2015) Dear Ms. Medina: Enclosed is the City of Indio's submittal of the Five Year Measure A Capital Improvement Plan for Fiscal Years 2011-2015 to the Riverside County Transportation Commission for review and approval. The City's Maintenance of Effort certification is also enclosed, as well as a status report for projects utilizing Measure A funds in Fiscal Year 2009-2010. If you have any questions, please call me at (760) 541-4251. Sincerely, Adrienne E. Dunfee, P.E. Principal Civil Engineer cc: Jim L. Smith. P.E., Director of Public Works Grant Eklund, P.E., City Engineer Brian Kinder, Accountant X.29.10 Riverside County Transportation Commission Measure A Local Funds Program FY 2011-2015 Agency: City of Indio Page 1 of 6 Prepared by: Adrienne Dunfee, P.E., Principal Civil Engineer Phone #: (760) 541-4251 Date: May 5, 2010 Item No. Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 1. Miles Avenue Bridge and Widening of Miles Construction, Repayment $ 870 $ 820 Avenue and Clinton Street 2. Madison Street from Indio Boulevard to Final Design, ROW $ 573 $ 140 Avenue 50 3. Interchange Reconstruction Projects Preliminary Engineering, Final $ 6,507 $ 862 Design, Environmental, Construction 4. Bridge Repairs and Safety Enhancements Final Design, Construction $ 645 $ 645 5. Monroe Street / Doctor Carreon Boulevard Construction $ 234 $ 140 Sidewalk Improvements 6. Measure A Advance Repayment $ 3,365 $ 3,365 GRAND TOTAL $ 12,194 $ 5,972 Riverside County Transportation Commission Measure A Local Funds Program FY 2010-2011 Agency: City of Indio Page 2 of 6 Prepared by: Adrienne Dunfee, P.E., Principal Civil Engineer Phone #: (760) 541-4251 Date: May 5, 2010 Item No. Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 1. Miles Avenue Bridge and Widening of Miles Construction $ 70 $ 20 Avenue and Clinton Street 2. Madison Street from Indio Boulevard to Final Design, ROW $ 573 $ 140 Avenue 50 3. Interchange Reconstruction Projects Preliminary Engineering, Environmental $ 1,030 $ 75 4. Bridge Repairs and Safety Enhancements Design $ 50 $ 50 5. Monroe Street / Doctor Carreon Boulevard Construction $ 234 $ 140 Sidewalk Improvements 6. Measure A Advance Repayment $ 673 $ 673 GRAND TOTAL $ 2,630 $ 1,098 Riverside County Transportation Commission Measure A Local Funds Program FY 2011-2012 Agency: City of Indio Page 3 of 6 Prepared by: Adrienne Dunfee, P.E., Principal Civil Engineer Phone #: (760) 541-4251 Date: May 5, 2010 Item No. Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 1. Miles Avenue Bridge and Widening of Miles $ 200 $ 200 Avenue and Clinton Street Repayment 2. Bridge Repairs and Safety Enhancements Construction $ 280 $ 280 3. Measure A Advance Repayment $ 673 $ 673 GRAND TOTAL $ 1,153 $ 1,153 Riverside County Transportation Commission Measure A Local Funds Program FY 2012-2013 Agency: City of Indio Page 4 of 6 Prepared by: Adrienne Dunfee, P.E., Principal Civil Engineer Phone #: (760) 541-4251 Date: May 5, 2010 Item No. Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 1. Miles Avenue Bridge and Widening of Miles $ 200 $ 200 Avenue and Clinton Street Repayment 2. Bridge Repairs and Safety Enhancements Construction $ 315 $ 315 3. Measure A Advance Repayment $ 673 $ 673 GRAND TOTAL $ 1,188 $ 1,188 Riverside County Transportation Commission Measure A Local Funds Program FY 2013-2014 Agency: City of Indio Page 5 of 6 Prepared by: Adrienne Dunfee, P.E., Principal Civil Engineer Phone #: (760) 541-4251 Date: May 5, 2010 Item No. Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 1. Miles Avenue Bridge and Widening of Miles $ 200 $ 200 Avenue and Clinton Street Repayment 2. Interchange Reconstruction Projects Construction $ 2,808 $ 363 3. Measure A Advance Repayment $ 673 $ 673 GRAND TOTAL $ 3,681 , $ 1,236 Riverside County Transportation Commission Measure A Local Funds Program FY 2014-2015 Agency: City of Indio Page 6 of 6 Prepared by: Adrienne Dunfee, P.E., Principal Civil Engineer Phone #: (760)541-4251 Date: May 5, 2010 Item No. Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 1. Miles Avenue Bridge and Widening of Miles $ 200 $ 200 Avenue and Clinton Street Repayment 2. Interchange Reconstruction Projects Construction $ 2,669 $ 424 3. Measure A Advance Repayment $ 673 $ 673 GRAND TOTAL $ 3,542 $1,297 CITY OF INDIO MEASURE "A" PROJECT STATUS REPORT MAY 2010 Avenue 42 Widening from Clinton Street to Golf Center Parkway Project Description: ♦ This is for widening of Avenue 42 to 6 lanes between Clinton Street and Jackson Street, and to 4 lanes between Jackson Street and Golf Center Parkway. Project Status: ♦ Construction of the segment between Spectrum Street and Golf Center Parkway was completed in 2008. ♦ Construction work on the widening of the southern portion of the roadway between Monroe Street and Spectrum Street and was completed in November 2009. Monroe Street between Interstate 10 and Avenue 42 was also widening from 2 to 6 lanes as part of this project. ♦ Design of the widening of the segment between Clinton Street and Monroe Street and the northern portion of the roadway between Monroe Street and Spectrum Street has been completed. Construction of these improvements is pending the acquisition of right-of-way and availability of funding. Golf Center Parkway Rehab — UPRR to Indio Springs Parkway Project Description: ♦ This project includes rehabilitation of the pavement on Golf Center Parkway between Indio Springs Parkway and the Union Pacific Railroad. A traffic signal is also being installed at the intersection of Golf Center Parkway and Avenue 45. Project Status: ♦ Construction is underway and is scheduled to be complete in July 2010. Madison Street from Indio Boulevard to Avenue 50 Project Description: ♦ This project includes the widening of existing segments to conformance with General Plan width, and the construction of missing segments to create a continuous roadway between Indio Boulevard and Avenue 50. Project Status: ♦ Pavement rehabilitation was completed on the segment between Miles Avenue and Highway 111 in January 2010. ♦_ Design continues on the missing segment between Fred Waring Drive and Miles Avenue. This segment includes construction of a bridge over the Coachella Valley Storm Water Channel. CITY OF INDIO MEASURE "A" PROJECT STATUS REPORT MAY 2010 Interchanue Reconstruction Projects Project Description: ♦ This is for planning and environmental studies at four Interstate 10 interchanges in the City of Indio. Project Status: ♦ Revisions to the project description for the Jefferson Street interchange will require recirculation of the Environmental Document for public comment. Updates to the technical studies are being performed at this time. It is anticipated that the Environmental Document will be released for public comment in Spring 2011. ♦ Project Study Reports are underway at the Monroe Street, Jackson Street, and Golf Center Parkway interchanges. MAINTENANCE OF EFFORT CERTIFICATION STATEMENT The undersigned agrees and certifies for City of Indio (the "Agency") that sales tax transportation funds received pursuant to Ordinance No. 02-001 of the Riverside County Transportation Commission ("Measure A") shall be used in compliance with the Commission's Maintenance of Effort base year amounts approved by the Commission at its July 8, 2009 meeting, and that the Agency shall not use such funds to replace discretionary local funds previously expended by the Agency for local transportation purposes. The Agency hereby acknowledges that the failure of the Agency to continue such local expenditure shall result in a reduction or loss of Measure A funds. Dated: May 18, 2010 Tara A.:ms, Interim Cit. anager ATTEST: CITY OF INDIO MAINTENANCE OF EFFORT FYE 6/30/10 FUND DEPT ACCOUNT/DESCRIPTION EXPENDITURES 101 4160/4161 ENGINEERING ADMINISTRATION 466,209.00 101 4270 TRAFFIC CONTROLS/SIGNALS 402,458.00 101 4310 STREET LIGHTING 147,000.00 101 4341 STREET MAINTENANCE 947,099.00 101 4346 STREET CLEANING 602,826.00 TOTAL EXPENDITURES -UNAUDITED ESTIMATED 2,565,592.00 MAINTENANCE OF EFFORT FOR YEAR ENDING 6/30/10 2,565,592.00 APPROVED BY: SAN MAHONEY AN d')//r SERVICES DIRECTOR SU A CITY OF A LAU• LSINOU :` DREAM EXTREME 89094 TT, SM CO(�MI D' Mry;201 May 6, 2010 TRANSPORTATION COMRIVERSIDE MISSION Ms. Shirley Medina, Program Manager Westem Riverside Council of Governments Riverside County Administrative Center 4080 Lemon Street, Third Floor Riverside, CA 92501-3679 Subject: Maintenance of Effort Measure A Five -Year CIP Dear Ms. Medina, Enclosed for your review is the City of Lake Elsinore's 2011-2015 Capital Improvement Program Five -Year plan and Maintenance of Effort Certification. If you have any questions, please contact me at 951-674-3124 Ext. 244. Sincerely, X—d7.14—� Ken Seumalo Director of Public Works City Engineer 951.674.3124 130 S MAIN STREET LAKE ELSINORE. CA 92.530 WWW LAKE-ELSINORE.ORG X.29.11 MAINTENANCE OF EFFORT CERTIFICATION STATEMENT The undersigned agrees and certifies for rkg cwt. of [.AKG gcsc atec(the "Agency") that sales tax transportation funds received pursuant to Ordinance No. 02-001 of the Riverside County Transportation Commission ("Measure A") shall be .used in compliance with the Commission's Maintenance of Effort base year amounts approved by the Commission at its July 8, 2009 meeting, and that the Agency shall not use such funds to replace discretionary local funds previously expended by the Agency for local transportation purposes. The Agency hereby acknowledges that the failure of the Agency to continue such local expenditure shall result in a reduction or loss of Measure A funds. Dated: /114-1" , age z '/o ITY MANAGER ATTEST: RIVERSIDE COUNTY TRANSPORATION COMMISION MEASURE A LOCAL FUNDS PROGRAM FY 2011 - 2015 Agency: Page 1 of 5 Prepared by: Ken Seumalo Phone #: 951-674-3124 Fact. 244 Date: May 5, 2010 Item No. Project Name I Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 1. 2011 Annual curb, gutter, sidewalk repair program Maintenance $130,000 $130,000 2. 2011 Annual Traffic Striping Maintenance $130,000 $130,000 3. 2011 Pavement Maintenance $282,000 $282,000 Management Program 4. 2011 Roadway Drainage Construction $100,000 $100,000 Projects 5. 2011 Street Slope Repair Maintenance $75,000 $75,000 RIVERSIDE COUNTY TRANSPORATION COMMISION MEASURE A LOCAL FUNDS PROGRAM FY 2011 - 2015 Agency: Page 2 of 5 Prepared by: Ken Seumalo Phone #: 951-674-3124 Ext. 244 Date: May 5, 2010 Item No. Project Name ! Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 1. 2012 Annual curb, gutter, sidewalk repair program Maintenance $130,000 $130,000 2. 2012 Annual Traffic Striping Maintenance $130,000 $130,000 3. 2012 Pavement Maintenance $374,000 $374,000 Management Program 4. 2021 Roadway Drainage Construction $100,000 $100,000 Projects RIVERSIDE COUNTY TRANSPORATION COMMISION MEASURE A LOCAL FUNDS PROGRAM FY 2011 - 2015 Agency: Page, of 5 Prepared by: Ken Seumalo Phone #: 951-674-3124 Ext. 244 Date: May 5, 2010 Item No. Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 1. 2013 Annual curb, gutter, sidewalk repair program Maintenance $100,000 $100,000 2. 2013 Annual Traffic Striping Maintenance $100,000 $100,000 3. 2013 Pavement Maintenance $456,000 $456,000 Management Program 4. 2013 Roadway Drainage Construction $100,000 $100,000 Projects RIVERSIDE COUNTY TRANSPORATION COMMISION MEASURE A LOCAL FUNDS PROGRAM FY 2011 - 2015 Agency: Page 4 of 5 Prepared by: Ken Seumalo Phone #: 951-674-3124 Ext. 244 Date: May 5, 2010 Item No. Project Name ! Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 1. 2014 Annual curb, gutter, sidewalk repair program Maintenance $100,000 $100,000 2. 2014 Annual Traffic Striping Maintenance $100,000 $100,000 3. 2014 Pavement Maintenance $487,000 $487,000 Management Program 4. 2014 Roadway Drainage Construction $100,000 $100,000 Projects RIVERSIDE COUNTY TRANSPORATION COMMISION MEASURE A LOCAL FUNDS PROGRAM FY 2011 - 2015 Agency: Page 5 of 5 Prepared by: Ken Seumalo Phone #: 951-674-3124 Ext. 244 Date: May 5, 2010 Item No. Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 1. 2015 Annual curb, gutter, sidewalk repair program Maintenance $100,000 $100,000 2. 2015 Annual Traffic Striping Maintenance $100,000 $100,000 3. 2015 Pavement Maintenance $526,000 $526,000 Management Program 4. 2015 Roadway Drainage Construction $100,000 $100,000 Projects 89198 AZ, SM, GA RIVERSIDE COUNTY TRANSPORTATION COMM/SS/ON MEASURE LOCAL FUNDS PROGRAM FY 2011 - 2015 Agency: City of Menifee Page 1 of 5 Prepared by: Don Allison, City Engineer/Director of Public Works Phone #: 951-672-6777 Date: May 24, 2010 Item No. Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 2009-2010 Carryover Street Improvements Street Maintenance Street Improvements Street Maintenance Street Maintenance $200,000 $300,000 $120,000 $400,000 $500,000 $960,000 $746,000 $200,000 $300,000 $120,000 $400,000 $500,000 2010-2011 1 2 3 4 5 Newport Rd Haun Rd South Median Modification Bradley Rd Newport Rd to Potomac Rd AC Overlay Newport Rd Antelope Rd North Median Modification Encanto Rd Shadel Rd to Ethanac Rd AC Overlay Residential Slurry Program TOTALS $1,520,000 $1,520,000 X.29.26 RIVERSIDE COUNTY TRANSPORTATION COMM/SS/ON MEASURE LOCAL FUNDS PROGRAM FY 2011 - 2015 Agency: City of Menifee Page 2 of 5 Prepared by: Don Allison, City Engineer/Director of Public Works Phone #: 951-672-6777 Date: May 24, 2010 Item No. Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 2010-2011 Carryover $186,000 2011-2012 $764,000 1 Slurry Seal Program Street Maintenance $400,000 $400,000 2 Garbani Rd, Bradley Rd at Craig Ave to Kurt St Street Improvments $300,000 $300,000 3 Residential Overlays Street Maintenance $500,000 $151,000 4 Residential Slurry Seal Program Street Maintenance $500,000 $99,000 TOTALS $1,700,000 $950,000 RIVERSIDE COUNTY TRANSPORTATION COMM/SS/ON MEASURE LOCAL FUNDS PROGRAM FY 2011 - 2015 Agency: City of Menifee Page 3 of 5 Prepared by: Don Allison, City Engineer/Director of Public Works Phone #: 951-672-6777 Date: May 24, 2010 Item No. Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 2012-2013 Street Improvments Street Maintenance Street Maintenance Street Maintenance $1,500,000 $400,000 $500,000 $1,500,000 $787,000 $787,000 $0 $0 $0 1 2 3 4 Newport Rd Widening, Antelope Rd to Menifee Rd Residential Slurry Seal Program Residential Overlays Murrieta Rd Newport Rd to Cherry Hills Blvd Overlay TOTALS $3,900,000 $787,000 RIVERSIDE COUNTY TRANSPORTATION COMM/SS/ON MEASURE LOCAL FUNDS PROGRAM FY 2011 - 2015 Agency: City of Menifee Page 4 of 5 Prepared by: Don Allison, City Engineer/Director of Public Works Phone #: 951-672-6777 Date: May 24, 2010 Item No. Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 2013-2014 $818,000 1 Residential Overlays Street Maintenance $500,000 $318,000 2 Residential Slurry Seal Program Street Maintenance $500,000 $500,000 3 Newport Rd Haun Rd to Murrieta Rd Overlay Street Maintenance $2,000,000 $0 TOTALS $3,000,000 $818,000 RIVERSIDE COUNTY TRANSPORTATION COMM/SS/ON MEASURE LOCAL FUNDS PROGRAM FY 2011 - 2015 Agency: City of Menifee Page 5 of 5 Prepared by: Don Allison, City Engineer/Director of Public Works Phone #: 951-672-6777 Date: May 24, 2010 Item No. Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 2014-2015 $859,000 1 Residential Overlays Street Maintenance $500,000 $359,000 2 Residential Slurry Seal Program Street Maintenance $500,000 $500,000 3 Holland Rd Realignment Street Improvements $5,000,000 $0 TOTALS $6,000,000 $859,000 89091 TT, SM TEL: 951.413.3130 FAX: 951.413.3170 www.MOVAL.ORG May 4, 2010 MORENO VALLEY WHERE DREAMS SOAR 14177 FREDERICK SI REEF P. O. Box 88005 MORENO VALLEY. CA 92552-080.5 BlEiCE ME-) MAY 06 2010 RIVERSIDE COUNTY TRANSPORTATION COMMISSION Ms. Shirley Medina, Planning and Programming Manager Riverside County Transportation Commission 4080 Lemon Street, 3`d Floor Riverside, California 92502 Subject: Fiscal Year 2011-2015 Measure "A" Local Streets and Roads Capital Improvement Plan and Maintenance of Effort Certification Statement Dear Ms. Trevino: The City of Moreno Valley is pleased to submit its Fiscal Year (FY) 2011-2015 Measure "A" Local Streets and Roads Capital Improvement Plan (CIP). The City Council reviewed and approved the Five -Year Measure "A" Local Streets and Roads CIP and Maintenance of Effort (MOE) Certification Statement on April 27, 2010. For questions regarding the Measure "A" CIP please contact Linda Wilson, Senior Management Analyst, at (951) 413-3132 or by email at lindawi@moval.org. Sincerely, Linda Wilson Senior Management Analyst Enclosures: Measure "A" Local Funds Program FY 2009/2010 Approved Budget (Attachment "A") Measure "A" Local Funds Program FY 2011 - 2015 (Attachment `B") MOE Certification Statement (Attachment "C") MOE Projection for FY 2009/2010 (Attachment "D") c: File Prem Kumar, Deputy Public Works Director/Assistant City Engineer PUBLIC WORKS DEPARTMENT X.29.12 .V. 1N3WHOb'lld RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE A LOCAL FUNDS PROGRAM FY 2009 / 2010 APPROVED BUDGET Agency: City of Moreno Valley Page 1 of 2 Prepared by: Linda Wilson Phone No: 951-413-3132 Date: May 7, 2010 Fiscal Year 2009/2010 Item No. Business Unit ProjectName/Limits Project Type Status Total Cost 1,000s Measure A Funding 1 54150 Measure A Program Budget Program Budget Provide functions for transportation projects and services: annual update of 5-Year CIP, revisions to Standard Plans, annual update to DBE specifications, development of DBE AADPL, preparation of grant applications, quarterly utility coordination, MSHCP reporting, and project engineering and right of way services for unfunded new projects. 436 438 2 Indirect Cost Rate Overhead Estimated amount of overhead costs to be distributed to Measure A projects based on projected revenue of $2,279,000. 182 182 3 56330 Citywide Annual Pavement Resurfacing Program Rehabilitation On -going annual program. 3,706 ' 77 4 56339 Pavement Rehab -Operations & Maintenance (PROM) Program Rehabilitation Rehabilitation projects under $30.000 each completed by City maintenance staff . 765 765 5 65320 Bicycle Lane Bicycle Lane Local match funding for BTA grant awards to stripe Class II bike lanes to conned discontinuous segments of the Aqueduct Bike Trail. 127 Z - 6 66625 SR-60 Eastbound Ramps/Redlands Bvld. Traffic Signal Freeway Ramp & Traffic Signal Project completed February 2010. 1,269 1,269 7 66626 Graham St./Bay Ave. Traffic Signal Traffic Signal Project completed November 2008. Carryover funds were for a one- year warrant period. 11 11 8 66627 1 Perris Blvd SB Lane to SR-60 WB On -Ramp Street Improvements Complete design. 46 46 9 66628 Cottonwood Ave./Pattilynn Dr. School Crossing Traffic Signal Traffic Signal Project completed. 226 226 10 66629 Annual ADA Compliant Curb Ramp Upgrades Sidewalk Improvements On -going program for design and construction of ADA compliant curb ramps. 200 200 11 66722 Reche Vista Dr. Realignment/Perris Blvd./Heacock St. to NCL Street Improvements Continue design. 3,913 3 1,279 12 66727 Alessandro Blvd. Raised Median at Gaye St. to Perris Blvd. Median Project deferred. Retum funds to Fund Balance. 147 147 13 66728 Cottonwood Ave. at Oliver St Striping/Channelization/Rd Safety Street Improvements Project completed July 2009. 25 25 14 66729 Heacock Street South Extension Street Improvements Alignment and traffic study. 35 35 15 66825 Heacock St. Bridge/PVSD Lateral "A" Bridge Complete design. 258 ` 30 16 66827 Moreno Beach/Rte 60 Right Turn Lane Improvements Street Improvements Project on hold. Return funds to Fund Balance. 89 89 17 66828 Roadside Safety Improvements/Elder Ave. W/o Nason St. Street Improvements Project completed July 2009. 48 48 18 66829 Nason St./Riverside Co. Regional Medical Center TS Traffic Signal Traffic signal design. 35 35 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE A LOCAL FUNDS PROGRAM FY 2009 / 2010 APPROVED BUDGET Agency: City of Moreno Valley Page 2 of 2 Prepared by: Linda Wilson Phone No: 951-413-3132 Date: May 7, 2010 19 66927 Redlands Blvd./SR-60 WB Ramp Traffic Signal Traffic Signal Complete design. 46 46 20 67123 Indian St./Cactus Ave. Intersection Imprv. and Storm Drain Street & Strom Drain Improvements Completed January 2009. Project closeout January 2010. 31 31 21 67128 Sunnymead Blvd./Frederick St. to Perris Blvd. Street Improvements Median construction October 2009 to May 2010. 6,106 5 - 22 67425 Heacock St./Gentian-Poppystone & Frederick-Sunnymead Street Improvements Project completed. Project closeout June 2010. 146 146 23 67428 Pigeon Pass Rd. Widening/Climbing Rose Dr. to NCL Street Improvements Project completed. 1,165 ° 23 24 67524 Aqueduct Bikeway Improvement/Indian St. to Fay Ave. Bicycle Trail Project completed October 2009. 713 713 25 82824 Residential Traffic Management Program (Speed Hump Program) Speed Hump On -going annual program for design and construction of speed humps. 190 190 26 82828 Indian St./Alessandro Blvd Sidewalk Improvements Sidewalk Improvements Construction May 2010 to July 2010. 215 7 21 27 84830 Pavement Rehabilitation Program (fonnerly Slurry Seal Program) Resurface On -going annual program. 292 292 28 85020 Surface Recycling Rehabilitation On -going annual program. 153 153 29 85523 Street Improvement Program (SIP) Street Improvements On -going annual program. 307 307 30 89720 SR-60/Nason St. Interchange IC Impry EB/WB Ramps Design, utility relocation, right of way and construction. Estimated construction start date is June 2010. 13,705 ° 6,089 31 New A Dracaea Ave. Sidewalk/Morrison St. to Mascot Ln. Sidewalk Improvements Complete design. Y54 9 44 FY 200912010 Total 34,841 12,955 " Includes FY 08/09 carryover funds. Traffic Congestion Relief (Prop 42) - $1,468,274; Proposition 1 B - $2,160,978 3 FY 08/09 BTA Award - $126,982 STPL Funds - $1,967,000 (reprogrammed to SR-60/Nason FY 10/11); DIF Arterial Streets - $667,048 4 HBRRP Funds - $360,000 for design (remaining balance - $228,067) ° 2005 Lease Revenue Bonds - $3,228,855; RDA Funds - $1,263,584; TE Grant - $1,614,000 (remaining balance - $1,406,900). Grant budgeted in Measure A. RDA funds will be used as local match. 9 TUMF Funds - $679,953; DIF Arterial Streets - $462,239 7 SR2S Grant - $215,820 (remaining balance - $193,283) ° STPL ROW Funds - $1,350,082 - (remaining balance - $1,346,321); STPL Construction Funds - $1,770,219; Federal Demo Construction Funds - $4,500,000 9 SR2S Grant - $210,000 2,279 9 , . 1 N 3 0 1 H O V 1 1 V R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N M E A S U R E A L O C A L F U N D S P R O G R A M F Y 2 0 1 1 - 2 0 1 5 A g e n c y : C i t y o f M o r e n o V a l l e y P a g e 1 o f 6 P r e p a r e d b y : L i n d a W i l s o n D a t e : M a y 7 , 2 0 1 0 F i s c a l Y e a r 2 0 1 0 / 2 0 1 1 I t e m N o . B u s i n e s s U n i t P r o j e c t N a m e / L i m i t s P r o j e c t T y p e S t a t u s T o t a l C o s t 1 , 0 0 0 s M e a s u r e A F u n d i n g 1 5 4 1 5 0 M e a s u r e A P r o g r a m B u d g e t P r o g r a m B u d g e t P r o v i d e c o s t e f f e c t i v e a d m i n i s t r a t i v e f u n c t i o n s f o r e s s e n t i a l t r a n s p o r t a t i o n p r o j e c t s a n d s e r v i c e s : a n n u a l u p d a t e o f 5 - Y e a r C I P , r e v i s i o n s t o S t a n d a r d P l a n s , a n n u a l u p d a t e t o D B E s p e c i f i c a t i o n s , d e v e l o p m e n t o f D B E A A D P L , p r e p a r a t i o n o f g r a n t a p p l i c a t i o n s , q u a r t e r l y u t i l i t y c o o r d i n a t i o n , M S H C P r e p o r t i n g , a n d p r o j e c t e n g i n e e r i n g a n d r i g h t o f w a y s e r v i c e s f o r u n f u n d e d n e w p r o j e c t s . 4 3 8 4 3 8 2 I I n d i r e c t C o s t R a t e O v e r h e a d E s t i m a t e d a m o u n t o f o v e r h e a d c o s t s t o b e d i s t r i b u t e d t o M e a s u r e A p r o j e c t s b a s e d o n p r o j e c t e d r e v e n u e o f 6 2 , 2 7 0 , 0 0 0 . 1 8 2 1 8 2 3 N e w C r a c k S e a l ( S l u r r y S e a l ) P r o g r a m B u d g e t F a c i l i t i e s p a v e m e n t r e h a b i l i t a t i o n w o r k a n d c r a c k s e a l i n g a s n e e d e d t o I p r e p a r e f o r t h e n e x t s l u r r y s e a l c y c l e . 5 0 5 0 4 N e w C i t y - W i d e T r a f f i c S i g n a l s P r o g r a m B u d g e t M a i n t a i n t h e C i t y ' s t r a f f i c s i g n a l s y s t e m . I n s p e c t c o n s t r u c t i o n o f n e w s i g n a l s a n d i n t e r c o n n e c t s . 6 9 5 6 9 5 5 N e w C i t y - W i d e C o n c r e t e M a i n t e n a n c e P r o g r a m B u d g e t E n s u r e t h e s a f e t y a n d c o n v e n i e n c e o f p e d e s t r i a n s u s i n g C i t y s i d e w a l k s a n d e n s u r e t h e p r o p e r d r a i n a g e o f C i t y s t r e e t s b y k e e p i n g a l l C i t y s i d e w a l k s , c u r b s , g u t t e r s a n d c r o s s - g u t t e r s i n g o o d r e p a i r . 2 4 0 2 4 0 6 N e w C i t y - W i d e S i g n a n d S t r i p i n g P r o g r a m B u d g e t M a i n t a i n C i t y t r a f f i c c o n t r o l d e v i c e s i n c l u d i n g s i g n s , l e g e n d s , s t r i p i n g a n d p a v e m e n t m a r k i n g s . 8 1 2 8 1 2 7 N e w C i t y - W i d e T r a n s p o r t a t i o n O p e r a t i o n s P r o g r a m B u d g e t R e v i e w a n d m i t i g a t e c o l l i s i o n s a n d p r o v i d e f o r t h e s a f e a n d e f f i c i e n t o p e r a t i o n o f t h e C i t y s t r a n s p o r t a t i o n s y s t e m . 1 2 0 1 2 0 8 5 6 3 3 9 P a v e m e n t R e h a b - O p e r a t i o n s S M a i n t e n a n c e ( P R O M ) P r o g r a m R e h a b i l i t a t i o n R e h a b i l i t a t i o n p r o j e c t s u n d e r $ 3 0 , 0 0 0 / e a c h c o m p l e t e d b y C i t y m a i n t e n a n c e s t a f f . 2 0 2 2 0 2 8 6 6 6 2 5 S R - 6 0 E a s t b o u n d R a m p s / R e d l a n d s B v l d . T r a f f i c S i g n a l T r a f f i c S i g n a l P r o j e c t c o m p l e t e d F e b r u a r y 2 0 1 0 . C a r r y o v e r f u n d s a r e f o r a o n e - y e a r w a r r a n t y p e r i o d . g g 9 6 6 6 2 7 P e r r i s B l v d S B L a n e t o S R - 6 0 W B O n - R a m p S t r e e t I m p r o v e m e n t s C o m p l e t e d e s i g n . 4 6 0 4 6 0 1 0 6 6 6 2 8 C o t t o n w o o d A v e . / P a t t i l y n n D r . S c h o o l C r o s s i n g T r a f f i c S i g n a l T r a f f i c S i g n a l P r o j e c t c o m p l e t e d . C a r r y o v e r f u n d s a r e f o r a o n e - y e a r w a r r a n t y p e r i o d . 2 2 1 1 6 6 6 2 9 A n n u a l A D A C o m p l i a n t C u r b R a m p U p g r a d e s S t r e e t I m p r o v e m e n t s O n - g o i n g p r o g r a m f o r d e s i g n a n d c o n s t r u c t i o n o f A D A c o m p l i a n t c u r b r a m p s . 2 0 0 2 0 0 1 2 6 6 7 2 2 R e c h e V i s t a D r . R e a l i g n m e n t / P e n i s B l v d . / H e a c o c k S t . t o N C L S t r e e t I m p r o v e m e n t s C o m p l e t e d e s i g n . E s t i m a t e d c o n s t r u c t i o n d a t e : N o v e m b e r 2 0 1 1 . 4 9 8 4 9 8 1 3 6 6 7 2 9 H e a c o c k S t r e e t S o u t h E x t e n s i o n S t r e e t I m p r o v e m e n t s C o m p l e t e a l i g n m e n t a n d t r a f f i c s t u d y . 2 0 2 0 1 4 6 6 8 2 5 H e a c o c k S t . B r i d g e / P V S D L a t e r a l " A " B r i d g e C o n s t r u c t i o n : O c t o b e r 2 0 1 0 t o D e c e m b e r 2 0 1 1 2 , 6 0 9 2 9 9 1 5 6 6 8 2 9 N a s o n S t J R i v e r s i d e C o . R e g i o n a l M e d i c a l C e n t e r T S T r a f f i c S i g n a l C o n s t r u c t i o n : J a n u a r y 2 0 1 1 t o J u l y 2 0 1 1 . 2 4 2 2 4 2 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE A LOCAL FUNDS PROGRAM FY 2011 - 2015 Agency: City of Moreno Valley Page 2 of 6 Prepared by: Linda tiVlson Date: May 7, 2010 Fiscal Year 2010/2011 Item No. Business Unit Project Name/Limits Project Type Status Total Cost 1,000s Measure A Funding 16 67428 Pigeon Pass Rd. Widening/Climbing Rose Dr. to NCL Street Improvements Project completed July 2009. Carryover funds are for a one-year warranty period. 23 2 13 17 67524 Aqueduct Bikeway Improvement/Indian St. to Fay Ave. Park Project completed October 2009. Carryover funds are for a one-year warranty period. 5 5 18 82824 Residential Traffic Management Program (Speed Hump Program) Street Improvements On -going annual program for design and construction of speed humps. 100 100 19 82828 Indian St./Alessandro Blvd Sidewalk Improvements Street Improvements Construction: May 2010 to July 2010. 100 ' 10 20 84830 Pavement Rehabilitation Program (formerly Slurry Seal Program) Resurface On -going annual program. 50 50 21 85020 Surface Recycling Rehabilitation !On -going annual program. 120 120 22 85523 Street Improvement Program (SIP) Street Improvements On -going annual program. 1,488 388 23 89720 SR-60/Nason St. Interchange Street Improvements Design, utility relocation, right of way and construction. Construction: June 2010 to May 2011 12,409 ° 1,710 24 New A Dracaea Ave. Sidewalk/Morrison St to Mascot Ln. Street Improvements Construction October 2010 to November 2010. 232 5 22 25 New D tasselle St./Margaret Ave. Traffic Signal Traffic Signal 20 20 FY 2010/2011 Total 21,326 " 6,907 " 1 HBRRP Funds - $360,000 for design (remaining balance - $78,983); $2,230,956 construction funding 2 DIF Arterial Streets - $10,000 3 SR2S Grant - $215,820 (remaining balance - $90,000) STPL Construction Funds - $4,737,219; Federal Demo Construction Funds - $4,500,000; DIF Interchange Improvements - $1,740,000 5 SR2S Grant - $210,000 . Includes FY 09/10 carryover funds. RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE A LOCAL FUNDS PROGRAM FY 2011 - 2015 Agency: City of Moreno Valley Page 3 of 6 Prepared by: Linda Wilson Date: May 7, 2010 Fiscal Year 2011/2012 Item No. Business Unit Project Name/Limits Project Type Status Total Cost 1,000s Measure A Funding 26 54150 Measure A Program Budget Program Budget On -going annual program. 442 442 27 Indirect Cost Rate Overhead Estimated amount of overhead costs to be distributed to Measure A projects based on projected revenue of $2,325,000. 186 186 28 66629 Annual ADA Compliant Curb Ramp Upgrades Street Improvements On -going program for design and construction of ADA compliant curb ramps. 200 200 29 66722 Reche Vista Dr. Realignment/Perris Blvd./Heacock St. to NCL Street Improvements Construction: November 2011 to May 2012. 1,027 1,027 30 82824 Residential Traffic Management Program (Speed Hump Program) Street Improvements On -going annual program for design and construction of speed humps. 100 100 31 85020 Surface Recycling Rehabilitation On -going annual program. 120 120 32 85523 Street Improvement Program (SIP) Street Improvements On -going annual program. 250 250 33 New D Lasselle St./Margaret Ave. Traffic Signal Traffic Signal Construction 175 175 FY 2011/2012 Total FY 2011/2012 Total 2,325 2,325 * * The projects listed have a recommended appropriation matching the projected revenue forecast by RCTC, dated February 8, 2010. The projects will include carryover from previous years and will be prioritized during the appropriate fiscal year as part of the City budget process. RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE A LOCAL FUNDS PROGRAM FY 2011 - 2015 Agency: City of Moreno Valley Page 4 of 6 Prepared by: Linda Wilson Date: May 7, 2010 Fiscal Year 201212013 Item No. Business Unit Project Name/Limits Project Type Status Total Cost 1,000s Measure A Funding 34 54150 Measure A Program Budget Program Budget On -going annual program. 400 400 35 Indirect Cost Rate Overhead Estimated amount of overhead costs to be distributed to Measure A projects based on projected revenue of $2,394,000. 192 192 36 56339 Citywide Annual Pavement Resurfacing Program Rehabilitation On -going annual program 1,420 ® 170 37 66629 Annual ADA Compliant Curb Ramp Upgrades Sidewalk Improvements On -going program for design and construction of ADA compliant curb ramps. 200 200 38 66727 Alessandro Blvd. Raised Median at Gaye St. to Perris Blvd. Median 470 470 39 82824 Residential Traffic Management Program (Speed Hump Program) Speed Hump On -going annual program for design'and construction of speed humps. 100 100 40 84830 Pavement Rehabilitation Program (formerly Slurry Seal Program) Resurface On -going annual program. 492 492 41 85020 Surface Recycling Rehabilitation On -going annual program. 120 120 42 85523 Street Improvement Program (SIP) Street Improvements On -going annual program. 250 250 FY 2012f2013 Total 3,644 2,394 6Traffic Congestion Relief (Prop 42) - $1,250,000 The projects listed have a recommended appropriation matching the projected revenue forecast by RCTC, dated February 8, 2010. The projects will include carryover from previous years and will be prioritized during the appropriate fiscal year as part of the City budget process. RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE A LOCAL FUNDS PROGRAM FY 2011 - 2015 Agency: City of Moreno Valley Page 5 of 6 Prepared by: Linda Wilson Date: May 26, 2009 Fiscal Year 2013/2014 Item No. Business Unit Project Name/Limits Project Type Status Total Cost 1,000s Measure A Funding 43 54150 Measure A Program Budget Program Budget On -going annual program. 400 400 44 Indirect Cost Rate Overhead Estimated amount of overhead costs to be distributed to Measure A projects based on projected revenue of $2,490,000. 199 199 45 56330 Citywide Annual Pavement Resurfacing Program Rehabilitation On -going annual program 1,596 346 46 66629 Annual ADA Compliant Curb Ramp Upgrades Sidewalk Improvements On -going program for design and construction of ADA compliant curb ramps. 200 200 47 82824 Residential Traffic Management Program (Speed Hump Program) Speed Hump On -going annual program for design and construction of speed humps. 100 100 48 84830 Pavement Rehabilitation Program (formerly Slurry Seal Program) Resurface On -going annual program. 875 875 49 85020 Surface Recycling Rehabilitation On -going annual program. 120 120 50 85523 Street Improvement Program (SIP) Street Improvements On -going annual program. 250 250 FY 201312014 Total 3,740 * 2,490 * r Traffic Congestion Relief (Prop 42) - $1,250,000 *The projects listed have a recommended appropriation matching the projected revenue forecast by RCTC, dated February 8, 2010. The projects will include carryover from previous years and will be prioritized during the appropriate fiscal year as part of the City budget process. RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE A LOCAL FUNDS PROGRAM FY 2011 - 2015 Agency: City of Moreno Valley Page 6 of 6 Prepared by: Linda Wilson Date: May 26, 2009 Fiscal Year 2014/2016 Item No. Business Unit Project Name/Limits Project Type Status Total Cost 1,000s Measure A Funding 51 54150 Measure A Program Budget Program Budget On -going annual program. 400 400 52 Indirect Cost Rate Overhead Estimated amount of overhead costs to be distributed to Measure A projects based on projected revenue of $2,615,000. 209 -s 209 53 56330 Citywide Annual Pavement Resurfacing Program Rehabilitation On -going annual program 1,586 336 54 66629 Annual ADA Compliant Curb Ramp Upgrades Sidewalk Improvements On -going program for design and construction of ADA compliant curb ramps. 200 200 55 56 82824 Residential Traffic Management Program (Speed Hump Program) Speed Hump On -going annual program for design and construction of speed humps. 100 100 84830 Pavement Rehabilitation Program (formerly Slurry Seal Program) Resurface On -going annual program. 1,000 1,000 57 85020 Surface Recycling Rehabilitation On -going annual program. 120 120 58 85523 Street Improvement Program (SIP) Street Improvements On -going annual program. 250 250 FY 201412015 Total 3,865 " 2,615 ' 8 Traffic Congestion Relief (Prop 42) - $1,250,000 " The projects listed have a recommended appropriation matching the projected revenue forecast by RCTC, dated February 8, 2010. The projects will include carryover from previous years and will be prioritized during the appropriate fiscal year as part of the City budget process. MAINTENANCE OF EFFORT CERTIFICATION STATEMENT The undersigned hereby agrees and certifies for the City of Moreno Valley that sales tax transportation funds received pursuant to Ordinance No. 02-001 of the Riverside County Transportation Commission ("Measure A") shall be used in compliance with the Commission's Maintenance of Effort base year amounts approved by the Commission at its July 8, 2009 meeting, and that the Agency shall not use such funds to replace discretionary local funds previously expended by the Agency for local transportation purposes. The Agency hereby acknowledges that the failure of the Agency to continue such local expenditure shall result in a reduction or loss of Measure A funds. Date: Wifftam Bopf Interim City Manager ATTEST: Reviewed By: Steve Elam Interim Financial & Administrative Services Director Reviewed By: Chris A. Vogt, P.E. Public Works Director/City Engineer ATTACHMENT "C" CITY OF MORENO VALLEY MOE Projection for FY 2009-10 County of Riverside Measure "A" 1/2 Cent Sales Tax 2009-10 Projected Fund Description Actuals 010 53110 Public Works - Transportation Engineering 893,021 010 53310 Public Works - Traffic Signal Maintenance 674,533 010 54110 Public Works - Street Projects Engineering 9,214 010 55110 Public Works - Street Maintenance 0 010 55410 Public Works - Signing/Striping 0 121 Gas Tax Transfer from General Fund 644,153 $2,220,921 ATTACHMENT "D" 89360 SM, TT, AZ, GA CITY OF MURRIETA June 15, 2010 Ms. Theresia Trevino, Chief Financial Officer Riverside County Transportation Commission 4080 lemon Street, 3rd Floor Riverside, CA 92502 SUBJECT: Measure A - FY 2010-2015 Streets and Roads Five Year Program Dear Ms. Trevino, Our five-year Measure A Program and Certification of Maintenance Effort is attached for your consideration and approval. Please refer to the descriptions below for the status of projects under construction or design in the Measure A Program for FY 2009-10. CIP 8043 Pavement Resurfacing — Asphalt Overlay This item provides for asphalt overlay of major and collector streets as determined by the citywide pavement management program. The City completed a major asphalt overlay project in FY 09-10. Any remaining funds in the Pavement Resurfacing — Asphalt Overlay project account will be carried over to FY 10-11. CIP 8051 Monroe Ave: Symphony Park to Los Alamos Road This project is 100% complete and was opened for traffic in August 2009 prior to opening of the adjacent new high school. CIP 8059 Guava Street: Jefferson Ave to Murrieta Creek Engineering design and environmental review is approximately 90% complete. CIP 8311 I-15 Overcrossing (a, Los Alamos Road The combined PSR/PR was approved by Caltrans in May 2010. CIP 8323 Guava Bridge over Murrieta Creek Engineering design and environmental review is approximately 75%. Construction planned for 2011. CIP 8335 Jackson Ave @ Warm Springs Creek Engineering design and environmental review is approximately 90% complete. 1 Town Square, 24601 Jefferson Avenue • Murrieta, California 92562 phone: 951.304.CITY (2489) • fax: 951.698.4509 • web: murrieta.org X.29.22 Page 2 Ms. Trevino, Chief Financial Officer Measure A — FY 2010-2015 Streets and Roads 5 Year Program CIP 8380 Jefferson Ave Widening at Ballesteros Engineering design and environmental review approximately 50% complete. Construction will be delayed due to delay of Palomar Street project in City of Wildomar. CIP 8430 Neighborhood Traffic Management Program The City Council has adopted a Neighborhood Traffic Management Program and these funds will install the improvements approved via the program. CIP 8432 Clinton Keith/Meadowlark Lane This traffic signal project design/environmental is under way and being coordinated with the County of Riverside project for Clinton Keith Road and our own Meadowlark Lane improvements. CIP 8433 Murrieta Hot Springs Medians: Alta Murrieta to Margarita Engineering design and environmental review approximately 95% complete. Construction planned for 2011. CIP 8257 Citywide Signal Modifications Plans prepared for modification of 3 traffic signals on California Oaks Road complete. Construction started in June 2010. CIP 8438 Priority Traffic Signals Plans prepared for installation of 2 new traffic signals at Jefferson Ave/Nutmeg St. and Monroe Ave/Jackson Ave. Construction planned for 2011. Sinc Patrick A. Titas, Public Works Director/City Engineer cc: Rick Dudley, City Manager Jim Holston, Assistant City Manager Joy Canfield, Finance Director Bob Moehling, Engineering Manager Jeff Hitch, Associate Engineer RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE A LOCAL FUNDS PROGRAM FY 2010-2011 Agency: City of Murrieta Page: 1 of 5 Prepared by: Patrick Thomas, Public Works Director Phone #: (951) 461-6078 Date: 6/15/2010 Item # Project Name / Limits 1 CIP 8043 Pavement Resurfacing - Asphalt Overlay 2 CIP 8430 Neighborhood Traffic Management Program 3 Debt Service - COP 2007 for 1-15 & I-215 Interchanges @ Murrieta Hot Springs Rd and 1-215 Interchange @ Clinton Keith 4 CIP 8051 Monroe Avenue: Symphohy Park to Los Alamos Rd 5 CIP 8257 Citywide Signals Modification 6 CIP 8330 Traffic Signal Optimazation/Congestion 7 CIP 8348 Traffic Signal Fiberoptic Interconnect 8 CIP 8079 Murrieta Hot Springs Rd Widening: Margarita to Date 9 CIP 8389 Whitewood Rd Widening: Hunter to Clinton Keith Rd 10 CIP 8433 Murrieta Hot Springs Rd Median: Alta to Margarita Total Project Type Maintenance Construction Debt Service Construction Construction Maintenance Construction Construction Construction Construction Total Cost $ 2,272,556 $ $ 153,254 $ $ 732,264 $ $ 298,444 $ $ 484,882 $ $ - $ $ 121,141 $ $ 2,500,000 $ $ 1,244,491 $ $ 903,929 $ Measure A Funds 2,272,556 153,254 732,264 130,543 174,601 121,140 1,458,281 1,085,000 444,569 $ 6,572,208 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE A LOCAL FUNDS PROGRAM FY 2011-2012 Agency: City of Murrieta Page: 2 of 5 Prepared by: Patrick Thomas, Public Works Director Phone #: (951) 461-6078 Date: 6/15/2010 item # 1 2 3 4 5 6 Project Name / Limits CIP 8043 Pavement Resurfacing - Asphalt Overlay Debt Service - COP 2007 for I-15 & 1-215 Interchanges @ Murrieta Hot Springs Rd and 1-215 Interchange @ Clinton Keith CIP 8430 Neighborhood Traffic Management Program CIP 8257 Citywide Signals Modifications CIP 8330 Traffic Signal Optimization/Congestion Management CIP 8348 Traffic Signal Fiber Optic Interconnect Total Project Type Maintenance Debt Service Construction Construction Construction Construction Total Cost $ 548,400 $ 726,489 $ 100,000 $ 174,070 $ 138,950 $ 100,000 Measure A Funds $ 548,400 $ 726,489 $ 100,000 $ 174,070 $ 68,950 $ 100,000 $ 1,803,807 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE A LOCAL FUNDS PROGRAM FY 2012-2013 Agency: City of Murrieta Page: 3 of 5 Prepared by: Patrick Thomas, Public Works Director Phone #: (951) 461-6078 Date: 6/15/2010 Item # Project Name / Limits 1 CIP 8043 Pavement Resurfacing - Asphalt Overlay 2 Debt Service - COP 2007 for 1-15 & 1-215 Interchanges @ Murrieta Hot Springs Rd and 1-215 Interchange @ Clinton Keith 3 CIP 8430 Neighborhood Traffic Management Program 4 CIP 8257 Citywide Signals Modification 5 CIP 8330 Traffic Signal Optimization/Congestion Management 6 CIP 8348 Traffic Signal Fiber Optic Interconnect Total Project Type Maintenance Debt Service Construction Construction Construction Construction Total Cost $ 564,800 Measure A Funds $ 564,800 $ 728,833 $ $ 100,000 $ $ 178,230 $ $ 141,000 $ $ 100,000 $ 728,833 100,000 178,230 71,000 100,000 $ 1,742,863 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE A LOCAL FUNDS PROGRAM FY 2013-2014 Agency: City of Murrieta Page: 4 of 5 Prepared by: Patrick Thomas, Public Works Director Phone #: (951) 461-6078 Date: 6/15/2010 Item # Project Name / Limits 1 CIP 8043 Pavement Resurfacing - Asphalt Overlay 2 Debt Service - COP 2007 for 1-15 & 1-215 Interchanges @ Murrieta Hot Springs Rd and 1-215 Interchange @ Clinton Keith 3 CIP 8430 Neighborhood Traffic Management Program 4 CIP 8257 Citywide Signals Modifications 5 CIP 8330 Traffic Signal Optimization/Congestion 6 CIP 8348 Traffic Signal Fiber Optic Interconnect Total Project Type Maintenance Debt Service Construction Construction Construction Construction Total Cost $ 587,600 $ 730,183 $ 100,000 $ 183,560 $ 143,100 $ 100,000 Measure A Funds $ 587,600 $ 730,183 $ 100,000 $ 183,560 $ 73,100 $ 100,000 $ 1,774,443 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE A LOCAL FUNDS PROGRAM FY 2014-2015 Agency: City of Murrieta Page: 5 of 5 Prepared by: Patrick Thomas, Public Works Director Phone #: (951) 461-6078 Date: 6/15/2010 hem # 1 2 3 4 5 6 Project Name / Limits CIP 8043 Pavement Resurfacing - Asphalt Overlay Debt Service - COP 2007 for I-15 & 1-215 Interchanges @ Murrieta Hot Springs Rd and 1-215 Interchange @ Clinton Keith CIP 8430 Neighborhood Traffic Management Program CIP 8257 Citywide Signals Modifications CIP 8330 Traffic Signal Optimization/Congestion CIP 8348 Traffic Signal Fiber Optic Interconnect Total Project Type Maintenance Debt Service Construction Construction Construction Construction Total Cost $ 616,800 $ 730,183 $ 100,000 $ 190,970 $ 144,562 $ 100,000 Measure A Funds $ 616,800 $ 730,183 $ 100,000 $ 190,970 $ 74,562 $ 100,000 $ 1,812,515 MAINTENANCE OF EFFORT CERTIFICATION STATEMENT The undersigned agrees and certifies for city of Murrieta (the "Agency") that sales tax transportation funds received pursuant to Ordinance No. 02-001 of the Riverside County Transportation Commission ("Measure A") shall be used in compliance with the Commission's Maintenance of Effort base year amounts approved by the Commission at its July 8, 2009 meeting, and that the Agency shall not use such funds to replace discretionary local funds previously expended by the Agency for local transportation purposes. The Agency hereby acknowledges that the failure of the Agency to continue such local expenditure shall result in a reduction or loss of Measure A funds. Dated: Ud— , 20b0 CITY MANAGER ATTEST: 1.0714& . SECRETARY 89205 TT, SM, AZ, GA CITY of NORCO CITY HALL • 2870 CLARK AVENUE • NORCO CA 92860 • (951) 736-3900 • FAX (951) 270-5622 May 21, 2010 Theresia Trevino, Chief Financial Officer Riverside County Transportation Commission P.O. Box 12008 Riverside, CA 92502-2208 DLcil�I[ • MAY 2t RIVERSIDE: CUUtijr TRANSPORTATlgti COmiSsiON RE: 2011 — 2015 Measure A Local Streets and Roads Five -Year Capital Improvement Plans Dear Ms. Trevino: The City of Norco is pleased to submit for your consideration and approval our Five - Year Measure "A" Capital Improvement Program projections, commencing with Fiscal Year 2010/11. Also, included for your records is the Annual Certification of the City's "Maintenance of Effort" document signed by the City Manager, Beth Groves. If you have any additional questions, regarding the City of Norco 2010 submittal, please contact me at 951-270-5607. We appreciate your cooperation and assistance with the City of Norco's planned expenditures for maintenance and capital improvements to our local streets and roads. Thank You, William R. Thompson Director of Public Works City of Norco Attachments: Measure "A" 5-Year CIP Maintenance of Effort Letter CITY COUNCIL MALCOLM MILLER BERWIN HANNA Mayor Mayor Pro Tem KATHY AZEVEDO KEVIN BASH Council Member Council Member HARVEY SULLIVAN Council Member X.29.13 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A n LOCAL STREETS AND ROADS PROGRAM FY 2009 - 2010 Completed Projects Agency: CITY OF NORCO Page 1 of 7 Prepared by: WILLIAM R. THOMPSON Phone # 951-270-5607 Date: Ma v 1, 2010 Item No. Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 1. Unspecified Pavement Overlays (Hamner Ave.) Overlay/Reconstruction 150 150 2. Sixth Street — California Ave. to Crestview Dr. Reconstruction 50 50 3. Street Striping — Various Locations Striping 25 25 5. Traffic Signal — Sixth St./Hamner Ave. Signals 50 50 6. Misc. Pavement Repairs Asphalt Maintenance 50 50 7. Misc. Seal Coats Seal Coats 25 25 8. Traffic Signal Improvements — Various Signals 22 22 9. Unspecified Pavement (Sierra Avenue) Overlay/Reconstruction 150 150 10. Misc. Reconstruction Projects (Hamner Ave.) Reconstruction 100 100 Preprint/users/ri/measureA5yrfonn RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A"LOCAL STREETS AND ROADS PROGRAM FY 2010 - 2011 Agency: CITY OF NORCO Page 2 of 7 Prepared by: WILLIAM R. THOMPSON Phone # 951-270-5607 Date: MAY 1, 2010 Item No. Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 1. Unspecified Pavement Overlays Overlay 150 150 2. Rocky View — Hilltop Lane Overlay 75 75 3. Hillside Ave. — Sixth St. to River Dr. Overlay 200 200 4. Unspecified Rehabilitation and Overlay Overlay/Reconstruction 200 200 5. Hillside Ave. — Second St. to Third St. Overlay/Reconstruction 250 250 6. Reservoir Dr. — Corona Ave. to Temescal Ave. Overlay/Reconstruction 50 50 7. Golden Gate Circle, Hilltop Lane Overlay/Reconstruction 25 25 8. Corona Ave.. — First St. to Second St.. Overlay/Reconstruction 275 275 9. Temescal Ave. — Second St. to Fourth St. Overlay 300 300 10. Misc. Reconstruction Projects Reconstruction 100 100 11. Crestview Dr. — North Dr. to Sixth St. Design 50 50 12. Sierra Ave. — Fourth St. to Third St. Reconstruction 100 100 Preprint/users/ri/measureASyrform RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A "LOCAL STREETS AND ROADS PROGRAM FY2010 - 2011 Agency: CITY OF NORCO Page 3 of 7 Prepared by: WILLIAM R. THOMPSON Phone # 951-270-5607 Date: MAY 1, 2010 Item No. Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 13. Traffic Signal Improvements — Fifth St. Signal 50 50 14. First St. — Parkridge, Lincoln — Grant Match Signal 12.5 12.5 15. Street Striping Striping 30 30 16. Miscellaneous Seal Coats Seal Coat 50 50 17. Miscellaneous Pavement Repairs Street Maintenance 40 40 18. Community center Parking Lot Expansion Reconstruction 100 100 19. 20. 21. 22. 23. 24. Preprint/ users/n/measureA5yrform RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL STREETS AND ROADS PROGRAM FY 2011 - 2012 Agency: CITY OF NORCO Page 4 of 7 Prepared by: WILLIAM R. THOMPSON Phone # 951-270-5607 Date: MAY 1, 2010 Item No. Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 1. Unspecified Pavement Overlays Overlay 150 150 2. Unspecified Rehabilitation and Overlay Overlay 200 200 3. N/S River Road — E. of Bluff St. Overlay 50 50 4. Norconian Dr. — Fifth St. to Sixth St. Overlay/Reconstruction 200 200 5. Misc. Reconstruction Projects Overlay/Reconstruction 200 200 6. Crestview Dr. — North Dr. to Sixth St. Overlay/Reconstruction 300 300 7. Traffic Signal Improvements Signals 50 50 8. Street Striping Striping 30 30 9. Miscellaneous Seal Coats Seal Coat 50 50 10. Miscellaneous Pavement Repairs Street Maintenance 40 40 11. 12. 13. 14. Preprint/ users/ri/measureA5yrform RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A "LOCAL STREETS AND ROADS PROGRAM FY2012 - 2013 Agency: CITY OF NORCO Page 5 of 7 Prepared by: WILLIAM R. THOMPSON Phone # 951-270-5607 Date: MAY 1, 2010 Item No. Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 1. Unspecified Pavement Overlays Overlay 150 150 2. Unspecified Rehabilitation and Overlay Overlay 200 200 3. Misc. Reconstruction Projects Overlay/Reconstruction 200 200 4. TUMF Projects Match Overlay/Reconstruction 25 25 5. Traffic Signal Improvements Signal 15 15 6. Miscellaneous Pavement Repairs Street Maintenance 50 50 7. Miscellaneous Seal Coats Seal Coat 40 40 8. Street Striping Striping 25 25 9. 10. 11. 12. Preprint/ users/n/measureA5yrfonn RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A H LOCAL STREETS AND ROADS PROGRAM FY 2013 - 2014 Agency: CITY OF NORCO Page 6 of 7 Prepared by: WILLIAM R. THOMPSON Phone # 951-270-5607 Date: MAY 1, 2010 Item No. Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 1. Unspecified Pavement Overlays Overlay 150 150 2. Unspecified Rehabilitation and Overlay Overlay/Reconstruction 150 150 3. Misc. Reconstruction Projects Reconstruction 150 150 4. Miscellaneous Pavement Repairs Street Maintenance 50 50 5. Traffic Signal Improvements Signal 10 10 6. Miscellaneous Seal Coats Seal Coat 40 40 7. Street Striping Striping 25 25 8. 9. 10. 11. 12. reprint/ users/ n/ measure Asyrtorm RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A "LOCAL STREETS AND ROADS PROGRAM FY 2014 - 2015 Agency: CITY OF NORCO Page 7 of 7 Prepared by: WILLIAM R. THOMPSON Phone # 951-270-5607 Date: MAY 1, 2010 Item No. Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 1. Unspecified Pavement Overlays Overlay 150 150 2. Unspecified Rehabilitation and Overlay Overlay/Reconstruction 150 150 3. Misc. Reconstruction Projects Reconstruction 100 100 4. Miscellaneous Pavement Repairs Street Maintenance 40 40 5. Traffic Signal Improvements Signal 10 10 6. Miscellaneous Seal Coats Seal Coat 40 40 7. Street Striping Striping 25 25 8. 9. 10. 11. 12. repusers/ n / measure y orm RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL STREETS AND ROADS PROGRAM FY2015 - 2016 Agency: CITY OF NORCO Page 8 of 8 Prepared by: WILLIAM R. THOMPSON Phone # 951-270-5607 Date: MAY 1, 2010 Item No. Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 1. Unspecified Pavement Overlays Overlay 250 250 2. Unspecified Rehabilitation and Overlay Overlay/Reconstruction 500 500 3. Misc. Reconstruction Projects Reconstruction 200 200 4. Miscellaneous Pavement Repairs Street Maintenance 50 50 5. Traffic Signal Improvements Signal 50 50 6. Miscellaneous Seal Coats Seal Coat 50 50 7. Street Striping Striping 0 0 8. 9. 10. 11. 12. Preprint/ usershij measu reA5yrfor MAINTENANCE OF EFFORT CERTIFICATION STATEMENT The undersigned agrees and certifies for the City of Norco (the "Agency") that sales tax transportation funds received pursuant to Ordinance No. 02-001 of the Riverside County Transportation Commission ("Measure A") shall be used in compliance with the Commission's Maintenance of Effort base year amounts approved by the Commission at its July 8, 2009 meeting, and that the Agency shall not use such funds to replace discretionary local funds previously expended by the Agency for local transportation purposes. The Agency hereby acknowledges that a failure of the Agency to continue such local expenditure shall result in a reduction or loss of Measure "A" funds. Dated:S ,2010 89123 TT, SM CITY Of NU DEMI 73-510 FRED WARING DRIVE PALM DESERT, CALIFORNIA 92260-2578 TEL: 760 346—o6i ► FAX: 760 341-7098 info@palm-deserr.org May 07, 2010 Shirley Medina Planning and Program Manager Riverside County Transportation Commission 4080 Lemon Street, 3`d Floor Riverside, California 92502-2208 IJ �� MAY 11 2010 RIVERSIDE COUNTY TRANSPORTATION COMMISSION Subject: Five -Year Measure A Capital Improvement Program Dear Shirley, Enclosed for Commission consideration is the City of Palm Desert's proposed 2010/2011 — 2014/2015 Five -Year Measure A Capital Improvement Program, as well as the Maintenance of Effort Certification Statement and calculation documentation. The Five -Year Program will be reviewed in the near future by our City Council. If the City Council makes any changes to the program, a revised version will be submitted to you for approval. If no changes are made, please treat this as the official submittal. If you have any questions, please feel free to contact Alana Townsend of my staff, or me. Alana can be reached at (760) 346-0611 ext. 453, and I can be reached at (760) 346-0611 ext. 469. Sincerel Mark Greer�Twood, F . Director of Public Works Enclosure cc: John M. Wohlmuth, City Manager J. Luis Espinoza, Assistant Director of Finance Alana Townsend, Senior Management Analyst R 6r� iAlA1FU 0X A[(Y(ffG V.lffA X.29.14 Agency: Prepared by: Phone #: Date: RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE A LOCAL FUNDS PROGRAM FY 2010 - 2011 City of Palm Desert Mark Greenwood 760-346-0611 ext. 469 May 7, 2010 Page 1 of 1 ITEM NO. PROJECT NAME/LIMITS PROJECT TYPE TOTAL COST ($000's) MEASURE A FUNDS ($ono s) 1. Fred Waring Drive Right Turn Pocket at Hwy. 111 Street Project 775 600 2. Hwy. 111 Sidewalk & Plaza Way Intersection Improvements Street Project 1,900 500 3. Monterey Avenue Widening from Fred Waring Drive to Country Club Drive Roadway Widening 6,500 2,000 4. Fred Waring Drive and Monterey Avenue Improvements Street Project 3,123 2,550 Prepmt/usersM/measureA5yrform Agency: Prepared by: Phone #: Date: RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE A LOCAL FUNDS PROGRAM FY 2011 - 2012 City of Palm Desert Mark Greenwood 760-346-0611 ext. 469 May 7, 2010 Page 1 of 1 ITEM NO. PROJECT NAME/LIMITS PROJECT TYPE TOTAL COST ($000's) MEASURE A FUNDS ($000's) 1. Portola Interchange @ 1-10 On-ramp/Off-ramp construction 74,500 12,000 2. Monterey Avenue Widening from Fred Waring Roadway Widening 6,500 4,000 Drive to Country Club Drive 3. Street Resurfacing Maintenance Street Project 8,000 1,000 Preprnt/userstri/measureA5yrform Agency: Prepared by: Phone #: Date: RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE A LOCAL FUNDS PROGRAM FY 2012 - 2013 City of Palm Desert Mark Greenwood 760-346-0611 ext. 469 May 7, 2010 Page 1 of 1 ITEM NO, PROJECT NAME 1 LIMITS PROJECT TYPE TOTAL COST ($000's) MEASURE A FUNDS ($000's) 1. Street Resurfacing Maintenance Street Project 8,000 2,000 Preprnt/users/n/measureA5yrform Agency: Prepared by: Phone #: Date: RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE A LOCAL FUNDS PROGRAM FY 2013 - 2014 City of Palm Desert Mark Greenwood 760-346.0611 ext. 469 May 7, 2010 Page 1 of 1 ITEM NO. PROJECT NAME / LIMITS PROJECT TYPE TOTAL COST ($000's) MEASURE A FUNDS ($000's) 1. Street Resurfacing Maintenance Street Project 8,000 2,000 Preprnt/users/n/measureA5yrform RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE A LOCAL FUNDS PROGRAM FY 2014 - 2015 Agency: City of Palm Desert Prepared by: Mark Greenwood Phone #: 760-346-0611 ext. 469 Date: May 7, 2010 Page 1 of 1 ITEM NO. PROJECT NAME / LIMITS PROJECT TYPE TOTAL COST ($000'8) MEASURE A FUNDS ($000's) 1. Street Resurfacing Maintenance Street Project 8,000 2,000 Prepmf/users/ri/measureA5yrform MAINTENANCE OF EFFORT CERTIFICATION STATEMENT The undersigned agrees and certifies for the City of Palm Desert ("Agency") that sales tax transportation funds received pursuant to Ordinance No. 02-001 of the Riverside County Transportation Commission ("Measure A") shall be used in compliance with the Commission's Maintenance of Effort Guidelines approved by the Commission at its July 8m 2009 meeting, and that the Agency shall not use such funds to replace discretionary local funds previously expended by the Agency for local transportation purposes. The Agency hereby acknowledges that the failure of the Agency to continue such local expenditure shall result in a reduction or loss of Measure A funds. Dated: May 6, 2010 CITY OF PALM DESERT MAINTENANCE OF EFFORT CALCULATION ESTIMATED FOR FYE 6/30/10 as of 4/30/10 Ledgers Period 10 BASED ON DISCRETIONARY FUNDS GENERAL FUND 110 DEPT # A B C LESS: EQUALS: Sub -totals NC/ ACCOUNT INELIGIBLE ELIGIBLE TOTAL EXPENSES EXPENSES FOR MOE 4300 PW ADMINISTRATION SALARIES and 1.673.045.82 1001-1125 2.377,316.43 1,426389.86 950,926.57 BENEFITS 704,270.61 SUPPLIES 2110-2190 4,888.04 2,932.82 1,955.22 PROF/TECHNICAL 3003-3091 32,150.80 19,290.48 12,860.32 OTHER SRVCS & CHGS 31103125 6,458.96 3.874.18 2,582.78 3330-3340 2,500.00 1,500.00 1,000.00 36103660 7.809.53 4,686.72 3,123.81 CAPITAL OUTLAY 10% or 0 4040-4045 0.00 0.00 0.00 4310 PW-Street & Maintenance SALARIES and 1,141,771.95 1001-1125 1,717,733.43 687,093.37 1,030,640.06 BENEFITS 575,961.48 SUPPLIES 2110-2190 15,739.97 6,295.99 9.443.98 31103125 7,870.48 3,148.19 4,722.29 3320 238,954.60 95,581.84 143,372.76 3345 8,517.25 3,406.90 5,110.35 3430 5,073.15 2,029.26 3,043.89 3510 4,348.63 1,739.45 2,609.18 3630-3650 465.00 186.00 279.00 • 3910 46,854.00 46,854.00 0.00 GRAFFITI PROGRAM 3915 27.926.09 27,926.09 0,00 CAPITAL OUTLAY 10% or 0 4045 0.00 0.00 0.00 4311 Street Resurfacing Repairs & Maintenance 3320 666,137.85 666,137.85 4312 Curb & Gutter Repairs & Maintenance 3320 52,093.39 52.093.39 4313 Parking Lot Maintenance Repairs&Maintenance 3320 0.00 0.00 0.00 4314 Stone Drain Maintenance Repairs & Maintenance 3320 0.00 0.00 4315 Striping Repairs & Maintenance 3320 0.00 0.00 Gas Tax offset 903.059.73 (906,05'3.73) 4250 Street Lighting/Traffic Safety Supplies 2145/55 118,733.74 118,733.74 R&M -Signals 3325/70 65,132.46 65,132.46 Utilities -Electric 3514 101,409.28 101,409.28 0.00 Telephone line 3650 4,225.75 4,225.75 0.00 CAPITAL OUTLAY 10% or 0 4045 0.00 0.00 0.00 4330 Corp YardlOVERHEAD EXP Supplies 213012174 0.00 0.00 R&M/Utilities/Others 3310-3695 45,860.66 18,344.26 27,516.40 4045 0.00 0.00 0.00 4331 PW-Maint/Equipment- 4614 Maintenance of Medians 4614 UdIRy for Medians 2110.2190 97,467.11 34,113.49 63,353.62 3054 10,161.73 5,080.87 5,080.87 3340/3640 194,919.80 68,221.93 126,697.87 4045 131,145.76 131,145.76 0.00 3370 370 426.71 370,426.71 3510/3514 103,514.85 103,514.85 0.00 0.00 TOTALS 6,465,833.45 4,075,47678 2390,356.67 CITY Of PERI DESERT 73-510 FRED WARING DRIVE PALM DESERT, CALIFORNIA 92260-2578 TEL: 760 346-0611 FAX: 760 341-7098 info @ palm-dcscrc.org May 7, 2010 Shirley Medina Planning and Program Manager Riverside County Transportation Commission 4080 Lemon Street, 3rd Floor Riverside, California 92502-2208 Subject: Project Status Report — Measure "A" Projects Prior Year Plan - Fiscal Year Ending (FYE) June 30, 2010 Dear Shirley, At the beginning of the 09/10 Fiscal Year, the City of Palm Desert had seven projects with Measure "A° funding. Included within these nine projects were projects being continued from the previous year, and projects scheduled for the 08/09 Fiscal Year. Status of the seven projects is as follows: On -going projects: 1. Portola Interchange @ 1-10 2. Cook Street Intersection Improvements (renamed from "Cook Street Widening" and scope was reduced) 3. Monterey Avenue / 1-10 Ramp Modifications 4. Monterey Avenue Widening from Fred Waring Drive to Country Club Drive 5. Portola Avenue / Frank Sinatra Intersection Improvements 6. Fred Waring Drive Right Turn Pocket at Hwy. 111 7. Hwy. 111 Sidewalk & Plaza Way Intersection Improvements New projects FY 09/10: 8. Fred Waring Drive and Monterey Avenue Improvements Enclosed is the City of Palm Desert's Project Status Report for Measure "A" Local Streets and Roads Prior Year Plan (FYE June 30, 2010). The amounts in the "Measure A Money Remaining" column are current as of the date of this letter, but are subject to change before June 30, 2010. tot PROPER ax RECYCLED PAVER Project Status Report May 7, 2010 Page 2 of 2 If you have any questions, please feel free to contact Alana Townsend of my staff, or me. Alana can be reached at (760) 346-0611, ext. 453, and I can be reached at (760) 346-0611, ext. 469. Sincere! Mark Grewood, P.E. Director of Public Works Enclosures as noted cc: John M. Wohlmuth, City Manager J. Luis Espinoza, Assistant Director of Finance Alana Townsend, Senior Management Analyst CITY Of PIM DESERT "PROMO OM tFfY(If0IMO G.1PubWorkslAlana TownsendlRCTC1RCTC 10-1 1 \Project Status Report Letter 6-30-10.docx CITY OF PALM DESERT MEASURE "A" PROJECT STATUS REPORT FYE JUNE 30, 2010 PROJECT NUMBER PROJECT NAME STATUS/COMMENTS EXPECTED COMPLETION DATE Measure "A" Money Remaining 637-02 Portola Interchange @ I-10 In Environmental and preliminary engineering phase. September 2015 4,000 601-05 Cook Street Intersection Improvements Acquiring right of way; Design is complete. September 2011 3,693 669-02 Monterey Avenue / I-10 Ramp Modifications PSE complete, acquiring right of way. December 2011 8,318 640-07 Monterey Avenue Widening from Fred Waring to Country Club Developing concept allignment plans. June 2014 500 572-08 Portola Avenue / Frank Sinatra Intersection Improvements Design complete. May 2011 3,407 658-08 Fred Waring Drive Right Turn Pocket at Hwy. 111 Pending environmental approval, design 60% complete. September 2011 p 146 697-05 Hwy. 111 Sidewalk & Plaza Way Intersection Improvements Finalizing design and environmental documents. Septebmer 2011 971 656-06 Fred Waring Drive and Monterey Avenue Improvements Initiating design. October 2011 573 RCTC project status report 6-30-10 89128 TT, SM City of Palm Springs Department of Public Works and Engineering 3200 E. Tahquitz Canyon Way • Palm Springs, California 92262 Tel: (760) 323-8253 • Fax: (760) 322-8360 • Web: www.ci.palm-springs.ca.us May 6, 2010 Ms. Theresia Trevino Chief Financial Officer Riverside County Transportation Commission 4080 Lemon Street, 3`d Floor Riverside, CA 92502-2208 Re: Fiscal Year 2011-2015, 5-Year Measure "A" Local Street & Road Program Proposed City of Palm Springs Annual 5-Year Measure "A" Plan (Fiscal Year 2010/2011 - 2014/2016) Dear Ms. Trevino: Enclosed, at RCTC's request, is the City's proposed Local Measure "A" (Local Streets & Roads) 5-year Plan for Fiscal Year 2010/2011 through 2014/2015. The 2011-2015 Plan includes projects carried overfrom the current Fiscal Year 2009/2010 to Fiscal Year 2010/2011. The "Maintenance of Effort" (MOE) Calculation and Certification for Fiscal Year 2011-2015 are also attached as requested. If you have any questions, please call me at (760) 323- 8253, extension 8732. David J. Barakian Director of Public Works/City Engineer enc cc: David H. Ready, City Manager Tom Wilson, Assistant City Manager Geoffrey Kiehl, Director of Finance/Treasurer Nancy Klukan, Asst. Director of Finance Marcus Fuller, Asst. Director of Public Works/Asst. City Engineer Post Office Box 2743 • Palm Springs, California 92263-2743 X.29.15 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM Agency: City of Palm Springs Prepared by: David J. Barakian, Director of Public Works/City Engineer (by Marcus L. Fuller, Assistant Director of Public Works/Assistant City Engineer) Date: May 6, 2010 Fiscal Year 2011-2015, 5-Year Measure "A" Local Street 8 Roads Program Fiscal Year 2009/2010 continued to 2010/2011 ITEM NO. PROJECT NAME/LIMITS PROJECT TYPE TOTAL COST MEASURE "A" FUNDS 1 Bridge Repairs (Remaining funds to be used with future project) Bridge Maintenance $214,727 $214,727 2 Belardo Road Bridge (Currently in right of way/final design phase) New Road Extension and Bridge Construction $4,400,000 $999,689 3 Indian Canyon Drive Widening (UPRR to Garnet Ave) (Currently in right of way/final design phase) Roadway and Bridge Widening $4,400,000 $221,135 4 Indian Avenue/1-10 Interchange (Currently in construction phase) Expanded Freeway Interchange $18,000,000 $730,381 5 Gene Autry Trail/I-10 Interchange (Currently in construction phase) Expanded Freeway Interchange $18,000,000 $1,314,511 6 Gene Autry Trail UPRR Bridge Widening (Currently in construction phase) Bridge Widening $4,000,000 $448,578 7 Indian Canyon Drive UPRR Bridge Widening (Currently in right of way/final design phase) Bridge Widening "Included in Item 3 above $178,307 8 Indian Canyon Drive Widening (Tramview Road to UPRR) (Currently in right of way/final design phase) Roadway Widening $5,000,000 $149,931 Page 1 of 2 Fiscal Year 2011-2015, 5-Year Measure "A" Local Street & Roads Program Fiscal Year 2009/2010 continued to 2010/2011 ITEM NO. PROJECT NAME/LIMITS PROJECT TYPE TOTAL COST MEASURE "A" FUNDS 9 Bogert Trail Bridge Rehabilitation (Currently in environmental phase) Bridge Widening/Rehabilitation $4,888,950 $71,364 10. Ramon Widening Study (Currently in preliminary planning sphase) Planning Study $100,000 $46,207 11. Traffic Signal Interconnect (Funding for future project) Traffic Signal Improvements $25,000 $25,000 12 Safe Routes to School Local Match (Funding for Cycle 8 grant) Sidewalk Improvements $400,000 $16,607 13. Indian Canyon Drive at Vista Chino (SR111) Traffic Signal Modification / Upgrade Traffic Signal Improvements $200,000 $7,162 14. Citywide Traffic Signal Interconnect Upgrade/Traffic Management Center (CMAQ Grant Local Share) Traffic Signal Improvements $2,100,000 $26,043 TOTAL 2009/2010 CONTINUED TO 2010/2011 $61,728,677 $4,449,642 Note: Measure A funds are existing local Measure A funds balances in current accounts as of May 6, 2010. Page 2 of 2 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM Agency: City of Palm Springs Prepared by: David J. Barakian, Director of Public Works/City Engineer (by Marcus L. Fuller, Assistant Director of Public Works/Assistant City Engineer) Date: May 6, 2010 Fiscal Year 2011-2015, 5-Year Measure "A" Local Street 8 Roads Program Fiscal Year 2009/2010 Status Report ITEM NO. PROJECT NAME/LIMITS PROJECT STATUS 1. ARHM Overlays (Various Streets) This project is under construction. 2. Annual Street Slurry Seals (Various Streets) This project is under construction. 3. SB 821 Sidewalk Grant (08/09) (Farrell Drive, Andreas Road to Amado Road) (Ramon Road, Calle Encilia to Warm Sands) This project is complete. 4 Baristo Road at Palm Springs High School Pedestrian Traffic Signal (Construction) This project is complete. 5 Indian Canyon Drive at Vista Chino (SR111) Traffic Signal Modification / Upgrade (Design Only) This project is in design. 6. Traffic Safety Projects This project is complete. 7. Safe Routes to School Grant (07/08) Pedestrian/Bicycle Safety Improvements (Various Locations) This project is complete. 8 Ramon Road Widening (including bridge widening) Landau Blvd to San Luis Rey Dr This project is in design. 9. Mid Valley Parkway Reimbursement (CVAG) This is an on -going annual reimbursement to CVAG. 10. Indian Canyon Drive Widening (UPRR to Garnet Ave) This project is completing right-of-way and final design phase. 11. Indian Canyon Drive Widening (Tramview Road to UPRR) This project is completing the environmental phase. Page 1 of 2 Fiscal Year 2011-2015, 5-Year Measure "A" Local Street & Roads Program Fiscal Year 2009/2010 Status Report ITEM NO. PROJECT NAME/LIMITS PROJECT STATUS 12. Bridge Repairs Consultant selection for engineering design to be scheduled. 13. Belardo Road Bridge This project is completing the right-of-way and final design phase. 14. Gene Autry Trail / Interstate 10 Interchange This project is in construction. 15. Traffic Signal Interconnect Communication Upgrade Consultant selection for engineering design to be scheduled. Page 2 of 2 Fiscal Year 2011-2015, 5-Year Measure "A" Local Street & Roads Program Fiscal Year 2010/2011 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM Agency: City of Palm Springs Prepared by: David J. Barakian, Director of Public Works/City Engineer (by Marcus L. Fuller, Assistant Director of Public Works/Assistant City Engineer) Date: May 6, 2010 Fiscal Year 2011-2015, 5-Year Measure "A" Local Street & Roads Program Fiscal Year 2010/2011 ITEM NO. PROJECT NAME/LIMITS PROJECT TYPE TOTAL COST MEASURE "A" FUNDS 1. Bogert Trail Bridge Rehabilitation Bridge Widening/Rehabilitation "Included on previous sheet $830,000 2. Asphalt Street Overlay (Various Locations) Street Maintenance $500,000 $500,000 3. Annual Street Slurry Seal (Various Locations) Street Maintenance $500,000 $500,000 4. Farrell Drive at Ramon Road Traffic Signal Modification Modified Traffic Signal $200,000 $200,000 5 Indian Canyon Drive at Vista Chino (SR111) Traffic Signal Modification / Upgrade Modified Traffic Signal $225,000 $200,000 6. SB 821 Sidewalk Project (FY 10/11) Sidewalk Construction $90,000 $30,000 7. Traffic Safety Projects Traffic Signal Modifications $40,000 $40,000 8. Mid -Valley Parkway Reimbursement - CVAG Street Improvements $10,422 $10,422 TOTAL Fiscal Year 2010/2011 $1,565,422 $2,395,422 Page 1 of 1 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM Agency: City of Palm Springs Prepared by: David J. Barakian, Director of Public Works/City Engineer (by Marcus L. Fuller, Assistant Director of Public Works/Assistant City Engineer) Date: May 6, 2010 Fiscal Year 2011-2015, 5-Year Measure "A" Local Street & Roads Program Fiscal Year 2011/2012 ITEM NO. PROJECT NAME/LIMITS P PROJECT TYPE TOTAL COST MEASURE "A" FUNDS 1 Baristo Road Reconstruction (Palm Canyon Drive to west end) Street Maintenance $2,000,000 $1,000,000 2. Annual Street Slurry Seal (Various Locations) Street Maintenance $500,000 $500,000 3. Asphalt Street Overlay (Various Locations) Street Maintenance $500,000 $500,000 4 Ramon Road Widening (Sunrise Way to El Cielo Rd) Roadway Widening $4,000,000 $250,000 5. Mesquite Ave. at El Cielo Rd. Traffic Signal Installation New Traffic Signal $150,000 $150,000 6. Traffic Safety Projects Traffic Signal Modifications $40,000 $40,000 7. SB 821 Sidewalk Project (FY 11/12) Sidewalk Construction $90,000 $30,000 8 Gene Autry Trail/Dinah Shore Drive Intersection (Preliminary Alignment Study) Intersection Improvements $25,000 $25,000 9. Mid -Valley Parkway Reimbursement - CVAG Street Improvements $10,422 $10,422 TOTAL Fiscal Year 2011/2012 $7,315,422 $2,505,422 Page 1 of 1 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM Agency: City of Palm Springs Prepared by: David J. Barakian, Director of Public Works/City Engineer (by Marcus L. Fuller, Assistant Director of Public Works/Assistant City Engineer) Date: May 6, 2010 Fiscal Year 2011-2015, 5-Year Measure "A" Local Street & Roads Program Fiscal Year 2012/2013 ITEM NO. PROJECT NAME/LIMITS PROJECT TYPE TOTAL COST MEASURE "A" FUNDS 1. Annual Street Overlay (Various Streets) Street Maintenance $500,000 $500,000 2. Annual Street Slurry Seals (Various Streets) Street Maintenance $500,000 $500,000 3. Baristo Road Reconstruction Street Maintenance "Included on previous sheet $500,000 4. Gene Autry Trail/Dinah Shore Drive Intersection Intersection Improvements $450,000 $450,000 5 S. Palm Canyon Dr. Low Water Crossing Bridge Replacement (HBP Grant) New Bridge 9 $3,100,000 $400,000 6. Indian Canyon Drive UPRR Bridge Widening Bridge Widening "Included on previous sheet $300,000 7. Alejo Road at Avenida Caballeros Traffic Signal New Traffic Signal $200,000 $200,000 8. Date Palm Drive/I-10 Interchange Expanded Freeway Interchange $824,000 $100,000 9. Traffic Safety Projects Traffic Signal Modifications $40,000 $40,000 10. SB 821 Sidewalk Project (FY 12/13) Sidewalk Construction $90,000 $30,000 11. Mid -Valley Parkway Reimbursement - CVAG Street Improvements $10,422 $10,422 TOTAL Fiscal Year 2012/2013 $5,714,422 $3,030,422 Page 1 of 1 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM Agency: City of Palm Springs Prepared by: David J. Barakian, Director of Public Works/City Engineer (by Marcus L. Fuller, Assistant Director of Public Works/Assistant City Engineer) Date: May 6, 2010 Fiscal Year 2011-2015, 5-Year Measure "A" Local Street & Roads Program Fiscal Year 2013/2014 ITEM NO. PROJECT NAME/LIMITS PROJECT TYPE TOTAL COST MEASURE "A" FUNDS 1 Ramon Road Widening (Sunrise Way to El Cielo Rd) Roadway Widening *Included on previous sheet $2,000,000 2. Annual Street Slurry Seal Street Maintenance $500,000 $500,000 3. Annual Street Overlay Street Maintenance $400,000 $400,000 4. Traffic Safety Projects Traffic Signal Modifications $40,000 $40,000 5. SB 821 Sidewalk Project (FY 13/14) Sidewalk Construction $90,000 $30,000 6. Mid -Valley Parkway Reimbursement- CVAG Street Improvements $10,422 $10,422 TOTAL Fiscal Year 2013/2014 $1,040,422 $3,040,422 Page 1 of 1 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM Agency: City of Palm Springs Prepared by: David J. Barakian, Director of Public Works/City Engineer (by Marcus L. Fuller, Assistant Director of Public Works/Assistant City Engineer) Date: May 6, 2010 Fiscal Year 2011-2015, 5-Year Measure "A" Local Street & Roads Program Fiscal Year 2014/2015 ITEM NO. PROJECT NAME/LIMITS PROJECT TYPE TOTAL COST MEASURE "A" FUNDS 1. Annual Street Slurry Seal Street Maintenance $500,000 $500,000 2. Annual Street Overlay Street Maintenance $400,000 $400,000 3. Traffic Safety Projects Traffic Signal Modifications $40,000 $40,000 4. SB 821 Sidewalk Project (FY 14/15) Sidewalk Construction $90,000 $30,000 5. Mid -Valley Parkway Reimbursement - CVAG Street Improvements $10 422 $10,422 TOTAL Fiscal Year 2013/2014 $1,040,422 $1,040,422 Page 1 of 1 MAINTENANCE OF EFFORT CERTIFICATION STATEMENT The undersigned agrees and certifies for l he. C ► � � Palm J f pihe "Agency") that sales tax transportation funds received pursuant to Ordinance No. 02-001 of the Riverside County Transportation Commission ("Measure A") shall be .used in compliance with the Commission's Maintenance of Effort base year amounts approved by the Commission at its July 8, 2009 meeting, and that the Agency shall not use such funds to replace discretionary local funds previously expended by the Agency for local transportation purposes. The Agency hereby acknowledges that the failure of the Agency to continue such local expenditure shall result in a reduction or loss of Measure A funds. Dated: Ra\ (ci aOIO CITY MANAGER ATTEST: SECRETARY CITY OF PALM SPRINGS, CALIFORNIA Report on Agreed -Upon Procedures Applied to the Measure A Local Streets and Roads Program Year Ended June 30, 2009 r MHM Mayer Hoffman McCann P.C. An Independent CPA Firm 2301 Dupont Drive, Suite 200 Irvine, Califomia 92612 949-474-2020 ph 949-263-5520 fx www.mhrmpc.com Board of Commissioners Riverside County Transportation Commission Riverside, California INDEPENDENT ACCOUNTANTS' REPORT ON APPLYING AGREED -UPON PROCEDURES We have performed the procedures enumerated below, which were agreed to by the Riverside County Transportation Commission (RCTC), solely to assist RCTC in determining whether the City of Palm Springs, California (City) was in compliance with the Measure A Local Street and Roads Program grant terms and conditions for the year ended June 30, 2009. The City's management is responsible for the accounting records. This agreed -upon procedures engagement was conducted in accordance with attestation standards established by the American Institute of Certified Public Accountants. The sufficiency of the procedures is solely the responsibility of those parties specified in the report. Consequently, we make no representation regarding the sufficiency of the procedures described below, either for the purpose for which this report has been requested or for any other purpose. The procedures performed and the results of those procedures were as follows: 1. We reviewed the 1989 Measure A (Ordinance 88-1) compliance requirements. Although the 2009 Measure A (Ordinance 02-001) is not effective until July 1, 2009, Western County jurisdictions are required to participate in the Transportation Uniform Mitigation Fee (TUMF) program, which is administered by the Western Riverside Council of Governments (WRCOG). Results: No exceptions were noted as a result of our procedures. 2. We obtained the City's approved Five -Year Capital Improvement Plan (CIP) from RCTC for the fiscal year ended June 30, 2009. .Results: No exceptions were noted as a result of our procedures. 3. We obtained a detailed general ledger and balance sheet from the City for the fiscal year ended June 30, 2009. a. We identified the amount of Measure A cash and investments recorded at June 30, 2009. 1 Board of Commissioners Riverside. County Transportation Commission Riverside, California Results: The City recorded Measure A cash and investments in the amount of $7,599,806 as of June 30, 2009. b. We identified amounts due from other funds. Results: There were no amounts due from other funds as of June 30, 2009. c. We identified reservations or designations of ending fund balance for the Measure A activity. Results: The City has recorded the following fund balance as of June 30, 2009. Reserved for continuing appropriations $12,499,270 Unreserved (4,703,723) Total fund balance $ 7,795,547 d. We identified the existence of any restatement of Measure A fund balance and inquired of management as to the reason for any restatement. Results: The City has not restated Measure A fund balance. 4. We obtained an operating statement for Measure A activity for the fiscal year ended June 30, 2009 (see Exhibit A), including budget amounts. a. We reviewed the revenues in the operating statement. We inquired of management as to what fund is used to record Measure A revenues received from RCTC for the fiscal year ended June 30, 2009, and documented what the total revenues were for the fiscal year. Results: The City accounts for Measure A revenue received from RCTC in its Measure A Improvements Fund (Fund #134). The City has recorded total revenues in the amount of $2,554,832 for the fiscal year ended June 30, 2009. ii. We obtained a listing of Measure A payments made from RCTC to the City. We compared the Measure A revenue recorded by the City to the listing of payments made by RCTC. Results: We identified the following variance between the Measure A revenue recorded by the City in comparison to the RCTC Measure A payment schedule. 2 Board of Commissioners Riverside County Transportation Commission Riverside, Califomia Measure A payments made by RCTC Measure A revenue recorded by City Variance $1,330,779 1,217.807 $ 112,972 The variance was due to the City not having received the final payment from RCTC as of the date of completion of our fieldwork. iii. We determined the amount of interest allocated to the Measure A activity for the fiscal year ended June 30, 2009. Results: The City allocated interest in the amount of $144,803 to the Measure A activity for the fiscal year ended June 30, 2009. b. We reviewed the expenditures in the operating statement. i. We inquired of management as to what fund is used to record Measure A expenditures and what the total expenditures were for the fiscal year ended June 30, 2009. Results: The City accounts for Measure A expenditures in its Measure A Improvements Fund (Fund #134). The City has recorded total Measure A expenditures in the amount of $3,156,378 for the fiscal year ended June 30, 2009. ii. We judgmentally selected at least 20% of total Measure A expenditures for testing. Results: The City recorded Measure A expenditures in the amount of $3,156,378. We selected $1,053,476 (33.38%) for testing. 1. For the expenditures selected for testing, we compared the dollar amount recorded in the general ledger to the supporting documentation. Results: No exceptions were noted as a result of our procedures. 2. For the expenditures selected for testing, we reviewed the 5-Year CIP and noted whether the projects claimed were included in the 5-Year CIP and whether they constitute allowable costs. Results: The expenditures selected for testing were included in the 5-year CIP and were allowable costs. No exceptions were noted as a result of our procedures. iii. We inquired of management as to the nature of any transfers recorded in the Measure A Fund. r Board of Commissioners Riverside County Transportation Commission Riverside, California Results: Per discussions with management and our review of the costs recorded in the general ledger, there were no transfers recorded for the fiscal year ended June 30, 2009. iv. We inquired of management as to the amount of indirect costs, if any, included in expenditures. Results: Per discussions with management and our review of the costs recorded in the general ledger, there were no indirect costs recorded for the fiscal year ended June 30, 2009. 5. We compared the budgeted expenditures to actual amounts and inquired of management as to the nature of significant budget variances. Results: The following schedule compares the budgeted expenditures to actual amounts. Local Measure A Regional Measure A Budget Actual Variance $1,815,000 $2,002,521 $(187,521) 575.000 1,153.857 (578,857) Totals $2,390,000 $3.156,37$ $(766.378) The variance in Regional and Local Measure A expenditures is due to projects budgeted in prior years being completed during the fiscal year ended June 30, 2009. 6. We obtained a listing of jurisdictions who participate in the Westem County or Coachella Valley TUMF programs from RCTC. a. If the jurisdiction is a participant in the TUMF program, we selected at least two disbursements for validation as to the amount remitted to Coachella Valley Association of Govemments (CVAG), as applicable. Results: The payments selected for testing indicated that TUMF is collected and remitted to CVAG, as required. b. We noted the total amount of TUMF fees collected and remitted during the fiscal year ended June 30, 2009. Results: The total amount of TUMF fees collected and remitted during the fiscal year ended June 30, 2009 was $710,909. 7. We obtained the maintenance of effort (MOE) base year requirement from RCTC. a. We obtained a copy of schedule 3 from the annual Street Report. 4 r r r r r r r r r r r r r r r r Board of Commissioners Riverside County Transportation Commission Riverside, Califomia Results: No exceptions were noted as a result of our procedures. b. We compared the amount of discretionary funds spent per the Street Report to the MOE base requirement. Results: No exceptions were noted as a result of our procedures. c. Using the prior year's report, we added any current year MOE excess or deducted any current year MOE deficiency to the prior year carryover. Results: MOE activity is summarized as follows: MOE excess at July 1, 2008 $28,148,003 Current year local discretionary expenditures 5,281,197 Less MOE base year requirement 1,892,584 Excess MOE for fiscal year ended June 30, 2009 3.388,613 MOE excess at June 30, 2009 $31,536,616 We were not engaged to, and did not, conduct an audit, the objective of which would be the expression of an opinion on the accounting records. Accordingly, we do not express such an opinion. Had we performed additional procedures; other matters might have come to our attention that would have been reported to you. This report is intended solely for the information and use of the Riverside County Transportation Commission and is not intended to be and should not be used by anyone other than this specified party. Irvine, California November 19, 2009 5 EXHIBIT A N r r N r r ■ r r r Revenues: Measure A CVAQ Interest Other CITY OF PALM SPRINGS, CALIFORNIA Summary of Revenues and Expenses Year Ended June 30, 2009 (Unaudited) Budget Actual Variance $ 1,615,000 $ 1,217,807 $ (397,193) 575,000 1,185,146 610,146 200,000 144,803 (55,197) 7,076 7,076 Total revenues 2,390,000 Expenditures: Local Measure A Regional Measure A Total expenditures Excess (deficiency) of revenues over (under) expenditures 2,554,832 1,815,000 2,002,521 575,000 1,153,857 2,390,000 3,156,378 164,832 (187,521) (578,857) (766,378) $ - $ (601,546) $ (601,546) Note: The above numbers were taken directly from the financial records of the City of Palm Springs and were not audited. 6 89185 AZ/GA/SM May 18, 2010. CITY OF PERRIS DEPARTMENT OF FINANCE 101 North `D' Street, Perris, CA 92570-2200 TEL:951-943-4610 !� L�951�943-50R5 � ��, L U Cq L<INOSIOE.- *COUNTY Theresia Trevino Chief Financial Officer Riverside County of Transportation Commission P.O. Box 12008 Riverside, CA 92502-2208 Attn: Shirley Medina Re: FY 2010-2015 Measure"A" Improvement Plan Enclosed, please find City of Perris proposed 5-year capital improvement plan. Also enclosed, please find an exhibit depicting the status of the currently adopted 5-year plan and the MOE prepared by the Finance Department and signed by the City Manager. Please call if you have any questions or require additional information. Habib Motlagh City Engineer Cc: Ron Carr, Assistant City Manager James Fructuoso, Assistant Finance Director MAINTENANCE OF EFFORT CERTIFICATION STATEMENT The undersigned hereby agrees and certifies for the City of Perris that sales tax transportation funds received pursuant to Ordinance No. 02-001 of the Riverside County Transportation Commission ("Measure A") shall be used in compliance with the Commission's Maintenance of Effort Guidelines approved by the Commission at its July 8, 2009 meeting, and that the City of Perris shall not use such funds to replace discretionary local funds previously expended by the City of Perris for local transportation purposes. The City of Perris hereby acknowledges that the failure of the City of Perris to continue such local expenditure shall result in a reduction or loss of Measure A funds. Dated:.S, 19 , 2010 ichard Belmudez, it ATTEST: dy H- ghney, City CITY OF PERRIS MEASURE A - MAINTENANCE OF EFFORT FISCAL YEAR 2009-2010 ESTIMATED 2009 Base Year - $644,114 FY 2009-2010 G/F Dept Description Estimated Actuals MOE 3033 Street Maintenance $ 667,207 $ 667,207 3031 Engineering 193,988 193,988 3034 Fleet/Equipment 245,476 245,476 Total Street Maintenance 1,106,671 Less Eligible Gas Tax Transfer (840,000) Total General Fund Cost 266,671 Fund No. Description Estimated Actuals 112 Traffic Safety Fund $ 121 Street Lighting - Property Tax 124 Street Lighting Maint Dist 84-1 127 Landscape Maint Dist 1 130 Flood Control Maint Dist 142 Special Revenue Fund 157 City Projects/External Contrib. $ 137,750 639,080 983,467 321,493 1,506,949 425,554 Total Other Sources 4,014,294 GRAND TOTAL 4,280,965 LESS 2009 BASE YEAR DIFFERENCE $ 3,636,851 (644,114) City of Perris Status of Aroved FY 11-15 1 Ethanac Road Phase II On Hold 2 Placentia / I-215 Interchange Extension and Road On Hold Pending MCP 3 Goetz Road Intersection Partially Completed 4 Dirt Road Improvements Waiting for County MOU 5 Slurry Seal Phase 5 Completed 6 Downtown Alleys Plans 90% Complete Agency: Page 1 of 5 Prepared by: Phone #: Date: City of Perris Habib Motlagh (951) 943-6504 3/19/2010 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE 'A" LOCAL STREETS AND ROADS PROGRAM FY 2010 - 2011 Item No Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 1 City Wide Slurry (6th Phase) & Pothole Repair Slurry Seal & Overlay, Pothole Repair 1,500 700 2 Downtown Alley 2,200 1400 * * Utilizing Previous Years Allocation Agency: Page 2 of 5 Prepared by: Phone #: Date: City of Perris Habib Motlagh (951) 943-6504 3/19/2010 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE 'A" LOCAL STREETS AND ROADS PROGRAM FY 2011 - 2012 Item No Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 1 City Wide Slurry (7th Phase) & Potholing Slurry Seal 86 Overlay, Pothole Repair 1,000 600 2 Placentia Avenue 500 420 Agency: Page 3 of 5 Prepared by: Phone #: Date: City of Perris Habib Motlagh (951) 943-6504 3/19/2010 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE 'A" LOCAL STREETS AND ROADS PROGRAM FY 2012 - 2013 Item No Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 1 City Wide Slurry (On -Going) & Potholing Slurry Seal & Overlay, Pothole Repair 750 500 2 Miscellaneous Pavement Repair - City Wide 1,000 250 Agency: Page 4 of 5 Prepared by: Phone #: Date: City of Perris Habib Motlagh (951) 943-6504 3/19/2010 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE 'A" LOCAL STREETS AND ROADS PROGRAM FY 2013 - 2014 Item No Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 1 City Wide Slurry (On -Going) / Overlay Slurry Seal & Overlay & Pothole Repair 900 300 2 Ramona Expressway Widening Widening / Pavement Rehabilitation 2,000 500 Agency: Page 5 of 5 Prepared by: Phone #: Date: City of Perris Habib Motlagh (951) 943-6504 3/19/2010 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE 'A" LOCAL STREETS AND ROADS PROGRAM FY 2014 - 2015 Item No Project Name / Limits Project Type Total Cost ($000's) Measure A Funds ($000's) 1 City Wide Slurry (On -Going) Slurry Seal & Overlay 1,000 500 2 Perris Blvd. City Wide Pavement Rehabilitation 1,500 350 88707 TT, SM May 11, 2010 Theresia Trevino, Chief Financial Officer Riverside County Transportation Commission Riverside County Regional Complex, 3rd Floor P.O. Box 12008 Riverside, CA 92502-2208 Re: FY 2011-2015 Measure "A" Local Street and Roads Capital Improvement Plan Dear Ms. Trevino: Attached are the Local Streets and Roads Program for Measure "A" Funds for FY 2011-2015, the Maintenance of Effort Certification Statement, and the project status report for prior year Plan (FY 2009-2010). The City's maintenance of effort for FY 2010-2011 is $4,929,563, which exceeds our established maintenance of effort requirement of $1,191,036. The City's five-year Capital Improvement Program totals $10,300,000 and identifies Measure "A" local funds totaling $4,812,000. The City currently carries a fund balance of approximately $3,752,220 in the Measure "A" Local Fund account. Therefore, with current and projected future allocations, adequate funds appear to be available for the plan. Attached is the City's Maintenance of Effort Certification Statement along with supporting documentation and the status report for our prior year Plan FYE June 30, 2010. Please feel free to call me at (760) 770-3224 should you have any questions. Sincerely, Bruce B. Harry Jr. Director of Public Works Enclosures: Maintenance of Effort Certification Statement and Supporting Documentation Measure "A" Five -Year Capital Improvement Plans Project Status Report FY 2009-2010 ADMINISTRATION COMMUNITY DEVELOPMENT FINANCE FFOUSING AUTRORITY PUBLIC LIBRARY PUBLIC WORKS Tel. (760) 324-4511 Tel. (760) 328-2266 Tel. (760) 770-3207 Tel. (760) 770-3210 Tel. (760) 341-7323 Tel. (760) 770-3224 Fax. (760) 324-8830 Fax. (760) 324-9851 Fax. (760) 324-0528 Fax. (760) 341-6793 Fax. (760) 341-5213 Fax. (760) 770-3261 69-825 HIGHWAY 111 / RANCHO MIRAGE, CA 92270 www.ci.Rancho-Mirage.ca.us www.RelaxRand X.29.17 MAINTENANCE OF EFFORT CERTIFICATION STATEMENT The undersigned agrees and certifies for the City of Rancho Miracle (the "Agency") that sales tax transportation funds received pursuant to Ordinance No. 02-001 of the Riverside County Transportation Commission ("Measure A") shall be used in compliance with the Commission's Maintenance of Effort Guidelines approved by the Commission at its July 8, 2009 meeting, and that the Agency shall not use such funds to replace discretionary local funds previously expended by the Agency for local transportation purposes. The Agency hereby acknowledges that the failure of the Agency to continue such local expenditure shall result in a reduction or loss of Measure A funds. Dated: May 7, 2010 CITY MANAGER ATTEST: rf C cam. SECRETARY City of Rancho Mirage Department of Public Works Maintenance of Effort — Measure "A" Fiscal Year 2010-2011 General Fund Expenditures 101 3100 Engineering 7100, 7200 Salaries and Benefits $688,814 (50% of $1,377,628) 7400, 7444 Professional/Technical $2,500 (50% of $5,000) 7460 Inspections $3,750 (50% of $7,500) 7624 Vehicle Operations/Maintenance $2,500 (50% of $5,000) 7800, 7803 Mileage $5,646 (50% of $11,292) 7806 Meetings & Travel $1,500 (50% of $3,000) 7818 Dues & Subscriptions $1,825 (50% of $3,650) 7839 Reproduction & Printing $0 (50% of $0) 8000 Supplies $2,500 (50% of $5,000) 8020 Uniforms $500 (50% of $1,000) Sub Total: $709,535 101 3200 Street Maintenance 7100, 7200 Salaries and Benefits $441,878 7120 Overtime $12,250 7444 Temporary Agency Services $0 7603, 7606 Utilities $17,000 7609-7621 Street Related Maintenance $330,000 7623, 7624, 7634, Vehicle Operations/Maintenance $32,000 7800 7806-7818 Meetings & Travel/Dues & Subscriptions $800 8000-8024 Maintenance Supplies/Small $36,000 Tools/Uniforms/Traffic Control Supplies Sub Total: $869, 928 101, 103, 224, 350, 353, 370 & 372 Capital Protects Other Funding Sources FY 2010/2011 90018 Crack Seal/Rubberized Slurry Seal $100,000 Various Public Streets 90192 Bob Hope Drive Street Improvements $85,000 from Dinah Shore Dr. to Ramon Road Loan Repayment 90382 Bob Hope Drive median Improvements $165,100 90379 Three (3) Major Arterial Intersection Capacity Improvements $3,000,000 Sub Total: $3, 350,100 MOE Grand Total: $4,929,563 Required MOE: $1,191,036 Excess MOE: $3,738,527 FOND 401- GENERAL FIND DIVISION ENO - ENGINEERING ACCT ACCOUNT NO. NAME YUMMY ACTIVITY DETAIL For Fiscal Years 2010.2011 JUSTIFICATION FOR FY 2008-09 STAFF REQUESTS ACTUAL FY 2009-10 BUDGET Requested FY 2009-10 FY 2010-11 ESTIMATE AMOUNT 7100 Salaries - Full Time Director of Public Works City Engineer Senior Civil Engineer Project Manager Civil Engineering Assistant Public Works Inspector Senior Traffic Signal Technician Engineering Technician II Department Secretary Office Assistant III TOTAL $ 874268 $ $ 155,427 148,026 127,870 90,136 90,875 86,548 86,548 64,124 67,805 55,789 965,245 $ 965,244 $ 973,148 7120 Overtime 1) Department Secretary and Office Assistant III: typing documents, typing specifications, filing and other assorted duties that cannot be accomplished during regular work hours $ 2) Engineering Technician: performing various duties and inspections for permit tracking; plan checking services, maintaining drawing flat -files and high accident location software; 3) Public Works Inspector: performing early inspections in order to maintain quality control offsite%nsite construction. Also ensure projects are properly closed at the end of the day; on -call pay 4) Traffic Signal Maintenance Technician: after hours call outs for traffic signal problems; on -call pay TOTAL $ 21,744 $ I0,000 $ 6,000 $ 2,000 2,000 4,000 7200 Benefits Benefits paid by City including group insurance, retirement and other benefits $ TOTAL $ 387,474 $ 374,862 $ 376,667 $ 404,480 404,480 7400 Professional/ Technical 1) Traffic Engineering consulting services $ 2,500 2) Plan Checking services, special studies, traffic counts, radio maintenance services, and software services 2,500 TOTAL $ 38,617 $ 50,001 $ I0,000 $ 5,000 7444 Temporary Agency Contingency in the event temporary help is required for vacation, illness, jury Services duty, etc. $ TOTAL $ 55 $ 8,200 $ 8,200 $ FIND 101- GEHERAI MID DIVISION 3100 ENDINEDRDN ACCT ACCOUNT NO. NAME EXPENDITORE ACTIVITY DETAIL FO1 FIEC81 Years 2010✓2011 JUSTIFICATION FOR Requested FY 2008-09 FY 2009-10 FY 2009-10 FY 2010-11 STAFF REQUESTS ACTUAL BUDGET ESTIMATE AMOUNT 7460 Inspections Provides special inspections and testing in areas where greater expertise is required and supplementary inspector when City Inspector is absent TOTAL $ $834 $ 20,000 $ 20,000 $ 7,500 $ 7,500 7464 Survey Control Maintenance of benchmarks for vertical control and centerline monuments for horizontal control TOTAL $ 42,239 $ 5,000 $ $ 5,000 $ 7623 Vehicle Fuel 7624 Vehicle Maintenance Fuel .for vehicles used by Public Works Inspector & Traffic Signal Technician $ 4000 $ TOTAL $ 5,040 $ 6,000 $ Maintenance for the Division's vehicles $ TOTAL $ 3,455 $ 3,000 $ 8,000 $ 6,000 6,000 5,000 5,000 7800 Mileage Reimbursement for use of personal vehicles by Engineering personnel on project administration and inspections $ 1,000 TOTAL $ 994 $ 1,000 $ 1,000 $ 1,000 7803 Car Allowance For Director ($428.82hnonth) and City Engineer ($428.82/month) for use of personal vehicles to attend meetings, seminars and conferences $ 10,292 .1 oTAL $ 11,732 $ 11,321 $ 10,806 $ 10,292 7806 Meetings, Training & Travel Attendance at conferences, workshops, tectmical training sessions and continuing education classes in conjunction with job responsibilities or to obtain/maintain certfications, licenses, notary commissions, registrations and the like. 1) American Public Works Association (APWA) International Conference [Director and City Engineer] 2) Institute of Transportation Engineers (ITE) International Conference 3) League of California Cities Conference [Director] 7806 Meetings, Training 4) Permits Plus Users Conference [Engineering Technician or & Travel Engineering Assistant] (continued) 5) Topical depending on need at time or required as described above TOTAL $ 14452 $ 5,950 $ 4,500 $ 3,000 3,000 FOND 101- GD ERAL FOND DIVISION 3100 - ENGINEERING ACCT ACCOUNT NO. NAME EXPENDITURE AMITY DETAIL FOC HMI YeDCS 2010.2011 JUSTIFICATION FOR Requested FY 2008-09 FY 2.009-10 FY 2009-10 FY 2010-11 STAFF REQUESTS ACTUAL BUDGET ESTIMATE AMOUNT 7818 Dues & Subscriptions Dues for American Public Works Association, National Society of Professional Engineers, American Society of Civil Engineers, Institute of Transportation Engineers, Notary Public, First American Data Tree; technical books, manuals and various subscriptions $ 3,650 TOTAL $ 1,817 $ 2,800 $ 3,000 $ 3,650 7839 Reproduction & Printing Printing specifications, plans, special prints, etc, TOTAL $ 1,828 $ 2,000 $ 1,000 $ 8000 Supplies Office supplies, print paper, delivery services for plan checks, training videos, and film S 5,000 TOTAL $ 5,510 . $ 5,000 $ 5,000 $ 5,000 8012 Small Tools, Fumiture & Equipment Miscellaneous small tools & office equipment as may be necessary TOTAL $ 1,462 $ 1,000 $ 1,000 $ 1,000 $ 1,000 8020 Uniforms Uniforms for Public Works Inspector, Traffic Signal Technician and safety clothing for Engineering staff TOTAL $ 249 $ 1,500 $ 1,073 $ 1,000 S 1,000 8900 Furniture & Equipment Office engineering equipment as may be necessary TOTAL $ 4187 $ 1,000 $ $ DIVISION TOTAL $ 1,430,070 101- GENERAL ]FOND DIVISION 8200 • SBEET PURMINAKE ACCT ACCOUNT NO. NAME 7100 Salaries - Full Time E IPENDIllRE ACTIVITY DETAIL For Fiscal Years 2011.2011 JUSTIFICATION FOR FY 2008-09 STAFF REQUESTS ACTUAL Street Maintenance Supervisor Street Maintenance Worker II Street Maintenance Worker I Street Maintenance Worker I Office Assistant II [half-time] TOTAL FY 2009-10 BUDGET $ 339,427 $ 264,167 Requested FY 2009-10 FY 2010-11 ESTIMATE AMOUNT $ 264168 7120 Overtime 1) For emergency callouts for traffic accident clean up, traffic control, cleaning debris and fallen tree limbs, placing barricades and warning signs during rainstorms, and completing projects started during regular work hours 2) On -call Pay TOTAL $ 13,408 $ $ 82,426 64,583 58,579 58,579 21,461 $ 285,628 $ 2,000 10,250 10,000 $ 12,000 $ 12,250 7200 Benefits Benefits paid by City including group insurance, retirement and other benefits $ 156,250 TOTAL $ 164321 $ 128,169 $ 128,018 $ 156,250 7444 Temporary Agency Services Provide temporary clerical services for this division. Amount budgeted provides 8 hours lweek. $ TOTAL $ - $ 14,400 $ 14,400 $ 7603 Electricity Electricity and maintenance for 91 streetlights throughout the City TOTAL $ 13,009 $ 13.000 $ 13,000 7606 Water Water for street sweeping and other miscellaneous uses TOTAL $ 4,000 $ 5,000 $ 4,000 $ 13,000 $ 13,000 $ 4,000 $ 4,000 7609 Street Striping Provides for annual re -striping of the City in SeptembedOctober. Also provides for thermoplastic arrows and legends. TOTAL $ 4306 $ 65,000 $ $ 35,000 65,000 $ 35,000 7612 Maintenance 7615 Street Sweeping Maintenance of storm drains, catch basins, and dry wells Street sweeping contract $ 10,000 TOTAL $ 390804 $ $ $ 10,000 TOTAL $ $ 25,000 18,331 $ 30,000 $ 25,000 $ 25,000 UPENDITURE ACTIVITY DETAIL For fiscal Years 2010.2011 FIND 101- GENERAL FEND DIVISION 3200 • STREET IKIBI EN►NIE Requested ACCT ACCOUNT JUSTIFICATION FOR FY 2008-09 FY 2009-10 FY 2009-10 FY 2010-11 NO. NAME STAFF REQUESTS ACTUAL BUDGET ESTIMATE AMOUNT 7617 Sidewalk/Curb/ Sidewalk, curb and gutter repairs and maintenance. Gutter $ 20,000 Maintenance TOTAL $ 23,019 $ 30,000 $ 20,000 $ 20,000 7618 Traffic Signal Electricity for 55 traffic signals, re-lamping, emergency callouts, major Maintenance/ knockdowns and replacement of equipment as necessary $ 215,000 Electricity $ 124777 $ 215,000 $ 215,000 $ TOTAL 215,000 7621 Street Related Asphalt, concrete, aggregate base for repairing streets, disposal of old asphalt Repairs and concrete, equipment rental, catch basin repairs, Iandfdl charges for disposal of roadside refuse, and miscellaneous other street repairs as needed $ 25,000 TOTAL $ 29,255 . $ 30,000 $ 30,000 $ 25,000 7623 Vehicle Ebel Fuel for the Division's vehicles $ 15,000 TOTAL $ 15,307 $ 18,000 $ 15,000 $ 15,000 7624 Vehicle Maintenance for the Division's vehicles $ 15,000 Maintenance $ 15166 $ 10,000 $ 15,000 $ 15,000 TOTAL 7627 Graffiti Removal Purchase of supplies for City Street Maintenance and Code Compliance crews and/or contract personnel for graffiti removal and supplies for distribution to property owners for graffiti removal $ 2,000 TOTAL $ 1,678 $ 1,200 $ 2,000 $ 2,000 7630 Trails Maintenance Provides for contractual services for the maintenance of the trail system $ 14,000 TOTAL $ 12,646 $ 14,000 $ 14,000 $ 14,000 7634 Equipment Maintenance and fuels costs for air compressor, steer skid loader, ford Maintenance & tractor, speed trailers, compactor, cement mixer, arrow board and other Fuel miscellaneous equipment $ 1,000 7800 Mileage TOTAL $ 1,056 $ $ 1,000 $ 1,000 Reimbursement for use of personal vehicle by Office Assistant II for travel between the City Hall Annex and the City Yard $ 1,000 TOTAL $ - $ $ $ 1,000 FUND 101- GENERAL FUND RYISION 3200 - MEET MAINTENANCE ACCT ACCOUNT NO. NAME EYPENDITORE ACIITITY DETAIL For Fiscal Tears 2010-2011 JUSTIFICATION FOR Requested FY 2008-09 FY 2009-10 FY 2009-10 FY 2010-11 STAFF REQUESTS ACTUAL BUDGET ESTIMATE AMOUNT 7806 Meetings, Attendance at technical training sessions to obtain/maintain special licenses Training & or certifications; technical seminars related to asphalt and concrete Travel maintenance; traffic classes for Class A licensed drivers; other topical sessions depending on need at the time, such as water quality testing, new laws or regulations for supervisors, etc. $ TOTAL $ 750 $ 500 $ 500 $ 600 600 7818 Dues & Dues for Maintenance Superintendents Association, American Construction Subscriptions Inspectors Association and technical publications TOTAL $ $ 200 $ $ 200 $ 200 200 8000 Supplies The purchase of silica sand for sandblasting, guardrail material and posts, and concrete patch material $ 3,000 TOTAL $ 4,269 $ 5,060 $ 3,000 $ 3,000 8002 Equipment For rental of equipment as needed Rental TOTAL $ 1,215 $ 2,060 $ $ 2,000 2,000 $ 2,000 8003 Street Signs & Purchase of regulatory signs & street marking supplies Markings $ 25,000 TOTAL $ 14201 $ 25,oeo $ 25,000 $ 25,000 8012 Small Tools, Furniture & Equipment Shovels, chain saw chains, drills and bits, jacks, jack stands, landscape tools, signal maintenance tools, mechanic tools, safety equipment, and miscellaneous special tools as required TOTAL $ 196 $ 2,e00 $ 2,000 $ 2,000 2,000 — 8020 Uniforms Purchase uniforms, safety clothing, and shoes for all Street Maintenance personnel $ 2,000 2,000 $ TOTAL $ 951 $ 2,600 $ 2,000 8024 Traffic Control This account provides for the purchase of barricades, both large and small, traffic cones, light board replacement parts, batteries, lights, and rental of traffic control setups $ 2,000 TOTAL $ $239 $ 2,000 $ 2,000 $ 2,000 8905 Automotive Replace 2003 Ford F-350 with new 4 x 4 F-350 service truck $ TOTAL $ $ - $ $ DIVISION TOTAL $ 885,928 EXPENDITURE ACTIVITY DETAIL For Mal Years 2010.2011 FOND 103 - GENERAL FOND CAPITAL IMPROVEMENTS MAN® FROM Host TAR Requested ACCT ACCOUNT JUSTIFICATION FOR FY 2008-09 FY 2009-10 FY 2009-10 FY 20I0-I1 NO. NAME STAFF REQUESTS ACTUAL BUDGET ESTIMATE AMOUNT 90018 Type I Rubber Refer to the Capital Improvements section of this document for a project emulsion aggregate description. slurry (REAS) 100,000 TOTAL $ - $ $ 100,000 90364 Section 19 Refer to the Capital Improvements section of this document for a project Infrastructure description. $ 200,000 Study TOTAL $ - $ $ 200,000 90282 City Wide Traffic Refer to the Capital Improvements section of this document for a project Signal Painting description. $ TOTAL $ - $ $ 90202 City Ball Refer to the Capital Improvements section of this document for a project Recarpeting description. $ TOTAL $ - $ $ 90370 City Yard Refer to the Capital Improvements section of this document for a project Equipment & description. $ Vehicle Shade Structure TOTAL $ - $ $ 90371 City Annex Refer to the Capital improvements section of this document for a project Parking Shade description. $ Structure TOTAL $ - $ $ 90375 City Hall Parking Refer to the Capital Improvements section of this document for a project Lot Asphalt description. $ Replacement TOTAL $ $ $ 90380 Country Club Refer to the Capital Improvements section of this document for a project Drive rubber description, $ emulsion aggregate slurry TOTAL $ $ $ DTPiSTON TOTAL $ 300,000 E%P ESTERE ACTIVITY DETAIL For Fiscal Years 201041 Fa 350 - DEVEOP MENT WPM FFE-116TIDNL INIERCENSF$, AND INFERSFCCTIONS ACCT ACCOUNT NO. NAME JUSTIFICATION FOR STAFF REQUESTS Requested FY 2009-10 FY 2009-10 FY 2010-11 BUDGET ESTIMATE AMOUNT 90192 Bob Hope/Dinah Refer to the Capital Improvements section of this document for a project Shore Street description. Improvements $ 85,000 TOTAL $ 75,000 $ 84,224 $ 85,000 FUND TOTAL $ 85,000 IMMIXTURE ACTIVITY DETAIL FM' FiSCilI Years 2D10.11 FOND 353 - DEYELOPMENr IMPACT FEE - MEDDIN BLINDS ACCT ACCOUNT NO. NAME JUSTIFICATION FOR STAFF REQUESTS Requested FY 2009-10 FY 2009-10 FY 2010-11 BUDGET ESTIMATE AMOUNT 90382 Bob Hope Drive Refer to the Capital Improvements section of this document for a project Median description. Improvements TOTAL $ 165,100 - $ $ 165,100 FUND TOTAL $ 165,100 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL STREETS AND ROADS PROGRAM FY 2010 - 2011 Agency: City of Rancho Mirage Page 1 of 5 Prepared by: Bruce Harry, Director of Public Works Phone #: (760) 770-3224 Date: May 4, 2010 ITEM NO PROJECT NAME/LIMITS PROJECT TYPE TOTAL PROJECT COST ($0001S) MEASURE A FUNDS ($000'S) 1. Citywide slurry seal, crack seal, A.C. overlays and striping on various public streets. Preventative Maintenance 424 200 2• Mirage Cove Drive, Stellar Drive, Nebulae Way, Venus Drive and Saturn Circle Pavement Reconstruction. Pavement Reconstruction 800 200 3. Highway 111 and Frank Sinatra Drive Intersection Improvements. Capacity Enhancement 1.200 200 3. Bob Hope Dr./I-10 Interchange Project (Est. City Contribution) Extension of Bob Hope Drive to the new I-10 Interchange 551 150 4. Date Palm Dr./I-10 Interchange Project (Est. City Contribution) Existing Interchange Capacity Enhancement Improvement 1,200 1,200 TOTALS 4,175 1,950 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL STREETS AND ROADS PROGRAM FY 2011 - 2012 Agency: City of Rancho Mirage Page 2 of 5 Prepared by: Bruce Harry, Director of Public Works Phone #: (760) 770-3224 Date: May 4, 2010 PROJECT NAME/LIMITS PROJECT TYPE TOTAL PROJECT COST ($000'S) MEASURE A FUNDS ($000'S) 1'1'EM NO. 1, Citywide slurry seal, crack seal, A.C. overlays and striping on various public streets. Preventative Pavement Maintenance 800 400 TOTALS 800 400 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL STREETS AND ROADS PROGRAM FY 2012 - 2013 Agency: City of Rancho Mirage Page 3 of 5 Prepared by: Bruce Harry, Director of Public Works Phone #: (760) 770-3224 Date: May 4, 2010 ITEM NO. PROJECT NAME/LIMITS PROJECT TYPE TOTAL PROJECT COST ($000'S) MEASURE A FUNDS ($000'S) 1. Citywide slurry seal, crack seal, A.C. overlays and striping on various public streets. Preventative Maintenance 600 300 3. Frank Sinatra Drive Pavement Rehabilitation from Bob Hope Drive to east city limits. Pavement Rehabilitation 850 300 4. Highway 111 Pavement Rehabilitation from Bob Hope Drive to east city limit. Pavement Rehabilitation 750 100 TOTALS 2,200 700 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL STREETS AND ROADS PROGRAM FY 2013 - 2014 Agency: City of Rancho Mirage Page 4 of 5 Prepared by: Bruce Harry, Director of Public Works Phone #: (760) 770-3224 Date: May 4, 2010 ITEM NO. PROJECT NAME/LIMITS PROJECT TYPE TOTAL PROJECT COST ($000'S) MEASURE A FUNDS ($000'S) 1. Citywide slung seal, crack seal, A.C. overlays and striping on various public streets. Preventative Maintenance 400 400 2. Momingside Drive pavement rehabilitation from Country Club Drive to Frank Sinatra Drive. Pavement Rehabilitation 850 425 TOTALS 1,250 825 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL STREETS AND ROADS PROGRAM FY 2014 - 2015 Agency: City of Rancho Mirage Page 5 of 5 Prepared by: Bruce Harry, Director of Public Works Phone #: (760) 770-3224 Date: May 4, 2010 ITEM NO. PROJECT NAME/LIMITS PROJECT TYPE TOTAL PROJECT COST ($000'S) MEASURE A FUNDS ($000'S) 1. Citywide slurry seal, crack seal, A.C. overlays and striping on various public streets. Preventative Maintenance 400 200 2. Rancho Las Palmas Drive Pavement Rehabilitation from Highway 111 to Bob Hope Drive. Pavement Rehabilitation 775 387 3. Country Club Drive Pavement Reconstruction from Hwy 111 to Morningside Drive. Pavement Reconstruction 700 350 TOTAL 1,875 937 May 7, 2010 CITY OF R NC O MIRAGE 21 Ms. Theresia Trevino, Chief Financial Officer Riverside County Transportation Commission Riverside County Regional Complex, Third Floor Post Office Box 12008 Riverside, CA 92502-2208 Re: FY 2009/2010 Measure "A" Local Streets and Roads Status Report Dear Ms Trevino: The following is the current status of City of Rancho Mirage projects identified in our FY 2009/2010 Measure "A" Local Streets and Roads Program as requested. 1. Project: Citywide slurry, crack sealing, A.C. overlays on various streets Status: Project will be completed by May 28, 2010. 2. Project: Bob Hope Dr. widening from Dinah Shore to Ramon Status: Construction scheduled for May 2010 — October 2010 3. Project: Monterey street improvements from Country Club to Gerald Ford Status: Construction started July 2009 and completed on April 5, 2010 4. Project: Bob Hope/I-10 Interchange Project (Caltrans Administered) Status: Under Construction, Completion by August 2011. ADMINISTRATION COMMUNITY DEVELOPMENT FINANCE HOUSING AUTHORITY PUBLIC LIBRARY PUBLIC WORKS Tei. (760) 324-4511 Tel. (760) 328-2266 Tel. (760) 770-3207 Tel. (760) 770-3210 Tel. (760) 341-7323 Tel. (760) 770-3224 Fax. (760) 324-8830 Fax. (760) 324-9851 Fax. (760) 324-0528 Fax. (760) 341-6793 Fax. (760) 341-5213 Fax. (760) 770-3261 69-825 HIGHWAY 111 / RANCI-HO MIRAGE, CA 92270 www.ci.Rancho-Mirage.ca.us www.RelaxRanchoMirage.com 5. Project: Date Palm/I-10 Interchange (Cathedral City Administered) Status: Construction started February 2010 and scheduled to be completed by August 2011 Should you have any questions, please feel free to call me at (760) 770-3224. Sincerely, Bruce B. Harry, Jr. Director of Public Works c: RCTC Measure "A", FY 2011-2015 File 89042 TT, SM Public Works Department May 3, 2010 Riverside County Transportation Commission 4080 Lemon Street, 3rd Floor Riverside, CA 92501 Attn.: Ms. Shirley Medina, Planning and Programming Manager Subject: Maintenance of Effort Certification and Measure A CIP Enclosed is the City of Riverside's Maintenance of Effort Certification for FY 2009/10 accompanied by supporting documentation. The City's estimated eligible expenditures for FY 2009/10 total $15,610,596 as compared to our baseline amount of $12,449,203. The City of Riverside's Streets and Roads Capital Improvement Program for FY 2010/11 through FY 2014/15 and a status report for FY 2009/10 are also enclosed. If you have any questions, please contact Patrick Keeney at (951) 826-2406. Sincerely, Thomas J. Boyd Deputy Public Works Director — City Engineer Attachments G:1Common1Measure of Effort\09 10 FY\RCTC 0910 MOE Letter 050310.doc 3900 Main Street • Riverside, CA 92522 • 951.826.5341 • fax 951.826.5542 • www.riversideca.gov X.29.18 MAINTENANCE OF EFFORT CERTIFICATION STATEMENT The undersigned agrees and certifies for the City of Riverside (the "Agency") that sales tax transportation funds received pursuant to Ordinance No. 02-001 of the Riverside County Transportation Commission ("Measure A") shall be used in compliance with the Commission's Maintenance of Effort base year amounts approved by the Commission at its July 8, 2009 meeting, and that the Agency shall not use such funds to replace discretionary local funds previously expended by the Agency for local transportation purposes. The Agency hereby acknowledges that the failure of the Agency to continue such local expenditure shall result in a reduction or loss of Measure A funds. April 30, 2010 Dated: AAav 7, -241-8- Siobhan oster Public Works Director Paul Sundeen Chief Financial Officer/Treasurer Approved as to Form: CitAttor ey Bradley J. Hudson City Manager " F Y 2 0 0 9 / 1 0 C o n s t r u c t i o n a n d M a i n t e n a n c e E x p e n d i t u r e s C i t y o f R i v e r s i d e ( R o u n d t o n e a r e s t d o l l a r ) F u n d i n g B r e a k d o w n P r o j e c t E x p e n d i t u r e s I n c l u d e d i n G e n e r a l L e d g e r T o t a l C o s t G e n e r a l F u n d M e a s A F e d e r a l S t a t e C i t y F u n d s O t h e r C o n s t r u c t i o n : M a i n t e n a n c e : S e c t i o n 1 1 2 3 8 0 - C M - S t r e e t L i g h t s $ 4 , 3 7 8 , 0 1 5 $ 4 , 3 7 8 , 0 1 5 S e c t i o n 4 1 0 0 0 0 - P W - A d m i n i s t r a t i o n $ ( 2 0 3 , 2 8 7 ) $ ( 2 0 3 , 2 8 7 ) S e c t i o n 4 1 0 0 1 0 - P W - A n i m a l R e g u l a t i o n $ 2 , 6 9 4 , 8 2 2 $ 2 , 6 9 4 , 8 2 2 S e c t i o n 4 1 0 0 2 0 - P W - S u n d r y $ 5 5 , 7 8 1 $ 5 5 , 7 8 1 S e c t i o n 4 1 1 0 0 0 - P W - S t r e e t s A d m i n i s t r a t i o n $ 6 1 4 , 1 5 5 $ 6 1 4 , 1 5 5 S e c t i o n 4 1 1 0 1 0 - P W - S t r e e t s M a i n t e n a n c e $ 2 , 9 9 9 , 7 1 7 $ 2 , 9 9 9 , 7 1 7 S e c t i o n 4 1 1 0 1 1 - P W - F o r e s t r y & L a n d s c a p e $ 2 , 8 5 2 , 3 9 5 $ 2 , 8 5 2 , 3 9 5 S e c t i o n 4 1 1 0 1 2 - P W - L a n d s c a p e M a i n t e n a n c e D i s t r i c t s $ 5 2 6 , 3 0 0 $ 5 2 6 , 3 0 0 S e c t i o n 4 1 1 0 3 0 - P W - S t o r m D r a i n M a i n t e n a n c e $ 1 0 8 , 7 8 9 $ 1 0 8 , 7 8 9 S e c t i o n 4 1 1 5 0 0 - P W - C i t y E n g i n e e r i n g $ 4 , 0 0 9 , 9 6 9 $ 4 , 0 0 9 , 9 6 9 S e c t i o n 4 1 2 0 0 0 - P W - T r a f f i c E n g i n e e r i n g $ 1 , 5 9 1 , 3 3 4 $ 1 , 5 9 1 , 3 3 4 S e c t i o n 4 1 2 0 1 0 - P W - T r a f f i c - P h o t o R e d L i g h t $ 2 , 5 5 8 , 2 1 3 $ 2 , 5 5 8 , 2 1 3 S e c t i o n 4 1 2 0 2 0 - P W - C r o s s i n g G u a r d s $ 7 2 0 , 1 6 3 $ 7 2 0 , 1 6 3 S e c t i o n 4 1 2 1 0 0 - P W - T r a f f i c - P h o t o R e d L i g h t $ 3 0 $ 3 0 S e c t i o n 4 1 2 5 1 5 - P W - S t o r m D r a i n M a i n t e n a n c e $ 1 7 1 , 0 2 4 $ 1 7 1 , 0 2 4 S e c t i o n 4 1 3 5 3 0 - P W - S t r e e t P r o j e c t s $ $ - S e c t i o n 4 1 9 0 0 0 - P W - D e b t $ 3 1 7 , 7 3 7 $ 3 1 7 , 7 3 7 S e c t i o n 4 1 9 5 0 0 - P W - C a p i t a l $ 3 3 6 , 9 2 4 $ 3 3 6 , 9 2 4 E n g i n e e r i n g / A d m i n i s t r a t i v e O v e r h e a d N o t A l l o c a t e d t o S p e c i f i c P r o j e c t s : $ $ $ - D e d u c t i o n s f o r S p e c i a l C o n s i d e r a t i o n ( D e d u c t i o n s M u s t A l s o B e I n c l u d e d i n P r o j e c t E x p e n d i t u r e s A b o v e ) : T o t a l P r o j e c t C o s t G e n e r a l F u n d S t a t e R e a s o n W h y P r o j e c t E x p e n d i t u r e S h o u l d B e D e d u c t e d f r o m M O E C o n s t r u c t i o n : M a i n t e n a n c e : S e c t i o n 4 1 0 0 0 0 - P W - A d m i n i s t r a t i o n $ ( 2 0 3 , 2 8 7 ) $ ( 2 0 3 , 2 8 7 ) D e d u c t u n a l l o c a t e d a d m i n s t r a t i o n a n d e n g i n e e r i n g p e r T A C S u b c o m m i t t e e M O E m e e t i n g 3 / 2 / 1 0 S e c t i o n 4 1 0 0 1 0 - P W - A n i m a l R e g u l a t i o n $ 2 , 6 9 4 , 8 2 2 $ 2 , 6 9 4 , 8 2 2 N o n - t r a n s p o r t a t i o n r e l a t e d S e c t i o n 4 1 0 0 2 0 - P W - S u n d r y $ 5 5 , 7 8 1 $ 5 5 , 7 8 1 N o n - t r a n s p o r t a t i o n r e l a t e d S e c t i o n 4 1 1 0 1 2 - P W - L a n d s c a p e M a i n t e n a n c e D i s t r i c t s $ 5 2 6 , 3 0 0 $ 5 2 6 , 3 0 0 N o n - t r a n s p o r t a t i o n r e l a t e d S e c t i o n 4 1 1 5 0 0 - P W - C i t y E n g i n e e r i n g $ 4 , 0 0 9 , 9 6 9 $ 4 , 0 0 9 , 9 6 9 D e d u c t u n a l l o c a t e d a d m i n s t r a t i o n a n d e n g i n e e r i n g p e r T A C S u b c o m m i t t e e M O E m e e t i n g 3 / 2 / 1 0 S e c t i o n 4 1 2 0 2 0 - P W - C r o s s i n g G u a r d s $ 7 2 0 , 1 6 3 $ 7 2 0 , 1 6 3 N o n - t r a n s p o r t a t i o n r e l a t e d S e c t i o n 4 1 9 0 0 0 - P W - D e b t $ 3 1 7 , 7 3 7 $ 3 1 7 , 7 3 7 N o n - t r a n s p o r t a t i o n r e l a t e d E n g i n e e r i n g / A d m i n i s t r a t i v e O v e r h e a d N o t A l l o c a t e d t o S p e c i f i c P r o j e c t s : $ $ $ $ 1 9 8 9 M O E B a s e Y e a r $ 1 2 , 4 4 9 , 2 0 3 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM FY 2010 - 2011 Agency: City of Riverside Prepared by: Patrick Keeney Phone No.: (951) 826-2406 Date: April 15, 2010 Page 1 of 7 ITEM NO. PROJECT NAME/LIMITS PROJECT TYPE TOTAL COST ($000'S) MEASURE A FUNDS ($000'S) 1 Indiana Widening @ Pierce Street Widening and Improvements 1,540 *493 2 Jurupa Ave. - Van Buren Blvd. to Rutland Design and Environmental Documents for New Street Construction 250 *158 3 Lime & University Intersection Improvements 156 *156 4 Major Street Rehabilitation 08/09 - Orange Terrace Street Resurfacing 1,811 *1,116 5 Major Street Rehabilitation 09/10 Street Resurfacing 956 *956 6 Major Street Rehabilitation 10/11 Street Resurfacing 1,400 750 7 Minor Street Rehabilitation 08/09 Street Overlay 4,156 *1,730 8 Misc. Railroad Project Management Grade Separation 360 *44 9 Myrtle @ Victoria Intersection Intersection Improvements 150 150 10 Quiet Zone - BNSF & UP Railroads Railroad Quiet Zone 17,000 *113 11 Railroad Grade Separation - Iowa Grade Separation 32,056 *496 12 Railroad Grade Separation - Madison Grade Separation/Preliminary Design 250 *50 13 Railroad Grade Separation - Magnolia Grade Separation 57,190 *96 14 Railroad Grade Separation - Mary Grade Separation 38,100 *178 15 Railroad Grade Separation - Riverside Grade Separation 31,860 *599 16 Railroad Grade Separation - Streeter Grade Separation 37,425 *1,782 * Indicates Measure A funding in prior fiscal years and not expended at 7/1/09. gkommon\measure of effort\FY 0910\measacip 1011 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM FY 2010 - 2011 Agency: City of Riverside Prepared by: Patrick Keeney Phone No.: (951) 826-2406 Date: April 15, 2010 Page 2 of 7 ITEM NO. PROJECT NAME/LIMITS PROJECT TYPE TOTAL COST ($000'S) MEASURE A FUNDS ($000'S) 17 Railroad Grade Separation - Third St. Grade Separation - Design 961 - 18 Railroad Grade Separations Grade Separation 591 *591 19 Sidewalk/Trail Construction 09/10 Citywide Sidewalk Construction 500 *100 20 Tyler Widening - Wells to Hole Street Widening and Improvements 8,000 *3,000 21 Van Buren - Garfield to Jackson Street Widening 14,840 *125 22 Van Buren - Indiana to South City Limit Street Widening 26,750 *500 23 Van Buren - Jurupa to Santa Ana River Street Widening 300 300 24 Van Buren - Santa Ana River to Jackson Street Widening 18,400 *137 25 Van Buren Blvd / 91 Frwy Interchange Interchange Improvements 34,500 *60 26 Washington Turn Lanes Addition of Turn Lanes 1,000 *996 27 Wilderness Ave @ UPRR Crossing Street Improvements @ RR Crossing 358 *358 28 Arlington Avenue @ Horace Street Traffic Signal Revision 80 *80 29 Arterial Interconnections 09/10 Traffic Signal Coordination 300 *200 30 CalTrans Ramps Coordination Traffic Signal Coordination 53 *53 31 De Anza @ Central Avenue Traffic Signal Revision 70 *70 32 Dufferin Ave @ Stewart Street Street Closure 205 *194 33 La Cadena @ Spruce Street Traffic Signal Revision 70 *70 Indicates Measure A funding in prior fiscal years and not expended at 7/1l09. Ocommon\measure of effort\FY 0910\measacip 1011 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM FY 2010 - 2011 Agency: City of Riverside Prepared by: Patrick Keeney Phone No.: (951) 826-2406 Date: April 15, 2010 Page 3 of 7 ITEM NO. PROJECT NAME/LIMITS PROJECT TYPE TOTAL COST ($000'S) MEASURE A FUNDS ($000'S) 34 Main - First to Columbia Traffic Signal Coordination 250 *250 35 Multi -Agency Traffic Coordination Traffic Signal Coordination 825 *367 36 Traffic Management Center Traffic Management Center - 50 50 Equipment and Improvements 37 Traffic Signal Battery Back Up Battery Back Up System for Traffic 1,214 *609 38 Traffic Signal Revisions 09/10 Traffic Signal Revision 250 *250 39 Traffic Signal Revisions 10/11 Traffic Signal Revision 100 100 40 Traffic Signal - Prioritized Locations 09/10 New Traffic Signal Installation 250 *250 41 Transportation Planning Engineering Planning 50 50 42 Pavement Management Program Ongoing Annual Expenditure 75 75 43 Transportation Planning/Investigation Traffic Engineering 300 300 44 Controller Assembly Replacement Ongoing Traffic Signal Maintenance 40 40 45 Spread Spectrum Radio Replacement Ongoing Traffic Signal Maintenance 10 10 46 Traffic Signal Loop Replacement Ongoing Traffic Signal Maintenance 35 35 Subtotal Project Costs 335,087 Subtotal FY 2011 Meas. A Funding 1,860 Subtotal Prior Meas. A Funding 15,111 * Indicates Measure A funding in prior fiscal years and not expended at 7/1/09. g:\common\measure of effort\FY 0910\measacip 1011 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM FY 2011- 2012 Agency: City of Riverside Prepared by: Patrick Keeney Phone No.: (951) 826-2406 Date: April 15, 2010 Page 4 of 7 ITEM NO. PROJECT NAME/LIMITS PROJECT TYPE TOTAL COST ($000'S) MEASURE A FUNDS ($000'S) 1 Main Street Reconstruction - SR 60 to 1st Street Reconstruction and Improvements 2,500 1,500 2 Van Buren - Garfield to Jackson Street Widening 14,840 400 3 Major Street Rehabilitation 11/12 Street Resurfacing 1,400 1,400 4 Traffic Signal Improvements Traffic Signal Coordination/Revision 535 535 5 Traffic Signal - Prioritized Locations New Traffic Signal Installation 300 300 6 Railroad Grade Separations Grade Separation 447 447 7 Transportation Planning Engineering Planning 50 50 8 Pavement Management Program Ongoing Annual Expenditure 75 75 9 Transportation Planning/Investigation Traffic Engineering 300 300 Subtotal Project Costs 20,447 Subtotal FY2012 Meas. A Funding 5,007 g:\common\measure of effort\FY 0910\measacip 1011 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM FY 2012- 2013 Agency: City of Riverside Prepared by: Patrick Keeney Phone No.: (951) 826-2406 Date: Apri115, 2010 Page 5 of 7 ITEM NO. PROJECT NAME/LIMITS PROJECT TYPE TOTAL COST ($000'S) MEASURE A FUNDS ($000'S) 1 Jurupa Extension - Rutland to Crest New Street Construction 300 300 2 Major Street Rehabilitation 12/13 Street Resurfacing 1,400 1,400 3 Van Buren - Garfield to Jackson Street Widening 14,840 1,000 4 Traffic Signal Improvements Traffic Signal Coordination/Revision 535 535 5 Traffic Signal - Prioritized Locations New Traffic Signal Installation 300 300 6 Railroad Grade Separations Grade Separation 461 461 7 Transportation Planning Engineering Planning 50 50 8 Pavement Management Program Ongoing Annual Expenditure 75 75 9 Transportation Planning/Investigation Traffic Engineering 300 300 Subtotal Project Costs 18,261 Subtotal FY2013 Meas. A Funding 4,421 gkommonlmeasure of effortlFY 09101measacip 1011 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM FY 2013 - 2014 Agency: City of Riverside Prepared by: Patrick Keeney Phone No.: (951) 826-2406 Date: April 15, 2010 Page 6 of 7 ITEM NO. PROJECT NAME/LIMITS PROJECT TYPE TOTAL COST ($000'S) MEASURE A FUNDS ($000'S) 1 Major Street Rehabilitation 13/14 Street Resurfacing 1,400 1,400 2 Van Buren - Garfield to Jackson Street Widening 14,840 1,000 3 Traffic Signal Improvements Traffic Signal Coordination/Revision 535 535 4 Traffic Signal - Prioritized Locations New Traffic Signal Installation 300 300 5 Railroad Grade Separations Grade Separation 479 479 6 Transportation Planning Engineering Planning 50 50 7 Pavement Management Program Ongoing Annual Expenditure 75 75 8 Transportation Planning/Investigation Traffic Engineering 300 300 Subtotal Project Costs 17,979 Subtotal FY2014 Meas. A Funding 4,139 g:lcommonlmeasure of effortlFY 09101measacip 1011 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM FY 2014- 2015 Agency: City of Riverside Prepared by: Patrick Keeney Phone No.: (951) 826-2406 Date: April 15, 2010 Page 7 of 7 ITEM NO. PROJECT NAME/LIMITS PROJECT TYPE TOTAL COST MOOS) MEASURE FUNDS ($000'S) 1 Van Buren - Garfield to Jackson Street Widening 14,840 1,400 2 Major Street Rehabilitation 14/15 Street Resurfacing 1,400 1,400 3 Traffic Signal Improvements Traffic Signal Coordination/Revision 535 535 4 Traffic Signal - Prioritized Locations New Traffic Signal Installation 300 300 5 Railroad Grade Separations Grade Separation 503 503 6 Transportation Planning Engineering Planning 50 50 7 Pavement Management Program Ongoing Annual Expenditure 75 75 8 Transportation Planning/Investigation Traffic Engineering 300 300 Subtotal Project Costs 18,003 Subtotal FY2015 Meas. A Funding 4,563 Total FY2011-2015 Meas. A Funding 19,990 g:lcommon\measure of effort\FY 09101measacip 1011 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM STATUS FY2009-10 Agency: City of Riverside Page 1 of 5 Prepared by: Patrick Keeney Phone No.: (951) 826-2406 Date: April 15, 2010 Item No. PROJECT NAMEQdMITS PROJECT TYPE TOTAL COST ($000'S) MEASURE A FUNDS ($000'S) STATUS 1 Arlington Widening - Victoria to Alessandro Street Widening and Improvements 16,500 - Project on hold pending assessment of revenues/Measure A call for projects. 2 Canyon Crest Widening - Country Club to Via Vista Street Widening and Improvements 6,000 - Project on hold pending assessment of revenues. 3 Central Avenue Improvements - Victoria to Asphalt Rehabilitation and Median 4,661 *253 Project is complete. Chicago Rehabilitation/Enhancement 4 Indiana Widening @ Pierce Street Widening and Improvements 1,540 *493 Project to be completed with construction of new school, anticipated in 2010. 5 Jurupa Extension - Van Buren to Rutland Design and Environmental Documents for New Street Construction 250 *158 Contract awarded for design/environmental documentation in February 2009. 6 Jurupa Avenue Underpass Street Underpass/Grade Separation 25,414 *844 Project is complete. 7 La Sierra/91 Fwy. Reconstruction Interchange Improvements 40,000 - Project is complete. 8 Lime and University Intersection improvements 156 *156 On hold pending construction of new office building. 9 Major Street Rehabilitation 07/08 (Mission Inn, University and Lime) Street Resurfacing and Signal Modifications 3,010 *649 Project is complete. 10 Major Street Rehabilitation 08/09 - Hole Street Resurfacing 1,132 *533 Project is complete. Avenue 11 Major Street Rehabilitation 08/09 - Orange Street Resurfacing 1,811 *1,116 Project is complete. Terrace Parkway *Prior years unexpended funds at July 1, 2009. GACommonlMeasure of Effort109 10 FY\measastatus2010 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM STATUS FY2009-10 Agency: City of Riverside Page 2 of 5 Prepared by: Patrick Keeney Phone No.: (951) 826-2406 Date: Apri115, 2010 Item No. PROJECT NAME/LIMITS PROJECT TYPE TOTAL COST ($000'S) MEASURE A FUNDS ($000'S) STATUS 12 Major Street Rehabilitation 09/10 Street Resurfacing 956 956 Design in progress. 13 Martin Luther King - SR 91 to Chicago (study) Traffic Study 50 *13 Study is complete. 14 Minor Street Rehabilitation 08/09 Street Overlay 4,156 *1,730 Contract awarded in May 2009. 15 Miscelllaneous Railroad Project Management Grade Separations 360 *44 Ongoing project management. 16 Quiet Zone Quiet Zone for BNSF 8 UP Railroads 17,000 *113 Design in progress. 17 RR Grade Separation - Columbia Avenue Grade Separation - Columbia @ BNSF 29,150 - Project is complete. 18 RR Grade Separation - Iowa Avenue Grade Separation - Iowa @ BNSF 32,056 *496 Design and right-of-way acquisition in progress. 19 RR Grade Separation - Madison Street Grade Separations - preliminary design 250 *50 Preliminary design in progress. 20 RR Grade Separation - Magnolia Avenue Grade Separation - Magnolia @ UPRR 57,190 *96 Contract awarded in December 2009. 21 RR Grade Separation - Mary Street Grade Separation - Mary @ BNSF 38,100 *178 Design in progress. 22 RR Grade Separation - Riverside Avenue Grade Separation - Riverside a UPRR 31,860 *599 Design in progress. 23 RR Grade Separation - Streeter Avenue Grade Separation - Streeter @ UPRR 37,425 *1,782 Design in progress. 24 RR Grade Separation - Third Street Grade Separation - preliminary and final design 961 - Design in progress. * Prior years unexpended funds at July 1, 2009. G:1CommonlMeasure of Effort109 10 FYlmeasastatus2010 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM STATUS FY2009-10 Agency: City of Riverside Page 3 of 5 Prepared by: Patrick Keeney Phone No.: (951) 826-2406 Date: April l5, 2010 Item No. PROJECT NAME/LIMITS PROJECT TYPE TOTAL COST ($000'S) MEASURE A FUNDS ($000'S) STATUS 25 Railroad Grade Separations Grade Separations 591 528 For debt service or allocation to specific *63 projects. 26 Sidewalk Repair 07/08 Sidewalk Repair - Citywide 484 *80 Project is complete. 27 Sidewalk/Trail Construction 09/10 Sidewalk Construction 500 100 Design in progress. 28 Tyler Widening - Wells to Hole Street Widening and Improvements 8,000 *3,000 Design in progress. 29 Van Buren Blvd. Widening - Garfield to Street Widening 14,840 25 On hold pending assessment of revenues/ Jackson St *100 call for projects. 30 Van Buren Blvd. Widening - Indiana to South Street Widening 26,750 *500 Design is planned for 2009/10. City Limit 31 Van Buren Blvd. Widening - Santa Ana River to Jackson Street Street Widening 18,400 *137 Contract awarded in May 2009. Estimated completion in September 2010. 32 Van Buren Blvd / 91 Frwy Interchange Interchange Improvements 34,500 *60 Contract awarded in January 2010. Estimated completion in June 2011. 33 Washington Tum Lanes Addition ofTum Lanes 1,000 *996 Design in progress. 34 Wilderness Ave @ UPRR Crossing Street Improvements @ RR Crossing 358 *358 Design in progress. 35 Arlington @ Horace Signal Modification 80 *80 Design in progress. 36 Arterial Interconnections Signal Coordinations 300 200 Project is underway. 37 CalTrans Ramps Coordination Signal Coordinations 53 *53 On -going signal coordination work. * Prior years unexpended funds at July 1, 2009. a\Common\Measure of Effort109 10 FY1measastatus2010 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM STATUS FY2009-I0 Agency: City of Riverside Page 4 of 5 Prepared by: Patrick Keeney Phone No.: (951) 826-2406 Date: April15, 2010 Item No. PROJECT NAME/LIMITS PROJECT TYPE TOTAL COST ($000'S) MEASURE A FUNDS ($000'S) STATUS 38 De Anza @ Central Signal Modification 70 *70 Design in progress. 39 Dufferin Ave @ Stewart Street Street Closure 205 *194 Project is underway. 40 La Cadena a Columbia Signal Modification 130 *79 Project is complete. 41 La Cadena 0, Spruce Signal Modification 70 *70 Design in progress. 42 Main Street Interconnect -1st to Columbia Signal Coordination 250 *250 Contract awarded in December 2009. 43 Miscellaneous Signal Revisions 07/08 Signal Modifications 150 *25 Project is complete. 44 Miscellaneous Signal Revisions 09/10 Signal Modification 250 250 Design in progress. 45 Multi -Agency Traffic Coordination Signal Coordination 825 *367 Design in progress. 46 New Traffic Signals 09/10 Signal Installation 250 250 Design in progress. 47 Sycamore Canyon - Box Springs Signal Installation 294 *11 Project is complete. 48 Sycamore Canyon - Eastridge Signal Installation 349 *9 Project is complete. 49 Sycamore Canyon - Sierra Ridge Signal Installation 145 *2 Project is complete. 50 Transportation Planning Engineering Planning 125 125 Ongoing annual expenditure. 51 Pavement Management Program Ongoing Annual Expenditure 75 75 Ongoing annual expenditure. 52 Controller Assembly Replacement Ongoing Traffic Signal Maintenance 40 40 Ongoing annual expenditure. *Prior years unexpended funds at July 1, 2009. GACommon\Measure of Effort\09 10 F1lmeasastatus2010 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM STATUS FY2009-10 Agency: City of Riverside Page 5 of 5 Prepared by: Patrick Keeney Phone No.: (951) 826-2406 Date: Apri115, 2010 Item No. PROJECT NAME/LIMITS PROJECT TYPE TOTAL COST ($000'S) MEASURE A FUNDS ($000'S) STATUS 53 Transportation Planning/Inyestigation Traffic Engineering 165 165 Ongoing annual expenditure. 54 Spread Spectrum Radio Replacement Ongoing Traffic Signal Maintenance 20 20 Ongoing annual expenditure. 55 Traffic Signal Battery Back Up Battery Back Up System for Traffic 1,214 100 Phase III is complete. *509 56 Traffic Signal Loop Replacement Ongoing Traffic Signal Maintenance 60 60 Ongoing annual expenditure. nor years unexpended funds at July 1, 2009. a\Common\Measure of Effort\09 10 PArneasastatus2010 Orig. to SM 89095 TT, SM May 6, 2010 COUNTY OF RIVERSIDE TRANSPORTATION AND LAND MANAGEMENT AGENCY Transportation Department Ms. Shirley Medina Riverside County Transportation Commission 4080 S. Lemon St., Third floor Riverside, CA 92501 RE: Measure A Local Streets and Roads Program Dear Ms. Medina: Juan C. Perez, P.E., T.E Director of Transportation Attached is the County's five-year program of projects for the County's portion of Measure A funds for Fiscal Year 2011/2015. The County's Transportation Department receives no general funds and no certification of MOE is included. Also attached is a copy of our Fiscal Year 2010/2014 plan with comments addressing project status, project additions and delays. 1Ne have scheduled expenditures based on revenue projections transmitted by your letter of February 8, 2010. These projects are incorporated in the County's proposed Fiscal Year 2009/2010 Transportation Improvement Plan (TIP) which is planned for Board approval. We will inform your agency of any changes that occur to the Measure A program due to future revisions of the County's TIP. If you have any questions concerning this program, please contact me or Patricia Romo, Deputy Director of Transportation, at (951) 955-6740. incerely, Juan C. Perez 2 Z I u Lb L' MAY i Director of Transportation 772.1,NSPCI rT'QN ^ M r SWIN RKN: attachments cc: Ed Cooper Glenn Higa/Roy Null (transmittal only) 4080 Lemon Street, 8t Floor • Riverside, California 92501 • (951) 955-6740 P.O. Box 1090 • Riverside, California 92502-1090 • FAX (951) 955-3198 X.29.19 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM Fiscal years 2011-2015 RIVERSIDE COUNTY TRANSPORTATION DEPARTMENT Pagel 05/05/2010 Name Supv.Dist Limits Length (mi) EW (ft)/PW (ft) Description (Comments) Fund Source Fund Source Amount x $1000 Measure A Funds by Fiscal Year Amount x $1000 D = Design R = Right of Way Acquisition E = Enviorrmental C = Construction Total 10/11 11/12 112/13 13/14 14/15 04th St 4 301 127 D 9 0 0 0 0 SR 111 Hammond Rd E 5 0 0 0 0 .00 (mi) (ft)/ (ft) R 0 0 0 0 0 Const raised median at RR crossing other 214 C 113 0 0 0 0 301 Measure A/Coachella Valley Total 341 21st Ave 5 301 12 D 1 0 0 0 0 W Circle B Dr 0.02 mi E Circle B Dr 0.02 mi E 1 0 0 0 0 .04 (mi) 18 (ft)/ 18 (ft) R 0 0 0 0 0 Resurf RMS paved road other C 10 0 0 0 0 301 Measure A/Coachella Valley Total 12 46th St 2 300 105 D 0 0 0 0 0 Riverview Dr SE'ly 800' E 0 0 0 0 0 .15 (mi) 18 (ft)/ 26 (ft) R 0 0 0 0 0 Reconst and Widen AC Paved Road other C 105 0 0 0 0 300 Measure A/Western Total 105 Acacia Ave 3 300 380 D 0 0 0 0 0 Columbia St Meridian St E 0 0 0 0 0 1.00 (mi) 37 (ft)/ 37 (ft) R 0 0 0 0 0 Resurf AC paved road other C 380 0 0 0 0 300 Measure A/Western Total 380 Acorn Ln 3 300 93 D 0 1 0 0 0 Sylvan Wy %P ly 0.31 mi E 0 1 0 0 0 .31 (mi) 26 (ft)/ 26 (ft) R 0 0 0 0 0 Resurf AC paved road other C 0 91 0 0 0 300 Measure A/Western Total 93 Alessandro Ave 3 300 470 D 0 0 0 0 0 S'ly Cypress 0.02 mi Ramona Expy E 0 0 0 0 0 .79 (mi) 20 (ft)/ 20 (ft) R 0 0 0 0 0 Grind and Resurf other C 470 0 0 0 0 300 Measure A/Western Total 470 Alicante Dr 5 300 61 D 0 0 0 0 0 Capitola Ln Sultanas Rd E 1 0 0 0 0 .17 (mi) 29 (ft)/ 29 (ft) R 0 0 0 0 0 Resurf AC paved road other C 60 0 0 0 0 300 Measure A/Western Total 61 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM Fiscal years 2011-2015 RIVERSIDE COUNTY TRANSPORTATION DEPARTMENT Page 2 05/05/2010 Name Supv.Dist Limits Length (mi) EW (ft)/PW (ft) Description (Comments) Fund Source Fund Source Amount x $1000 Measure A Funds by Fiscal Year Amount x $1000 D = Design R = Right of Way Acquisition E = Enviornmental C = Construction Total 10/11 11/12 112/13 113/14 14/15 Alicante Dr 5 300 143 D 0 0 0 0 0 Briggs Rd Capitola Ln E 1 0 0 0 0 .32 (mi) 37 (ft)/ 37 (ft) R 0 0 0 0 0 Resurf AC paved road other C 142 0 0 0 0 300 Measure A/Western Total 143 Apache Tr/ I-10 Interchange 5 300 10 D 0 0 0 0 0 Seminole Dr Main St E 0 0 0 0 0 .20 (mi) 40 (ft)/ 40 (ft) R 5 0 0 0 0 Const Roundabouts at 2 off/on ramp intersections to improve capacity of interchange. other C 5 0 0 0 0 Funds shown are for County activity only. 300 Measure A/Western Total 10 Ave Juan Bautista 2 300 96 D 9 0 0 0 0 Limonite Ave S'ly Ave Don Benito E 1 0 0 0 0 .50 (mi) 34 (ft)/ 34 (ft) R 0 0 0 0 0 Resurf AC paved road other C 86 0 0 0 0 300 Measure A/Western Total 96 Avenida Madrid 5 300 83 D 0 0 0 0 0 Alicante Dr San Juan Dr E 1 0 0 0 0 .21 (mi) 33 (ft)/ 33 (ft) R 0 0 0 0 0 Resurf AC paved road other C 82 0 0 0 0 300 Measure A/Western Total 83 Avenida Ramada 5 300 50 D 0 0 0 0 0 Alicante Dr Sly Alicante Dr .12mi E 1 0 0 0 0 .12 (mi) 33 (ft)/ 33 (ft) R 0 0 0 0 0 Resurf AC paved road other C 49 0 0 0 0 300 Measure A/Western Total 50 Avenida Rancho Vista 3 300 37 D 0 0 0 0 0 Linda Rosea Rd Via Cerro Vista E 1 0 0 0 0 .14 (mi) 32 (ft)/ 32 (ft) R 0 0 0 0 0 Resurf RMS paved road other C 36 0 0 0, 0 300 Measure A/Western Total 37 Avenida Valencia 5 300 118 D 0 0 0 0 0 La Puerta Dr Mapes Rd E 1 0 0 0 0 .29 (mi) 33 (ft)/ 33 (ft) R 0 0 0 0 0 Resurf AC paved road other C 117 0 0 0 0 300 Measure A/Western Total 118 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM Fiscal years 2011-2015 RIVERSIDE COUNTY TRANSPORTATION DEPARTMENT Page 3 05/05/2010 Name Supv.Dist Limits Length (mi) EW (ft)/PW (ft) Description (Comments) Fund Source Fund Source Amount x $1000 Measure A Funds by Fiscal Year Amount x $1000 D = Design R = Right of Way Acquisition E = Enviorrmental C = Construction Total 10/11 11/12 12/13 13/14 114/15 Avenida Vizcaya 5 300 83 D 0 0 0 0 0 Alicante Dr San Juan Dr E 1 0 0 0 0 .21 (mi) 33 (ft)/ 33 (ft) R 0 0 0 0 0 Resurf AC paved road other C 82 0 0 0 0 300 Measure A/Western Total 83 Bautista Rd 3 300 599 D 0 0 0 0 0 S.H. 371 Upper Valley Rd E 0 1 0 0 0 2.11 (mi) 25 (ft)/ 25 (ft) R 0 0 0 0 0 Resurf RMS paved road other C 0 598 0 0 0 _ 300 Measure A/Western Total 599 Bedford Canyon Rd 2 300 567 D 0 0 0 0 0 El Cerrito Rd S'ly E 0 0 0 0 0 .10 (mi) 33 (ft)/ 40 (ft) R 351 0 0 0 0 Realign road and install traffic signal other C 216 0 0 0 0 Part of Corona's Foothill Pkwy/El Cerrito Rd project. 300 Measure A/Western Total 567 Bennett Rd 4 301 187 D 1 0 0 0 0 Dillon Rd S'ly 1.12 mi E 1 0 0 0 0 1.12 (mi) 23 (ft)/ 23 (ft) R 0 0 0 0 0 Resurf RMS paved road other C 185 0 0 0 0 301 Measure A/Coachella Valley Total 187 Cactus Ave Interchange 1 300 41 D 7 7 7 0 0 I-215 E 0 0 0 0 0 .55 (mi) 40 (ft)/ 76 (ft) R 0 0 0 0 0 Recon and widen overpass and ramps other 50700 C 0 0 0 10 10 70% in SD#1, 30% in SD#5 Moreno Valley is the lead agency 300 Measure A/Western Total 50741 Calico Ave 5 300 110 D 0 0 0 0 0 Chaparral Rd Cottonwood Rd E 0 0 0 0 0 .21 (mi) 60 (ft)/ 60 (ft) R 0 0 0 0 0 Resurf AC paved road other C 110 0 0 0 0 300 Measure A/Western Total. 110 Camino Real 2 300 106 D 63 15 0 0 0 Jurupa Rd S'ly 0.23 mi. E 18 0 0 0 0 .23 (mi) 40 (ft)/ 80 (ft) R 0 0 0 0 0 Widen to 4 lanes and modify signal at Jurupa other 1759 C 0 10 0 0 0 300 Measure A/Western Total 1865 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM Fiscal years 2011-2015 RIVERSIDE COUNTY TRANSPORTATION DEPARTMENT Page 4 05/05/2010 Name Supv.Dist Limits Length (mi) EW (ft)/PW (ft) Description (Comments) Fund Source Fund Source Amount x $1000 Measure A Funds by Fiscal Year Amount x $1000 D = Design R = Right of Way Acquisition E = Enviornmental C = Construction Total 10/11 11/12 12/13 113/14 14/15 Chaparral Rd 5 300 192 D 0 0 0 0 0 Tamarack Rd Haugen Lehmann Wy E 0 0 0 0 0 .37 (mi) 60 (ft)/ 60 (ft) R 0 0 0 0 0 Resurf AC paved road other C 192 0 0 0 0 300 Measure A/Western Total 192 Cherry Valley Blvd 5 300 114 D 0 0 0 0 0 Beaumont Ave Noble St E 1 0 0 0 0 .51 (mi) 28 (ft)/ 28 (ft) R 0 0 0 0 0 Resurf RMS paved road other C 113 0 0 0 0 300 Measure A/Western Total 114 Chico Cir 5 301 18 D 1 0 0 0 0 Circle B Dr NW'ly E 1 0 0 0 0 .03 (mil 34 (ft)/ 34 (ft) R 0 0 0 0 0 Resurf RMS paved road other C 16 0 0 0 0 301 Measure A/Coachella Valley Total 18 Chuckwalla Vly Rd 4 302 423 D 0 0 0 0 0 Wly Graham Pass 1.82mi I-10 (E) E 1 0 0 0 0 5.04 (mi) 32 (ft)/ 32 (ft) R 0 0 0 0 0 Resurf RMS paved road other 2 C 422 0 0 0 0 302 Measure A/Palo Verde Total 425 Circle B Dr 5 301 234 D 1 0 0 0 0 20th Ave 21st Ave E 1 0 0 0 0 .58 (mil 35 (ft)/ 35 (ft) R 0 0 0 0 0 Resurf RMS paved road other C 232 0 0 0 0 301 Measure A/Coachella Valley Total 234 Clemente Ave 5 300 56 D 0 0 0 0 0 Alicante Dr Sly Alicante Dr .12mi E 1 0 0 0 0 .12 (mi) 37 (ft)/ 37 (ft) R 0 0 0 0 0 Resurf AC paved road other C 55 0 0 0 0 300 Measure A/Western Total 56 Coachella Valley Area 4 301 1015 D 0 0 0 0 0 various roads E 0 0 0 0 0 6.00 (mi) (ft)/ (ft) R 0 0 0 0 0 Resurf other C 0 275 300 220 220 301 Measure A/Coachella Valley Total 1015 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM Fiscal years 2011-2015 RIVERSIDE COUNTY TRANSPORTATION DEPARTMENT Page 5 05/05/2010 Name Supv.Dist Limits Length (mi) EW (ft)/PW (ft) Description (Comments) Fund Source Fund Source Amount x $1000 Measure A Funds by Fiscal Year Amount x $1000 D = Design R = Right of Way Acquisition E = Enviornmental C = Construction Total 10/11 11/12 12/13 113/14 14/15 Contreras Rd 3 Johnson Rd S.H. 371 .49 (mi) 27 (ft)/ 27 (ft) Resurf RMS paved road 300 other 327 D E R C 0 0 0 0 300 Measure 0 1 0 326 A/Western D 0 0 0 0 0 0 0 0 0 0 0 Total 327 Corvado Dr 5 Circle B Dr Ely .03 (mi) 34 (ft)/ 34 (ft) Resurf RMS paved road 301 other 13 D E R C 0 1 0 12 301 Measure 0 0 0 0 A/Coachella 0 0 0 0 0 0 0 0 Valley 0 0 0 0 Total 13 Cottonwood Rd 5 Tamarack Rd Verbenia Ave .45 (mi) 60 (ft)/ 60 (ft) Resurf AC paved road 300 other 233 D E R C 0 0 0 233 300 Measure 0 0 0 0 A/Western 0 0 0 0 0 0 0 0 0 0 0 0 Total 233 Countywide Solar Radar Speed Feedback Signs 1 various locations .00 (mi) (ft)/ (ft) Install Solar Powered Radar Speed Feedback Signs 300 other 202 D E R C 300 5 0 0 96 Measure 5 0 0 96 A/Western 0 0 0 0 0 0 0 0 0 0 0 0 Total 202 Da Vall Dr Interchange on I-10 4 30th Ave Varner Rd 1.02 (mi) (ft)/110 (ft) Const new interchange, connecting roads and bridges over UPRR and Long Cyn Creek channel. Cathedral City is lead agency. 301 other 40 1600 D E R C 301 10 0 0 0 Measure 10 0 0 0 A/Coachella 10 0 0 0 10 0 0 0 Valley 0 0 0 0 Total 1640 De Frain Blvd 4 I-10 06th Ave 3.75 (mi) 26 (ft)/ 26 (ft) Resurf AC road in select areas & Const turn lanes at Hobson Way. Partly in the City of Blythe. Additional funds are needed. 302 other 88 810 D E R C 302 39 2 0 3 Measure 0 0 0 44 A/Palo 0 0 0 0 Verde 0 0 0 0 0 0 0 0 Total 898 Dillon Rd 4 Nly Landfill Rd 0.28mi Coachella C.L. .87 (mi) 37 (ft)/ 37 (ft) Resurf AC paved road 301 other 387 D E R C 301 0 1 0 386 Measure 0 0 0 0 A/Coachella 0 0 0 0 0 0 0 0 Valley 0 0 0 0 Total 387 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM Fiscal years 2011-2015 RIVERSIDE COUNTY TRANSPORTATION DEPARTMENT Page 6 05/05/2010 Name Supv.Dist Limits Length (mi) EW (ft)/PW (ft) Description (Comments) Fund Source Fund Source Amount x $1000 Measure A Funds by Fiscal Year Amount x $1000 D = Design R = Right of Way Acquisition E = Enviornmental C = Construction Total 10/11 11/12 12/13 113/14 14/15 El Para's° Dr 5 La Puerta Dr S La Puerta Dr .02mi .02 (mi) 26 (ft)/ 26 (ft) Resurf AC paved road 300 other 9 D E R C 0 1 0 8 300 Measure 0 0 0 0 A/Western 0 0 0 0 0 0 0 0 0 0 0 0 Total 9 El Sobrante Rd 1 Cajalco Rd Mc Allister Rd 5.00 (mi) 26 (ft)/ 26 (ft) Recon AC paved road 300 other 3240 D E R C 0 0 0 0 300 Measure 225 5 0 5 A/Western 0 0 0 1805 0 0 0 1200 0 0 0 0 Total 3240 El Sobrante Rd 1 Mc Allister St E'ly 1.00 mi 1.00 (mi) 24 (ft)/ 32 (ft) Widen shoulders and add roadway illumination 300 other 76 423 D E R C 300 0 0 0 76 Measure 0 0 0 0 A/Western 0 0 0 0 0 0 0 0 0 0 0 0 Total 499 El Sobrante Rd 1 Mockingbird Canyon Rd Cajalco Rd 1.00 (mi) 24 (ft)/ 32 (ft) Widen shoulders and add roadway illumination 300 other 61 319 D E R C 300 0 0 0 61 Measure 0 0 0 0 A/Western 0 0 0 0 0 0 0 0 0 0 0 0 Total 380 Eucalyptus St 5 Esperanza Ave Ida Ave .17 (mi) 24 (ft)/ 24 (ft) Grind and Resurf 300 other 30 D E R C 300 0 0 0 30 Measure 0 0 0 0 A/Western 0 0 0 0 0 0 0 0 0 0 0 0 Total 30 Fremontia Rd 5 Tamarack Rd Cottonwood Rd .37 (mi) 60 (ft)/ 60 (ft) Resurf AC paved road 300 other 192 D E R C 300 0 0 0 192 Measure 0 0 0 0 A/Western 0 0 0 0 0 0 0 0 0 0 0 0 Total 192 Frontage Rd 3 Rainbow Canyon Rd / N San Diego C.L. .67 (mi) 36 (ft)/ 36 (ft) Resurf RMS paved road 300 other 113 D E R C 300 0 1 0 112 Measure 0 0 0 0 A/Western 0 0 0 0 0 0 0 0 0 0 0 0 Total 113 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM Fiscal years 2011-2015 RIVERSIDE COUNTY TRANSPORTATION DEPARTMENT Page 7 05/05/2010 Name Supv.Dist Limits Length (mi) EW (ft)/PW (ft). Description (Comments) Fund Source Fund Source Amount x $1000 Measure A Funds by Fiscal Year Amount x $1000 D = Design R = Right of Way Acquisition E = Enviorrmental C = Construction Total 10/11 11/12 12/13 113/14 114/15 Hamner 8 Summer Bike Lanes 2 300 30 D 0 0 0 0 0 Schleisman/Limonite Av Citrus/Bellegrave Av E 0 0 0 0 0 .00 (mi) (ft)/ (ft) R 0 0 0 0 0 Const Bike Lanes other 265 C 30 0 0 0 0 300 Measure A/Western Total 295 Hattie Ave 5 300 23 D 0 0 0 0 0 Elm St E'ly end E 0 0 0 0 0 .14 (mi) 22 (ft)/ 22 (ft) R 0 0 0 0 0 Grind and Resurf other C 23 0 0 0 0 300 Measure A/Western Total 23 Haugen-Lehmann Wy 5 300 265 D 0 0 0 0 0 Railroad Ave Chaparral Rd E 0 0 0 0 0 .51 (mi) 60 (ft)/ 60 (ft) R 0 0 0 0 0 Resurf AC paved road other C 265 0 0 0 0 300 Measure A/Western Total 265 Haugen-Lehmann Wy 5 300 160 D 0 0 0 0 0 Chaparral Rd Wily Chaparral 0.31 mi E 0 0 0 0 0 .31 (mi) 60 (ft)/ 60 (ft) R 0 0 0 0 0 Resurf AC paved road other C 160 0 0 0 0 300 Measure A/Western Total 160 Helen Ave 5 300 12 D 0 0 0 0 0 Elm St E'ly end E 0 0 0 0 0 .07 (mi) 22 (ft)/ 22 (ft) R 0 0 0 0 0 Grind and Resurf other C 12 0 0 0 0 300 Measure A/Western Total 12 Johnson Rd 3 300 259 D 0 0 0 0 0 Contreras Rd Hill St E 0 1 0 0 0 .51 (mi) 22 (ft)/ 22 (ft) R 0 0 0 0 0 Resurf RMS paved road other C 0 258 0 0 0 300 Measure A/Western Total 259 Johnson St 4 301 325 D 1 0 0 0 0 84th Ave 82nd Ave E 1 0 0 0 0 .99 (mi) 22 (ft)/ 22 (ft) R 0 0 0 0 0 Resurf RMS paved road other C 323 0 0 0 0 301 Measure A/Coachella valley Total 325 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM Fiscal years 2011-2015 RIVERSIDE COUNTY TRANSPORTATION DEPARTMENT Page 8 05/05/2010 Name Supv.Dist Limits Length (mi) EW (ft)/PW (ft) Description (Comments) Fund Source Fund Source Amount x $1000 Measure A Funds by Fiscal Year Amount x $1000 D = Design R = Right of Way Acquisition E = Enviornmental C = Construction Total 10/11 11/12 12/13 113/14 14/15 Jonathan Ave 5 Brookside Ave Dutton St .88 (mi) 24 (ft)/ 24 (ft) Resurf RMS paved road 300 other 100 D E R C 0 1 0 99 300 Measure 0 0 0 0 A/Western 0 0 0 0 0 0 0 0 0 0 0 0 Total 100 Kirby Rd 3 Wellman Rd Mitchell Rd 1.98 (mi) 26 (ft)/ 26 (ft) Resurf RMS paved road 300 other 512 660 D E R C 1 1 0 510 300 Measure 0 0 0 0 A/Western 0 0 0 0 0 0 0 0 0 0 0 0 Total 1172 Krameria Ave 1 Lois Ln Woodcrest Elem. School .13 (mi) 40 (ft)/ 40 (ft) Const curb, gutter and sidewalk on south side and install matchup sidewalk on north side. 300 other 241 88 D E R C 0 0 0 241 300 Measure 0 0 0 0 A/Western 0 0 0 0 0 0 0 0 0 0 0 0 Total 329 Krameria Ave 1 Gardner Ave Gamble Ave .50 (mi) 14 (ft)/ 20 (ft) Const curb, gutter, and sidewalk on north side 300 other 10 648 D E R C 300 10 0 0 0 Measure 0 0 0 0 A/Western 0 0 0 0 0 0 0 0 0 0 0 0 Total 658 La Paloma Dr 5 La Puerta Dr S La Puerta Dr .02mi .02 (mi) 33 (ft)/ 33 (ft) Resurf AC paved road 300 other 10 D E R C 300 0 1 0 9 Measure 0 0 0 0 A/Western 0 0 0 0 0 0 0 0 0 0 0 0 Total 10 La Puerta Dr 5 El Paraiso Dr La Paloma Dr .16 (mi) 33 (ft)/ 33 (ft) Resurf AC paved road 300 other 65 D E R C 300 0 1 0 64 Measure 0 0 0 0 A/Western 0 0 0 0 0 0 0 0 0 0 0 0 Total 65 Lake Terrace Dr 1 Tempe St Riverside Dr .09 (mi) 33 (ft)/ 33 (ft) Resurf AC paved road 300 other 37 D E R C 300 1 1 0 35 Measure 0 0 0 0 A/Western 0 0 0 0 0 0 0 0 0 0 0 0 Total 37 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM Fiscal years 2011-2015 RIVERSIDE COUNTY TRANSPORTATION DEPARTMENT Page 9 05/05/2010 Name Supv.Dist Limits Length (mi) EW (ft)/PW (ft) Description (Comments) Fund Source Fund Source Amount x $1000 Measure A Funds by Fiscal Year Amount x $1000 D = Design R = Right of Way Acquisition E = Enviorrmental C = Construction Total 10/11 11/12 12/13 13/14 14/15 Lasso Ct 2 300 14 D 5 0 0 0 0 Corral St Slly Corral 0.05 mi E 1 0 0 0 0 .05 (mi) 29 (ft)/ 29 (ft) R 0 0 0 0 0 Grind and Resurf with AHRM other C 8 0 0 0 0 300 Measure A/Western Total 14 Leon Rd 3 300 847 D 50 0 0 0 0 Keller Rd Scott Rd E 19 0 0 0 0 1.00 (mi) 26 (ft)/ 26 (ft) R 10 0 0 0 0 Adjust AC road profile other 1360 C 20 748 0 0 0 300 Measure A/Western Total 2207 Limonite Ave 2 300 50 D 0 0 25 25 0 Etiwanda Ave Downey St E 0 0 0 0 0 2.00 (mi) 26 (ft)/ 68 (ft) R 0 0 0 0 0 Widen AC paved road to 4 lanes other 6615 C 0 0 0 0 0 300 Measure A/Western Total 6665 Linda Rosea Rd 3 300 168 D 0 0 0 0 0 Anza Rd Via Cerro Vista E 1 0 0 0 0 .69 (mi) 31 (ft)/ 31 (ft) R 0 0 0 0 0 Resurf RMS paved road other C 167 0 0 0 0 300 Measure A/Western Total 168 Mapes Rd 5 300 86 D 0 0 0 0 0 Briggs Rd E Valencia Ave 0.03 mi E 1 0 0 0 0 .20 (mi) 36 (ft)/ 36 (ft) R 0 0 0 0 0 Resurf AC paved road other C 85 0 0 0 0 300 Measure A/Western Total 86 Marian Ave 1 300 68 D 0 0 0 0 0 Sangston Dr Mackay Dr E 0 1 0 0 0 .17 (mi) 32 (ft)/ 32 (ft) R 0 0 0 0 0 Resurf AC paved road other C 0 67 0 0 0 300 Measure A/Western Total 68 Market Street Bridge 2 300 878 D 54 0 0 102 204 Santa Ana River E 62 124 124 154 0 .00 (mi) (ft)/ (ft) R 0 0 0 8 46 Replace bridge other 4296 C 0 0 0 0 0 Seek federal bridge replacement funds 300 Measure A/Western Total 5174 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM Fiscal years 2011-2015 RIVERSIDE COUNTY TRANSPORTATION DEPARTMENT Page 10 05/05/2010 Name Supv.Dist Limits Length (mi) EW (ft)/PW (ft) Description (Comments) Fund Source Fund Source Amount x $1000 Measure A Funds by Fiscal Year Amount x $1000 D = Design R = Right of Way Acquisition E = Enviornmental C = Construction Total 10/11 11/12 12/13 ( 13/14 14/15 Mayberry Ave 3 300 24 D 0 0 0 0 0 W'ly Bautista Ck Br Valle Vista Elem.Sch. E 0 0 0 0 0 .04 (mi) 30 (ft)/ 36 (ft) R 0 0 0 0 0 Const curb, gutter & sidewalk on north side other C 24 0 0 0 0 Add a sidewalk on north side of Bridge# S8159. 300 Measure A/Western Total 24 Mayberry Ave 3 300 60 D 0 0 0 0 0 Ply Dartmouth St Stafford St E 0 0 0 0 0 .11 (mi) (ft)/ (ft) R 0 0 0 0 0 Const curb, gutter & sidewalk on south side other 105 C 60 0 0 0 0 300 Measure A/Western Total 165 Mission Blvd Bridge 2 300 166 D 108 0 0 0 0 Santa Ana River E 58 0 0 0 0 .21 (mi) (ft)/ (ft) R 0 0 0 0 0 Pursue Federal Bridge Replacement Funds other 5882 C 0 0 0 0 0 State Bridge # 56C-071, County Bridge# Sa161 300 Measure A/Western Total 6048 Mitchell Rd 3 300 376 D 0 1 0 0 0 Bautista Rd Regal Blue Tr E 0 1 0 0 0 1.43 (mi) 23 (ft)/ 23 (ft) R 0 0 0 0 0 Resurf RMS paved road other C 0 374 0 0 0 300 Measure A/Western Total 376 Mitchell Rd 3 300 143 D 0 0 0 0 0 Kirby Rd W'ly Bohlen Rd 0.11 mi E 0 1 0 0 0 .57 (mi) 22 (ft)/ 22 (ft) R 0 0 0 0 0 Resurf RMS paved road other C 0 142 0 0 0 300 Measure A/Western Total 143 Monterey Ave at 1-10 4 301 10 D 0 0 0 0 0 C.L. Palm Desert N'ly Varner Rd 0.1 mi E 0 0 0 0 0 .00 (mi) 76 (ft)/ 90 (ft) R 0 0 0 0 0 Realign/Add W.bound ramps, Widen Varner Rd, and other 1769 C 10 0 0 0 0 Install traffic signal at WB ramp. 301 Measure A/Coachella Valley Total 1779 New Chicago Ave 3 300 205 D 0 21 0 0 0 Alto Dr Acacia Ave E 0 2 0 0 0 .13 (mi) 16 (ft)/ 26 (ft) R 0 0 0 0 0 Recon surface and widen road other C 0 182 0 0 0 300 Measure A/Western Total 205 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM Fiscal years 2011-2015 RIVERSIDE COUNTY TRANSPORTATION DEPARTMENT Page 11 05/05/2010 Name Supv.Dist Limits Length (mi) EW (ft)/PW (ft) Description (Comments) Fund Source Fund Source Amount x $1000 Measure A Funds by Fiscal Year Amount x $1000 D = Design R = Right of Way Acquisition E = Enviorrmental C = Construction Total 10/11 11/12 112/13 113/14 ( 14/15 Norwood Dr 3 Acorn Ln N'ly & Sly 0.09 mi .09 (mi) 27 (ft)/ 27 (ft) Resurf AC paved road 300 other 31 D E R C 0 0 0 0 300 Measure 1 1 0 29 A/Western 0 0 0 0 0 0 0 0 0 0 0 0 Total. 31 Nuevo Rd 5 Dunlap Dr Menifee Rd 2.01 (mi) 32 (ft)/ 56 (ft) Widen road to 4 lanes 300 other 5 4072 D E R C 0 0 0 0 300 Measure 0 0 0 0 A/Western 0 0 0 0 5 0 0 0 0 0 0 0 Total 4077 Nuevo Rd Interchange 1 I-215 .00 (mi) (ft)/ (ft) Widen Overcrossing and ramps Portion in SD 45. Portion in city of Perris 300 other 19 300 D E R C 0 0 0 0 300 Measure 0 0 0 0 A/Western 0 0 0 0 6 4 0 0 5 4 0 0 Total 319 Old State Hwy 3 Green Ave SH 74 .61 (mi) 25 (ft)/ 25 (ft) Resurf AC paved road 300 other 497 D E R C 0 0 0 0 300 Measure 35 2 0 460 A/Western 0 0 0 0, 0 0 0 0 0 0 0 0 Total 497 Pala Rd 1 Temecula C.L. San Diego C.L. 1.55 (mi) 26 (ft)/ 26 (ft) Recon AC paved road 300 other 220 D E R C 300 0 1 0 219 Measure 0 0 0 0 A/Western 0 0 0 0 0 0 0 0 0 0 0 0 Total 220 Palo Verde Area 4 various roads .00 (mi) (ft)/ (ft) Resurf RMS paved road 302 other 665 D E R C 302 0 0 0 0 Measure 0 0 0 200 A/Palo 0 0 0 150 Verde 0 0 0 155 0 0 0 160 Total 665 Peach St 5 Esperanza Ave Ida Ave .17 (mi) 22 (ft)/ 22 (ft) Grind and Resurf 300 other 27 D E R C 300 0 0 0 27 Measure 0 0 0 0 A/Western 0 0 0 0 0 0 0 0 0 0 0 0 Total 27 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM Fiscal years 2011-2015 RIVERSIDE COUNTY TRANSPORTATION DEPARTMENT Page 12 05/05/2010 Name Supv.Dist Limits Length (mi) EW (ft)/PW (ft) Description (Comments) Fund Source Fund Source Amount x $1000 Measure A Funds by Fiscal Year Amount x $1000 D = Design R = Right of Way Acquisition E = Enviornmental C = Construction Total 10/11 11/12 112/13 13/14 14/15 Pine Cove Rd 3 300 122 D 0 1 0 0 0 SH 243 W'ly 0.44 mi E 0 1 0 0 0 .44 (mi) 24 (ft)/ 24 (ft) R 0 0 0 0 0 Resurf AC paved road other C 0 120 0 0 0 300 Measure A/Western Total 122 Plum St 5 300 30 D 0 0 0 0 0 Esperanza Ave Ida Ave E 0 0 0 0 0 .17 (mi) 24 (ft)/ 24 (ft) R 0 0 0 0 0 Grind and Resurf other C 30 0 0 0 0 300 Measure A/Western Total 30 Pyrite St 2 300 591 D 55 0 0 0 0 Jurupa Rd Mission Blvd E 1 0 0 0 0 .61 (mi) 50 (ft)/ 60 (ft) R 0 0 0 0 0 Resurf AC paved road other C 535 0 0 0 0 Width varies from 29' to 60'. 300 Measure A/Western Total 591 Rainbow Canyon Rd 3 300 97 D 0 0 0 0 0 Frontage Rd / N San Diego C.L. E 1 0 0 0 0 .66 (mi) 31 (ft)/ 31 (ft) R 0 0 0 0 0 Resurf RMS paved road other C 96 0 0 0 0 300 Measure A/Western Total 97 Ramon Rd/Bob Hope Dr Interchange 4 301 13 D 0 0 0 0 0 Ramon Rd Varner Rd E 0 0 0 0 0 .00 (mi) (ft)/ (ft) R 0 0 0 0 0 Construct new interchange and bridge over RR along N'ly extension of Bob other 14092 C 13 0 0 0 0 Hope Dr. 301 Measure A/Coachella Valley Total 14105 Ramona Expy 5 300 790 D 0 0 0 0 0 5th St Warren Rd E 0 0 0 0 0 4.40 (mi) 40 (ft)/ 40 (ft) R 0 0 0 0 0 Resurf AC paved road other 2800 C 790 0 0 0 0 Project is 1/3 in Supv.Dist.3. Coordinate with City of San Jacinto for 1/2 width, 1.8 mi. 300 Measure A/Western Total 3590 Ramona Expy 5 300 44 D 1 0 0 0 0 C.L. Perris C.L. San Jacinto E 1 0 0 0 0 8.00 (mi) 40 (ft)/ 40 (ft) R 0 0 0 0 0 Install Radar Speed Feedback Sign at 4 locations other C 42 0 0 0 0 300 Measure A/Western Total 44 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM Fiscal years 2011-2015 RIVERSIDE COUNTY TRANSPORTATION DEPARTMENT Page 13 05/05/2010 Name Supv.Dist Limits Length (mi) EW (ft)/PW (ft) Description (Comments) Fund Source Fund Source Amount x S1000 Measure A Funds by Fiscal Year Amount x $1000 D = Design R = Right of Way Acquisition E = Enviornmental C = Construction Total 10/11 11/12 112/13 13/14 14/15 Riverside County Bridge Maintenance Program 3 300 200 D 40 40 40 40 40 Various locations Countywide E 0 0 0 0 0 .00 (mi) (ft)/ (ft) R 0 0 0 0 0 Pursue federal bridge maintenance funds other C 0 0 0 0 0 300 Measure A/Western Total 200 Riverside Dr 1 300 54 D 1 0 0 0 0 Lake Elsinore C.L. Laguna Ave E 1 0 0 0 0 .15 (mi) 29 (ft)/ 29 (ft) R 0 0 0 0 0 Resurf AC paved road other C 52 0 0 0 0 300 Measure A/Western Total 54 SR-74 5 300 10 D 10 0 0 0 0 Sultanas Rd Leon Rd E 0 0 0 0 0 .50 (mi) 30 (ft)/ 30 (ft) R 0 0 0 0 0 Const sidewalk on south side other 359 C 0 0 0 0 0 300 Measure A/Western Total 369 SR-86S at Airport Blvd (Ave 56) Ichg 4 301 30 D 10 0 0 0 0 Whitewater River Fillmore St E 0 0 0 0 0 .00 (mi) (ft)/ (ft) R 0 0 0 0 0 Const interchange other 28116 C 0 10 10 0 0 Caltrans is the lead agency. N'ly 1/2 is in the City of Coachella. Amounts shown are for County 301 Measure A/Coachella Valley Total 28146 Sagebrush Ave 5 300 38 D 0 0 0 0 0 W'ly Cottonwood 0.02mi Verbenia Ave E 0 0 0 0 0 .14 (mi) 30 (ft)/ 30 (ft) R 0 0 0 0 0 Resurf AC paved road other C 38 0 0 0 0 300 Measure A/Western Total 38 San Jacinto St 5 301 93 D 0 0 0 0 0 Bubbling Wells Rd Yerxa Rd E 1 0 0 0 0 .21 (mi) 37 (ft)/ 37 (ft) R 0 0 0 0 0 Resurf AC paved road other C 92 0 0 0 0 301 Measure A/Coachella Valley Total 93 San Juan Dr 5 300 50 D 0 0 0 0 0 Avenida Vizcaya Avenida Valencia E 1 0 0 0 0 .12 (mi) 33 (ft)/ 33 (ft) R 0 0 0 0 0 Resurf AC paved road other C 49 0 0 0 0 300 Measure A/Western Total 50 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM Fiscal years 2011-2015 RIVERSIDE COUNTY TRANSPORTATION DEPARTMENT Page 14 05/05/2010 Name Supv.Dist Limits Length (mi) EW (ft)/PW (ft) Description (Comments) Fund Source Fund Source Amount x 81000 Measure A Funds by Fiscal Year Amount x $1000 D = Design R = Right of Way Acquisition E = Enviorrmental C = Construction Total 10/11 11/12 12/13 13/14 14/15 San Timoteo Cyn 5 300 800 D 40 20 0 0 0 W Railroad X-ing1.39mi Beaumont C.L. E 0 1 0 0 0 2.30 (mi) 24 (ft)/ 24 (ft) R 0 0 0 0 0 Resurf AC paved road other C 0 739 0 0 0 300 Measure A/Western Total 800 Schteisman Rd Interchange 2 300 305 D 31 31 31 31 4 Hammer Ave I-15 E 41 41 20 0 0 .50 (mi) 24 (ft)/110 (ft) R 0 0 0 0 0 Const road, interchange and overcrossing other 37704 C 0 0 25 25 25 300 Measure A/Western Total 38009 Second Distrct Radar Speed Feedback Signs 2 300 1 D 0 0 0 0 0 Various locations E 0 0 0 0 0 .00 (mi) (ft)/ (ft) R 0 0 0 0 0 Install solar powered radar speed feedback signs other C 1 0 0 0 0 300 Measure A/Western Total 1 Sultanas Rd 5 300 42 D 0 0 0 0 0 Alicante Dr S'ly 0.12 mi E 1 0 0 0 0 .12 (mi) 28 (ft)/ 28 (ft) R 0 0 0 0 0 Resurf AC paved road other C 41 0 0 0 0 300 Measure A/Western Total 42 Sylvan Wy 3 300 177 D 0 1 0 0 0 Pine Cove Rd W'ly 0.62 mi E 0 1 0 0 0 .62 (mi) 24 (ft)/ 24 (ft) R 0 0 0 0 0 Resurf RMS paved road other C 0 175 0 0 0 300 Measure A/Western Total 177 Tamarack Rd 5 300 237 D 0 0 0 0 0 W'ly Verbenia 0.57 mi Haugen Lehmann Wy E 0 0 0 0 0 .57 (mi) 48 (ft)/ 48 (ft) R 0 0 0 0 0 Resurf AC paved road other C 237 0 0 0 0 300 Measure A/Western Total 237 Tempe St 1 300 36 D 1 0 0 0 0 Grand Ave Lake Terrace Dr E 1 0 0 0 0 .09 (mi) 33 (ft)/ 33 (ft) R 0 0 0 0 0 Resurf AC paved road other C 34 0 0 0 0 300 Measure A/Western Total 36 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM Fiscal. years 2011-2015 RIVERSIDE COUNTY TRANSPORTATION DEPARTMENT Page 15 05/05/2010 Name Supv.Dist Limits Length (mi) EW (ft)/PW (ft) Description (Comments) Fund Source Fund Source Amount x $1000 Measure A Funds by Fiscal Year Amount x $1000 D = Design R = Right of Way Acquisition E = Enviorrmental C = Construction Total 10/11 11/12 12/13 113/14 14/15 Trimero Cir 5 301 34 D 0 0 0 0 0 Circle B Dr S'ly E 1 0 0 0 0 .08 (mi) 30 (ft)/ 30 (ft) R 0 0 0 0 0 Resurf RMS paved road other C 33 0 0 0 0 301 Measure A/Coachella Valley Total 34 Union Ave 1 300 61 D 0 0 0 0 0 Sangston Dr Mackay Dr E 0 1 0 0 0 .17 (mi) 29 (ft)/ 29 (ft) R 0 0 0 0 0 Resurf AC paved road other C 0 60 0 0 0 300 Measure A/Western Total 61 Van Buren Blvd Bridges 2 300 1147 D 0 0 0 0 0 Santa Ana River E 4 4 4 0 0 .10 (mi) (ft)/ (ft) R 0 0 0 0 0 Replace existing bridges in cooperation with the City of Riverside. other 16203 C 659 463 13 0 0 300 Measure A/Western Total 17350 Via Cerro 2 300 387 D 0 30 0 0 0 Market St Via Ricardo E 0 2 0 0 0 .40 (mi) 61 (ft)/ 61 (ft) R 0 0 0 0 0 Resurf AC paved road other C 0 355 0 0 0 300 Measure A/Western Total 387 Via Cerro Vista 3 300 78 D 0 0 0 0 0 Linda Rosea Rd SW'ly 0.50 mi E 1 0 0 0 0 .50 (mi) 32 (ft)/ 32 (ft) R 0 0 0 0 0 Resurf RMS paved road other C 77 0 0 0 0 300 Measure A/Western Total 78 Via Sol Vista 3 300 17 D 0 0 0 0 0 Via Cerro Vista SE'ly 0.08 mi E 1 0 0 0 0 .08 (mi) 32 (ft)/ 32 (ft) R 0 0 0 0 0 Resurf RMS paved road other C 16 0 0 0 0 300 Measure A/Western Total 17 Vineland St 5 300 570 D 0 75 0 0 0 Edgar Canyon Channel E 0 15 0 0 0 .01 (mi) 26 (ft)/ 26 (ft) R 0 0 0 0 0 Construct box culvert other C 0 0 480 0 0 300 Measure A/Western Total 570 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM Fiscal years 2011-2015 RIVERSIDE COUNTY TRANSPORTATION DEPARTMENT Page 16 05/05/2010 Name Supv.Dist Limits Length (mi) EW (ft)/PW (ft) Description (Comments) Fund Source Fund Source Amount x $1000 Measure A Funds by Fiscal Year Amount x $1000 D = Design R = Right of Way Acquisition E = Enviorrmental C = Construction Total 10/11 11/12 12/13 13/14 14/15 Vista Grande Dr 5 301 35 D 1 0 0 0 0 Circle B Dr NW'ly & SE'ly E 1 0 0 0 0 .08 (mi) 29 (ft)/ 29 (ft) R 0 0 0 0 0 Resurf RMS paved road other C 33 0 0 0 0 301 Measure A/Coachella Valley Total 35 Washington St 1 300 1303 D 0 0 120 0 0 Tava Ln Hermosa Dr(City Limit) E 0 0 3 0 0 1.60 (mi) 33 (ft)/ 33 (ft) R 0 0 0 0 0 Resurf AC paved road other C 0 0 0 1180 0 This road received an interim overlay under B6-0565. 300 Measure A/Western Total 1303 Watkins Dr 5 300 157 D 30 0 0 0 0 I-215 Riverside C.L. E 3 0 0 0 0 .17 (mi) 40 (ft)/ 40 (ft) R 0 0 0 0 0 Resurf AC paved road other C 3 121 0 0 0 300 Measure A/Western Total 157 Worsley Rd 5 301 219 D 0 0 0 0 0 Dillon Rd Pierson Blvd E 0 0 0 1 0 2.63 (mi) 22 (ft)/ 22 (ft) R 0 0 0 0 0 Resurf RMS paved road other C 0 0 0 218 0 301 Measure A/Coachella Valley Total 219 Wrightwood Dr 3 300 51 D 0 1 0 0 0 Acorn Ln S'ly & W'ly 0.14 mi E 0 1 0 0 0 .14 (mi) 27 (ft)/ 27 (ft) R 0 0 0 0 0 Resurf RMS paved road other C 0 49 0 0 0 300 Measure A/Western Total 51 Yerxa Rd 5 301 50 D 0 0 0 0 0 San Jacinto St Desert Hot Springs C.L E 1 0 0 0 0 .13 (mi) 31 (ft)/ 31 (ft) R 0 0 0 0 0 Resurf AC paved road other C 49 0 0 0 0 301 Measure A/Coachella Valley Total 50 z* Future Projects 2 300 1450 D 0 0 0 0 0 District 2 Only E 0 0 0 0 0 .00 (mi) (ft)/ (ft) R 0 0 0 0 0 other 9700 C 0 0 0 0 1450 These funds will be used for pavement rehabilitation projects in the years shown. 300 Measure A/Western Total 11150 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM Fiscal years 2011-2015 RIVERSIDE COUNTY TRANSPORTATION DEPARTMENT Page 17 05/05/2010 Name Supv.Dist Limits Length (mi) EN (ft)/PW (ft) Description (Comments) Fund Source Fund Source Amount x $1000 Measure A Funds by Fiscal Year Amount x $1000 D = Design R = Right of Nay Acquisition E = Enviormental C = Construction Total 10/11 11/12 12/13 13/14 14/15 z* Future Projects 3 300 6050 D 0 0 0 0 0 District 3 Only E 0 0 0 0 0 .00 (mi) (ft)/ (ft) R 0 0 0 0 0 other 10200 C 0 0 2500 1250 2450 These funds will be used for various pavement rehabilitation projects in the years shown. 300 Measure A/Western Total 16250 z* Future Projects 4 301 3650 D 0 0 0 0 0 District 4 Only E 0 0 0 0 0 .00 (mi) (ft)/ (ft) R 0 0 0 0 0 other 19650 C 0 950 950 850 900 These funds will be. used for pavement rehabilitation projects in the years shown. 301 Measure A/Coachella Valley Total 23300 z* Future Projects 5 300 3025 D 0 0 0 0 0 District 5 Only E 0 0 0 0 0 .00 (mi) (ft)/ (ft) R 0 0 0 0 0 other 6200 C 0 0 250 1250 1525 These funds will be used for various pavement rehabilitation projects in the years shown. 300 Measure A/Western Total 9225 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM Fiscal years 2011-2015 RIVERSIDE COUNTY TRANSPORTATION DEPARTMENT Page 18 05/05/2010 Fund Source Fiscal Year (Amt x $1000) Fund Source Total Expenditure Source Nme 10/11 11/12 12/13 13/14 14/15 (Amt x $1000) 300 Measure A/Western 8989 6186 5447 5240 5488 31350 301 Measure A/Coachella Valley 1558 1245 1270 1349 1395 6817 302 Measure A/Palo Verde 467 244 150 155 160 1176 * Grand Totals * 11014 7675 6867 6644 7043 39343 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM Fiscal years 2010-2014 srX7-11s REPo zr RIVERSIDE COUNTY TRANSPORTATION DEPARTMENT Page 1 11/24/2009 Name Supv.Dist Limits Length (mi) EW (ft)/PW (ft) Description (Comments) Fund Source Fund Source Amount x $1000 Measure A Funds by Fiscal Year Amount x $1000 D = Design R = Right of Way Acquisition E = Envior mental C = Construction Total 09/10 10/11 11/12 12/13 113/14 04th St 4 301 127 D 9 0 0 0 0 SR 111 Hammond Rd E 5 0 0 0 0 .00 (mi) (ft)/ (ft) R 8 0 0 0 0 Const raised median at RR crossing other 219 C 4E11 0 0 0 0 Da/¢y 0%f4 RK Gaowzi•ne IL""i 301 Measure A/Coachella Valley Total 346 20th St 2 300 433 D 20 0 0 D 0 W,ly Avalon St 0.4 mi Rubidoux Blvd E 1 0 0 0 0 .39 (mi) 36 (ft)/ 36 (ft) R 0 0 0 0 Resurf AC paved road other C ® 0 0 0 0 Plav S rl,ek cnN,pl ef'¢ 300 Measure A/Western Total 433 21st Ave 5 301 12 D 0 1 0 0 0 W Circle B Dr 0.02 mi E Circle B Dr 0.02 mi E 0 1 0 0 0 .04 (mi) 18 (ft)/ 18 (ft) R 0 0 0 0 0 Resurf RMS paved road other C D 10 0 0 0 301 Measure A/Coachella Valley Total 12 46th St 2 300 142 D 35 0 0 0 0 Riverview Dr SE'ly 800' E 1 ... 0 0 0 0 .15 (mi) 18 (ft)/ 26 (ft) R D 0 0 Reconst and Widen AC Paved Road other C 1 105 D 0 0 Naves 14.07 C--,A-Hyt' l¢1-e. Leak, Pr' ar / 300 Measure A/Western Total 142 58th St 2 300 45 D S D 0 0 0 Beach St Cedar St E 1 0 0 0 0 .21 (mi) 42 (ft)/ 42 (ft) R 0 0 0 0 Resurf AC paved road other C 0 0 0 0 P kns nal- cc5wr101ei¢- 300 Measure A/Western Total 45 63rd St 2 300 51 D 5 0 0 0 0 Baker St Archer St E 1 0 0 0 0 .18 (mi) 20 (ft)/ 20 (ft) R i 0 0 0 0 Remove and replace AC surface other C 0 0 0 0 plays vtoi-cawrp(¢fe 300 Measure A/Western Total 51 68th St 2 300 18 D 0 0 0 0 0 I-15 E'ly E 0 0 0 0 0 .10 (mi) 26 (ft)/ 26 (ft) R 0 0 0 0 0 Const AC sidewalk on north side other 127 C 18 V 0 0 0 0 300 Measure A/Western Total 145 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM Fiscal years 2010-2014 RIVERSIDE COUNTY TRANSPORTATION DEPARTMENT Page 2 11/24/2009 Name Supv.Dist Limits Length (mi) EW (ft)/PW (ft) Description (Comments) Fund Source Fund Source Amount x $1000 Measure A Funds by Fiscal Year Amount x $1000 D = Design R = Right of Way Acquisition E = Enviornmenta C = Construction Total 09/10 10/11 11/12 112/13 13/14 Acacia Ave 3 300 412 D / 30 0 0 0 0 Columbia St Meridian St E 2 0 0 0 0 1.00 (mi) 37 (ft)/ 37 (ft) R 0 0 0 0 Resurf AC paved road other C 0 380 0 0 0 D¢$; ��(Qy¢ci 300 Measure A/Western Total 412 Acacia Ave 3 300 129 D 0 0 0 D 0 Dartmouth St W'ly Stanford 0.05 mi E 0 0 0 0 0 .18 (mi) 40 (ft)/ 40 (ft) R 0 0 0 0 Const curb, gutter & sidewalk on south side other 61 C �� 0 0 0 0 /.4a ul b y cd c// b cy�, D/ 300 Measure A/Western Total 190 C.�vr �t iv( /O/ i I Acorn Ln 3 300 93 D 0 0 1 0 0 Sylvan Wy SW'ly 0.31 mi E 0 0 1 0 0 .31 (mi) 26 (ft)/ 26 (ft) R 0 0 0 0 0 Resurf AC paved road other C 0 0 91 0 0 300 Measure A/Western Total 93 Akipa Ct 1 300 2 D 0 0 0 0 0 Wanki Ave 439' Ely E 0 0 0 0 0 .08 (mi) 33 (ft)/ 33 (ft) R 0 / 0 0 0 0 Slurry Seal Type II other C 21/ 0 0 0 0 300 Measure A/Western Total 2 Akwo Cir 1 300 1 D 0 0 0 0 0 Woshka Ln 195' Ely E 0 0 0 0 0 .04 (mi) 33 (ft)/ 33 (ft) R 0 0 0 0 0 Slurry Seal Type II other C 1 0 0 0 0 300 Measure A/Western Total 1 Alessandro Ave 3 300 507 D 35 0 0 0 0 S'ly Cypress 0.02 mi Ramona Expy E 2 0 0 0 0 _79 (mi) 20 (ft)/ 20 (ft) R 0 0 0 0 Grind and Resurf other C 0 470 0 0 0 "E>e3;pt d/I,7-1"(€41 300 Measure A/Western Total 507 Alexander St 1 300 20 D 7 0 0 0 0 Camino Del Sol March AFB Limits E 1 0 0 0 0 .04 (mi) 40 (ft)/ 40 (ft) R 0 0 0 0 0 Resurf AC paved road other C AID 0 0 0 0 -liti¢.SIgn Jet pre?-yeS5 300 Measure A/Western Total 20 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE "A" LOCAL FUNDS PROGRAM Fiscal years 2010-2014 RIVERSIDE COUNTY TRANSPORTATION DEPARTMENT Page 3 11/24/2009 Name Supv.Dist Limits Length (mi) EW (ft)/PW (ft) Description (Comments) Fund Source Fund Source Amount x $1000 Measure A Funds by FiscaL Year Amount x $1000 D = Design R = Right of Way Acquisition E = Enviornmental C = Construction Total 09/10 10/11 11/12 12/13 13/14 Alicante Dr 5 300 61 D 0 0 0 0 0 Capitola Ln Sultanas Rd E 0 1 0 0 0 .17 (mi) 29 (ft)/ 29 (ft) R 0 0 0 0 0 Resurf AC paved road other C 0 60 0 0 0 300 Measure A/Western Total 61 Alicante Dr 5 300 143 D 0 0 0 0 0 Briggs Rd Capitola Ln E 0 1 0 0 0 .32 (mi) 37 (ft)/ 37 (ft) R 0 0 0 0 0 Resurf AC paved road other C 0 142 0 0 0 300 Measure A/Western Total 143 Almond St 1 300 10 D 0 0 0 0 0 Waite St Lemon St E 0 0 0 0 0 .24 (mi) 22 (ft)/ 22 (ft) R 0 0 0 0 0 Slurry Seal Type 1 - Cape Seal other C 10 0 0 0 0 300 Measure A/Western Total 10 Amethyst Rd 1 300 1 D 0 0 0 0 0 Canyon Crest St Virgo Wy E 0 0 0 0 0 .04 (mi) 32 (ft)/ 32 (ft) R 0 / 0 0 0 0 Slurry Seal Type II other C 1 V 0 0 0 0 300 Measure A/Western Total 1 Anderson Ct 3 300 1 D 0 0 0 0 0 Oakmont Dr 101' SEIy E 0 0 0 0 0 .02 (mi) 33 (ft)/ 33 (ft) R 0 / 0 0 0 0 Slurry Seal Type II other C 1 V 0 0 0 0 300 Measure A/Western Total 1 Angela Ave 2 300 28 D 5 0 0 0 0 58th St N'ly 0.12 mi E 1 0 0 0 0 .12 (mi) 33 (ft)/ 33 (ft) R 0 0 0 0 Grind and Resurf with AHRM other C 0 0 0 0 p lare 5 46+ G1,1>vw2' «-e"" 300 Measure A/Western Total 28 Apache Tr/ I-10 Interchange 5 300 15 D 5 0 0 0 0 Seminole Dr Main St E 0_/ 0 0 0 0 .20 (mi) 40 (ft)/ 40 (ft) R 5 0 0 0 0 Const Roundabouts at 2 off/on ramp intersections to improve capacity of interchange. other C 5 0 0 0 0 Funds shown are for County activity only. 300 Measure A/Western Total 15 Bridgette Moore, Mayor 23873 Clinton Keith Rd, Ste 201 Marsha Swanson, Mayor Pro Tem Wildomar, CA 92595 Sheryl Ade, Council Member 951.677.7751 Phone Bob Cashman, Council Member 951.698.1463 Fax Scott Farnam, Council Member www.CityofWildomar.org May 28, 2010 To: Andrea Zurieck,RCTC Fr: Diane Nguyen, City of Wildomar Re: Measure A Status Report for FY 09/10 Andrea, please find attached the expenditures in the Measure A capital programs. A concise narrative summary is below: Accessibility and Improvements: Work underway to design and engineer accessibility improvements. Roadway Safety and Traffic Signal Program: No expenditures in these programs. City staff anticipates conceptual design of improvements to occur later in FY 09/10 and early FY 10/11. Slurry Seal Program: In partnership with Riverside County, construction was completed on slurry seal improvements throughout the City. The predominant expenditures reflect costs of construction. Unpaved Roadway Program: City staff is evaluating street segments & locations as part of conceptual design. Citywide Maintenance Program: Funding used for various citywide maintenance efforts with most of the funds for January and February storm repairs. Please contact me at 951-970-9741 for questions. Diane Dated: May 28, 2010 MEASURE A "BUDGET"MEASURE A "ACTUAL" Budget --Reflects FY 08/09 Plus FY 09/10 Revenue ($549,084.39 + $348,000 = $897,084)Spent to Date 28 901 25 Measure 'A' Accessibility Improvements 45,000.00$ 35,440.90$ 28 902 25 Measure 'A' Roadway Safety Improvements 50,000.00$ 0 28 903 25 Measure 'A' Slurry Seal Program 155,000.00$ 109,310.00$ 28 904 25 Measure 'A' Traffic Signal Program 331,317.64$ 0 28 905 25 Measure 'A' Unpaved Roadway Program 50,000.00$ 8,870.00$ 28 906 25 Measure 'A' Citywide Maintenance Program 194,000.00$ 137,348.10$ 8 percent set-aside for Measure A Finance/Administration (8% of $897,084)71,766.75$ 23,277.52$ 897,084.39$ 314,246.52$ City of Wildomar Measure A Status Report July 1, 2009 to April 30, 2010 Bridgette Moore, Mayor 23873 Clinton Keith Rd, Ste 201 Marsha Swanson, Mayor Pro Tem Wildomar, CA 92595 Sheryl Ade, Council Member 951.677.7751 Phone Bob Cashman, Council Member 951.698.1463 Fax Scott Farnam, Council Member www.CityofWildomar.org May 18, 2010 Shirley Medina, Program Manager Attention: Andrea Zureick, Senior Staff Analyst - Programming Riverside County Transportation Commission 4080 Lemon Street, 3rd Floor SUBJECT: CITY OF WILDOMAR MEASURE A 5-YEAR CIP Dear Ms. Medina: Please find enclosed The City of Wildomar’s Measure A 5-Year Expenditure Plan. The City Council of the City of Wildomar will take action on this plan at its June 9, 2010 meeting. I will forward you an executed resolution after the meeting. If you have any questions, please contact me at 951-970-9741. Thank you for your attention. Sincerely, Diane Nguyen Transportation Programs Manager Attachment A DRAFT MEASURE A EXPENDITURE PLAN Fiscal Year 2010/11 – 2014/15 CITY OF WILDOMAR LOCAL ROADS PROGRAM Prepared May 18, 2010 (Pending City Council approval June 9, 2010) RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE A LOCAL FUNDS PROGRAM FY 2010 - 2011 Agency: City of Wildomar Page 1 of 5 Prepared by: Michael Kashiwagi, Public Works Director Phone #: 951-677-7751 Date: May 18, 2010 Item No. Project Name / Limits Project Type Total Cost Measure A Funds 1 2 3 4 5 Accessibility Improvements Program (various project locations citywide) Roadway Safety Improvements Program (various project locations citywide) Slurry Seal Program (various project locations citywide) Unpaved Roadway Enhancements Program (various project locations citywide) Citywide Maintenance Program 8% Overhead/Admin Line-Item Sidewalk, ramps, repairs, pedestrian and ADA improvements Remove, replace, install signs, pavement markings, related roadway safety improvements Remove, Repair, Crack Fill, Slurry Seal as needed Repair or reconstruct unpaved roadways Right-of-way maintenance and repair to include but not limited to: striping, stenciling; repairs to streets and culvert/drainage facilities; storm damage/flood control projects; widening streets Interfund Transfer $20,000 $50,000 $155,000 $50,000 $66,980 $27,920 $20,000 $50,000 $155,000 $29,100 $66,980 $27,920 TOTAL Measure A Funds: $349,000 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE A LOCAL FUNDS PROGRAM FY 2011 - 2012 Agency: City of Wildomar Page 2 of 5 Prepared by: Michael Kashiwagi, Public Works Director Phone #: 951-677-7751 Date: May 18, 2010 Item No. Project Name / Limits Project Type Total Cost Measure A Funds 1 2 3 4 5 Accessibility Improvements Program (various project locations citywide) Roadway Safety Improvements Program (various project locations citywide) Slurry Seal Program (various project locations citywide) Unpaved Roadway Enhancements Program (various project locations citywide) Citywide Maintenance Program 8% Overhead/Admin Line-Item Sidewalk, ramps, repairs, pedestrian and ADA improvements Remove, replace, install signs, pavement markings, related roadway safety improvements Remove, Repair, Crack Fill, Slurry Seal as needed Repair or reconstruct unpaved roadways Right-of-way maintenance and repair to include but not limited to: striping, stenciling; repairs to streets and culvert/drainage facilities; storm damage/flood control projects; widening streets Interfund Transfer $20,000 $50,000 $155,000 $50,000 $74,758 $28,560 $20,000 $50,000 $155,000 $28,682 $74,758 $28,560 TOTAL Measure A Funds: $357,000 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE A LOCAL FUNDS PROGRAM FY 2012 - 2013 Agency: City of Wildomar Page 3 of 5 Prepared by: Michael Kashiwagi, Public Works Director Phone #: 951-677-7751 Date: May 13, 2010 Item No. Project Name / Limits Project Type Total Cost Measure A Funds 1 2 3 4 5 Accessibility Improvements Program (various project locations citywide) Roadway Safety Improvements Program (various project locations citywide) Slurry Seal Program (various project locations citywide) Unpaved Roadway Enhancements Program (various project locations citywide) Citywide Maintenance Program 8% Overhead/Admin Line-Item Sidewalk, ramps, repairs, pedestrian and ADA improvements Remove, replace, install signs, pavement markings, related roadway safety improvements Remove, Repair, Crack Fill, Slurry Seal as needed Repair or reconstruct unpaved roadways Right-of-way maintenance and repair to include but not limited to: striping, stenciling; repairs to streets and culvert/drainage facilities; storm damage/flood control projects; widening streets Interfund Transfer $20,000 $50,000 $155,000 $50,000 $85,304 $29,440 $20,000 $50,000 $155,000 $28,256 $85,304 $29,440 TOTAL Measure A Funds: $368,000 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE A LOCAL FUNDS PROGRAM FY 2013 - 2014 Agency: City of Wildomar Page 4 of 5 Prepared by: Michael Kashiwagi, Public Works Director Phone #: 951-677-7751 Date: May 18, 2010 Item No. Project Name / Limits Project Type Total Cost Measure A Funds 1 2 3 4 5 Accessibility Improvements Program (various project locations citywide) Roadway Safety Improvements Program (various project locations citywide) Slurry Seal Program (various project locations citywide) Unpaved Roadway Enhancements Program (various project locations citywide) Citywide Maintenance Program 8% Overhead/Admin Line-item Sidewalk, ramps, repairs, pedestrian and ADA improvements Remove, replace, install signs, pavement markings, related roadway safety improvements Remove, Repair, Crack Fill, Slurry Seal as needed Repair or reconstruct unpaved roadways Right-of-way maintenance and repair to include but not limited to: striping, stenciling; repairs to streets and culvert/drainage facilities; storm damage/flood control projects; widening streets Interfund Transfer $20,000 $50,000 $155,000 $50,000 $98,619 $30,560 $20,000 $50,000 $155,000 $27,821 $98,619 $30,560 TOTAL Measure A Funds: $382,000 RIVERSIDE COUNTY TRANSPORTATION COMMISSION MEASURE A LOCAL FUNDS PROGRAM FY 2014 - 2015 Agency: City of Wildomar Page 5 of 5 Prepared by: Michael Kashiwagi, Public Works Director Phone #: 951-677-7751 Date: May 18, 2010 Item No. Project Name / Limits Project Type Total Cost Measure A Funds 1 2 3 4 5 Accessibility Improvements Program (various project locations citywide) Roadway Safety Improvements Program (various project locations citywide) Slurry Seal Program (various project locations citywide) Unpaved Roadway Enhancements Program (various project locations citywide) Citywide Maintenance Program 8% Overhead/Finance Line-item Sidewalk, ramps, repairs, pedestrian and ADA improvements Remove, replace, install signs, pavement markings, related roadway safety improvements Remove, Repair, Crack Fill, Slurry Seal as needed Repair or reconstruct unpaved roadways Right-of-way maintenance and repair to include but not limited to: striping, stenciling; repairs to streets and culvert/drainage facilities; storm damage/flood control projects; widening streets Interfund Transfer $20,000 $50,000 $155,000 $50,000 $117,463 $32,160 $20,000 $50,000 $155,000 $27,377 $117,463 $32,160 TOTAL Measure A Funds: $402,000 " A G E N D A I T E M 8 1 " " " R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N D A T E : J u l y 1 4 , 2 0 1 0 T O : R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n F R O M : B u d g e t a n d I m p l e m e n t a t i o n C o m m i t t e e T e c h n i c a l A d v i s o r y C o m m i t t e e S h i r l e y M e d i n a , P r o g r a m m i n g a n d P l a n n i n g M a n a g e r T H R O U G H : A n n e M a y e r , E x e c u t i v e D i r e c t o r S U B J E C T : M e a s u r e A L o c a l S t r e e t s a n d R o a d s M a i n t e n a n c e o f E f f o r t B a s e Y e a r E x t e n s i o n f o r F i s c a l Y e a r 2 0 1 0 / 1 1 a n d t h e 2 0 0 9 M a i n t e n a n c e o f E f f o r t G u i d e l i n e s B U D G E T A N D I M P L E M E N T A T I O N C O M M I T T E E , T E C H N I C A L A D V I S O R Y C O M M I T T E E , A N D S T A F F R E C O M M E N D A T I O N : T h i s i t e m i s f o r t h e C o m m i s s i o n t o : 1 ) A p p r o v e u s i n g t h e 1 9 8 9 M e a s u r e A M a i n t e n a n c e o f E f f o r t ( M O E ) b a s e y e a r a m o u n t f o r t h e F Y 2 0 1 0 / 1 1 M e a s u r e A L o c a l S t r e e t s a n d R o a d s M O E c e r t i f i c a t i o n ; 2 ) F o r c i t i e s i n c o r p o r a t e d i n o r a f t e r 1 9 8 9 , e x c l u d i n g t h e c i t i e s o f M e n i f e e a n d W i l d o m a r , a p p r o v e u s i n g t h e P r o p o s i t i o n 4 2 M O E a m o u n t f o r t h e F Y 2 0 1 0 / 1 1 M e a s u r e A L o c a l S t r e e t s a n d R o a d s M O E c e r t i f i c a t i o n ; a n d 3 ) A p p r o v e t h e 2 0 0 9 M e a s u r e A L o c a l S t r e e t s a n d R o a d s M O E G u i d e l i n e s . B A C K G R O U N D I N F O R M A T I O N : T h e 2 0 0 9 M e a s u r e A o r d i n a n c e e s t a b l i s h e d a l o c a l a g e n c y M O E r e q u i r e m e n t t o e n s u r e t h a t M e a s u r e A f u n d s d o n o t s u p p l a n t l o c a l d i s c r e t i o n a r y f u n d s f o r l o c a l s t r e e t s a n d r o a d s i m p r o v e m e n t s . I f l o c a l a g e n c i e s d o n o t m e e t t h e i r r e s p e c t i v e M O E b a s e y e a r l e v e l i n a g i v e n y e a r , M e a s u r e A L o c a l S t r e e t s a n d R o a d s a l l o c a t i o n s w i l l b e w i t h h e l d t h e f o l l o w i n g y e a r . T h e C o m m i s s i o n i s a u t h o r i z e d t o e s t a b l i s h g u i d e l i n e s f o r d e t e r m i n i n g c o m p l i a n c e w i t h t h e M O E r e q u i r e m e n t . L a s t y e a r , C o m m i s s i o n s t a f f a n d m e m b e r s o f t h e T e c h n i c a l A d v i s o r y C o m m i t t e e ( T A C ) r e v i e w e d t h e m e t h o d o l o g y t h a t w a s u s e d i n d e v e l o p i n g t h e 1 9 8 9 M O E b a s e y e a r , w h i c h w a s t h e a m o u n t o f c o n s t r u c t i o n a n d m a i n t e n a n c e e x p e n d i t u r e s t h a t l o c a l a g e n c i e s i n c l u d e d i n t h e S t a t e C o n t r o l l e r S t r e e t s r e p o r t i n 1 9 8 9 . I n i t i a l l y , s t a f f b e l i e v e d t h a t a p p l y i n g t h i s m e t h o d f o r c o n s t r u c t i o n a n d m a i n t e n a n c e e x p e n d i t u r e s i n c l u d e d i n t h e S t a t e C o n t r o l l e r S t r e e t s r e p o r t i n 2 0 0 8 , w o u l d b e a p p r o p r i a t e i n d e t e r m i n i n g t h e 2 0 0 9 M O E b a s e y e a r f o r e a c h l o c a l a g e n c y . H o w e v e r , d u r i n g t h i s A g e n d a I t e m 8 1 1 6 5 review, staff and TAC members concluded that there were reporting inconsistencies and variances in the State Controller Streets report. Therefore, at last year's Commission meeting, Commission staff and the TAC recommended allowing more time to develop an alternative method to calculate the 2009 MOE base year, as well as a new method to report street expenditures. It was also recommended that the 1989 MOE base year levels be used for FY 2009/10 reporting, which the Commission approved. Over the past year, several meetings have been held with the TAC subcommittee and TAC to develop a way to calculate the 2009 MOE base year and reporting method. The following is being recommended for the 2009 MOE base year calculation: • Local agencies will identifyall general fund expenditures for transportation related construction and maintenance activities that occurred in FY 2009/10. • Local agencies will summarize the expenditures and identify expenditures to be considered as deductions, such as administrative/overhead costs and one-time expenditures. • Deductions will be reviewed and approved/rejected by the TAC subcommittee. • The approved deductions will be subtracted from general fund expenditures to determine the 2009 MOE base year for each city. The following is being recommended for 2009 MOE annual certification reporting: • Local agencies will complete the MOE report template to include discretionary general fund expenditures for construction and maintenance activities for the reporting year. • General ledger documentation/forms must be submitted as an attachment to the MOE report template. • MOE reports will be submitted to the Commission's auditor. • Commission staff will report to the TAC and Commission regarding the outcome of the auditor's findings regarding agencies meeting the MOE base year levels. • Local agencies that do not meet their MOE base year may submit a request for special consideration, which will be presented to the Commission. At its June 21 meeting, the TAC approved the draft 2009 Measure A Local Streets and Roads MOE Guidelines (Attachment 1). Implementation of the 2009 MOE requirement will begin using FY 2009/10 general ledger information to establish a MOE base year for each city. Since FY 2009/10 general ledger information will not be available until FY 2010/11, the MOE base Agenda Item 81 • • • 166 " " y e a r c a n n o t b e e s t a b l i s h e d a n d u s e d f o r m e e t i n g t h e M O E b a s e y e a r r e q u i r e m e n t u n t i l F Y 2 0 1 1 / 1 2 . T h e r e f o r e , C o m m i s s i o n s t a f f a n d t h e T A C r e c o m m e n d a n e x t e n s i o n o f t h e 1 9 8 9 M O E b a s e y e a r l e v e l s f o r t h e F Y 2 0 1 0 / 1 1 M O E c e r t i f i c a t i o n s . F o r a g e n c i e s t h a t w e r e i n c o r p o r a t e d i n o r a f t e r t h e 1 9 8 9 M e a s u r e A M O E b a s e y e a r l e v e l s w e r e e s t a b l i s h e d , i t i s r e c o m m e n d e d t h a t t h e s e c i t i e s c o m p l y w i t h t h e M O E l e v e l s u s e d f o r P r o p o s i t i o n 4 2 f u n d s . T h e n e w l y i n c o r p o r a t e d c i t i e s o f M e n i f e e a n d W i l d o m a r w i l l n o t h a v e a M O E b a s e y e a r a m o u n t f o r r e p o r t i n g i n F Y 2 0 1 0 / 1 1 . H o w e v e r , t h e s e l o c a l a g e n c i e s w i l l b e r e q u i r e d t o m e e t t h e i r M O E b a s e y e a r o n c e t h e F Y 2 0 0 9 / 1 0 b a s e y e a r l e v e l i s e s t a b l i s h e d f o r e a c h l o c a l a g e n c y p e r t h e p r o c e s s i d e n t i f i e d i n t h i s a g e n d a i t e m a n d t h e 2 0 0 9 M e a s u r e A M O E G u i d e l i n e s . A t t a c h m e n t 2 i s t h e r e c o m m e n d e d M O E b a s e y e a r a m o u n t s f o r t h e c i t i e s t o u s e f o r t h e i r F Y 2 0 1 0 / 1 1 M O E c e r t i f i c a t i o n . A t t a c h m e n t s : 1 ) D r a f t 2 0 0 9 M e a s u r e A L o c a l S t r e e t s a n d R o a d s M O E G u i d e l i n e s 2 ) R e c o m m e n d e d F Y 2 0 1 0 / 1 1 M e a s u r e A M O E B a s e Y e a r L e v e l s A g e n d a I t e m 8 1 1 6 7 ATTACHMENT 1 RIVERSIDE COUNTY TRANSPORTATION COMMISSION 2009 MEASURE A LOCAL STREETS AND ROADS MAINTENANCE OF EFFORT GUIDELINES (Draft, June 16, 2010) General Program Policy 1 Authority and Purpose of Guidelines. Ordinance No. 02-001, adopted by the Riverside County Transportation Commission in 2002, approved a county -wide transportation expenditure plan and called for the placement of Measure A on the November ballot to secure voter approval of a %2 percent sales tax to fund transportation improvements. On November 5, 2002, Riverside County voters approved Measure A and collection of the sales tax commenced on July 1, 2009. Ordinance No. 02-001, in accordance with state law, imposes specific requirements that local agencies must meet to receive Measure A funds. In particular, the Ordinance requires that local agencies continue to expend the same amount for construction and maintenance of local streets and roads as expended in the past. The guidelines set forth below establish specific maintenance of effort requirements and are intended to satisfy the Commission's responsibility to ensure that local transportation expenditures are maintained. Maintenance of Effort (MOE) Certification Requirements 2. Qualifications to Receive Measure A Local Streets and Roads Funds. To qualify for Measure A Local Streets and Roads (LSR) funding, Ordinance No. 02-001 requires local agencies to adhere to a number of requirements, which currently include: a. Implementation of the Transportation Uniform Mitigation Fee (TUMF) developed by the Western Riverside Council of Governments (WRCOG) or the Coachella Valley Association of Governments (CVAG) (not applicable to Palo Verde Valley area local agencies); b. Participation in the Multi Species Habitat Conservation Plan (MSHCP) (applies to Western County local agencies only); c. Annual submittal of a list of proposed Capital Improvement Projects (CIP)/activities for Measure A LSR funds for a five year fiscal period; and d. Annual certification of discretionary General Fund expenditures for transportation related construction and maintenance activities meet or exceed the MOE Base Year amount (Attachment A), and commit to expending Measure A LSR funds to projects indentified in the agency's five year CIP. 168 Funds withheld from a local agency for failure to meets its MOE Base Year requirement will be distributed in accordance with Ordinance No. 02-01 within the Measure A area in which the agency is located (Western County, Coachella Valley, or Palo Verde Valley). 3. Calculation of MOE Base Year. The calculation of the MOE Base Year will be based on local agency discretionary General Fund expenditures for transportation related construction and maintenance activities that occurred in Fiscal Year 2009/10. Local agencies will summarize the expenditures and identify expenditures to be considered as deductions such as administrative/overhead costs that were not project specific and one- time expenditures. These deductions will be presented to the Technical Advisory Committee (TAC) Subcommittee for review and approval. The approved deduction items will be subtracted from the total General Fund expenditures to determine the MOE Base Year for each city. A MOE Report Template (Attachment B) will be provided by Commission staff to the local agencies along with instructions to complete the report template. For local agencies that incorporate after July 1, 2009, the third fiscal year after incorporation will be used to determine the MOE Base Year and these local agencies will follow these guidelines for annually reporting construction and maintenance expenditures, MOE certification, and CIP submittal. Local agencies' MOE Base Years will be effective for the life of the 2009 Measure A program. 4. 2009 MOE Annual Certification Reporting. Annually, local agencies will complete the MOE Report Template to include discretionary General Fund expenditures for construction and maintenance activities for the reporting year. Local agencies should identify proposed deductions, if any, for non -project specific administrative/overhead costs and one-time expenditures for the reporting year on a comparable basis to the MOE Base Year calculation. Any new deductions will be reviewed by the TAC Subcommittee and Commission staff to ensure that deductions are appropriately applied. Additionally, local agencies will be required to submit documentation of expenditures by submitting General Ledger forms as an attachment to the MOE Report Template. Local agencies will be contacted if further information or clarification is needed. The MOE Reports and supporting documentation will be submitted to the Commission's auditors. The results of the audit process will be presented to the TAC and Commission and will indicate whether or not the local agencies are meeting the MOE Base Year amounts. 5. Requests for Special Consideration. When a determination has been made that a local agency has not met its MOE Base Year amount the local agency can file a request for special consideration with the Commission. The local agency must present evidence to the Commission demonstrating the need for special consideration. The Commission will • • • 169 " " " c o n s i d e r t h e s p e c i a l c i r c u m s t a n c e s p r e s e n t e d b y t h e l o c a l a g e n c y a n d e i t h e r a p p r o v e o r d e n y t h e r e q u e s t . I m p l e m e n t a t i o n o f 2 0 0 9 M O E C e r t i f i c a t i o n 6 . E f f e c t i v e D a t e . T h e f i r s t y e a r t h a t t h e l o c a l a g e n c i e s w i l l c e r t i f y u n d e r t h e s e g u i d e l i n e s i s F i s c a l Y e a r 2 0 1 1 / 1 2 . L o c a l A g e n c i e s w i l l c e r t i f y t h a t d i s c r e t i o n a r y G e n e r a l F u n d t r a n s p o r t a t i o n c o n s t r u c t i o n a n d m a i n t e n a n c e e x p e n d i t u r e s f o r F i s c a l Y e a r 2 0 1 l / 1 2 w i l l m e e t o r e x c e e d t h e 2 0 0 9 M O E B a s e Y e a r a m o u n t , a n d t h a t M e a s u r e A L S R f o r m u l a f u n d s a r e d e s i g n a t e d t o f u n d p r o j e c t s i d e n t i f i e d i n i t s M e a s u r e A 5 - y e a r C I P s u b m i t t a l . T h e M O E c e r t i f i c a t i o n i s r e q u i r e d t o b e s i g n e d b y t h e C i t y M a n a g e r . 7 . 1 9 8 9 M O E C a r r y o v e r B a l a n c e . L o c a l a g e n c i e s t h a t h a v e p o s i t i v e b a l a n c e s f r o m t h e 1 9 8 9 M O E c y c l e w i l l b e a l l o w e d t o c a r r y o v e r t h e b a l a n c e i n t o t h e 2 0 0 9 M O E c y c l e f o r a l i m i t e d p e r i o d . C a r r y o v e r b a l a n c e s w i l l b e d e t e r m i n e d f r o m R C T C a u d i t r e p o r t s . T h e c a r r y o v e r o n l y a p p l i e s t o t h e f i r s t t w o y e a r s o f t h e 2 0 0 9 M e a s u r e A M O E c e r t i f i c a t i o n r e q u i r e m e n t s . T h e r e f o r e , c a r r y o v e r b a l a n c e s f r o m F Y 2 0 0 8 / 0 9 c a n b e c a r r i e d o v e r t o m e e t t h e F Y 2 0 0 9 / 1 0 M O E c e r t i f i c a t i o n , a n d F Y 2 0 0 9 / 1 0 b a l a n c e s c a n b e c a r r i e d o v e r t o m e e t t h e F Y 2 0 1 0 / 1 1 M O E c e r t i f i c a t i o n . 8 . 2 0 0 9 M O E E x c e s s C a r r y o v e r . C a r r y o v e r b a l a n c e s w i l l b e d e t e r m i n e d f r o m R C T C a u d i t r e p o r t s . I f a l o c a l a g e n c y h a s r e p o r t e d e x p e n d i t u r e s a b o v e t h e M O E B a s e Y e a r l e v e l , t h e a m o u n t i n e x c e s s o f t h e M O E B a s e Y e a r l e v e l c a n b e a p p l i e d i n a f u t u r e y e a r t o o f f s e t t h e a m o u n t t h e l o c a l a g e n c y m a y n e e d t o m e e t t h e M O E r e q u i r e m e n t . T h e u s e o f e x c e s s c a r r y o v e r w a s a l s o a l l o w e d u n d e r t h e 1 9 8 9 M O E g u i d e l i n e s . S u b m i t t a l T i m e l i n e s f o r C I P , M O E C e r t i f i c a t i o n , M O E R e p o r t T e m p l a t e a n d D e d u c t i o n s 9 . S u b m i t t a l t i m e l i n e s . T h e t i m e l i n e s b e l o w a r e t o b e c o n s i d e r e d " g e n e r a l ' a n d m a y b e m o d i f i e d b a s e d o n u n i q u e c i r c u m s t a n c e s o r t o p r o v i d e a d d i t i o n a l t i m e a s n e e d e d . 5 - y e a r C I P a n d M O E C e r t i f i c a t i o n S u b m i t t a l : M a r c h T h e C o m m i s s i o n w i l l n o t i f y e a c h l o c a l a g e n c y P u b l i c W o r k s a n d F i n a n c e D e p a r t m e n t s t h a t t h e 5 - y e a r C I P a n d M O E C e r t i f i c a t i o n a r e d u e . T h e n o t i f i c a t i o n w i l l i n c l u d e M e a s u r e A r e v e n u e p r o j e c t i o n s f o r L S R f u n d s t o a s s i s t t h e l o c a l a g e n c i e s i n p r e p a r i n g t h e i r r e s p e c t i v e C I P s . M a y L o c a l A g e n c i e s w i l l s u b m i t 5 - y e a r C I P s a n d M O E C e r t i f i c a t i o n s . J u l y C o m m i s s i o n s t a f f w i l l r e c o m m e n d t h a t t h e C o m m i s s i o n a p p r o v e l o c a l a g e n c y 5 - y e a r C I P s . 1 7 0 MOE Reporting and Proposed Deductions: June TAC Subcommittee will convene to review the MOE Report Template, reporting instructions, and definitions to ensure that the MOE reporting process is applied in a consistent and streamlined manner. July Commission staff will notify local agencies that the MOE Report Template and proposed deductions are due and indicate due dates. Instructions will also be included for the MOE Report Template. August Local Agencies will submit proposed one-time deductions. Commission staff and the TAC subcommittee will review the proposed deductions for appropriateness. Commission staff will inform local agencies if proposed deductions are accepted for MOE Reporting. September Local Agencies will complete and submit the MOE Report Template and General Ledger support documentation. Sep —Nov Local Agency staff submits MOE Reports and General Ledger support documentation to auditors. Sep - March Auditors will submit findings to Commission staff. June Commission staff will present audit findings to TAC and Commission. MOE Certification Process Review 10. Review of MOE Reports/Process. As indicated above, to ensure consistency in reporting expenditures and deductions, the TAC Subcommittee will convene annually to review the MOE certification process including proposed deductions, instructions, and definitions of expenditures. • 171 " 2 0 1 0 - 2 0 3 9 M E A S U R E A P R O G R A M M A I N T E N A N C E O F E F F O R T C E R T I F I C A T I O N S T A T E M E N T T h e u n d e r s i g n e d h e r e b y a g r e e s a n d c e r t i f i e s f o r ( t h e " A g e n c y " ) t h a t s a l e s t a x t r a n s p o r t a t i o n f u n d s r e c e i v e d p u r s u a n t t o O r d i n a n c e N o . 0 2 - 0 0 1 o f t h e R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n ( M e a s u r e A L o c a l S t r e e t s a n d R o a d s ) s h a l l b e u s e d i n c o m p l i a n c e w i t h t h e C o m m i s s i o n ' s M a i n t e n a n c e o f E f f o r t G u i d e l i n e s , a n d t h a t t h e A g e n c y s h a l l n o t u s e s u c h f u n d s t o r e p l a c e d i s c r e t i o n a r y G e n e r a l F u n d s p r e v i o u s l y e x p e n d e d b y t h e A g e n c y f o r l o c a l t r a n s p o r t a t i o n ( c o n s t r u c t i o n a n d m a i n t e n a n c e ) p u r p o s e s . T h e A g e n c y h e r e b y a c k n o w l e d g e s t h a t t h e f a i l u r e o f t h e A g e n c y t o c o n t i n u e s u c h l o c a l e x p e n d i t u r e s h a l l r e s u l t i n a l o s s o f M e a s u r e A f u n d s . A d d i t i o n a l l y , t h e A g e n c y c o m m i t s t o e x p e n d i n g M e a s u r e A L o c a l S t r e e t s a n d R o a d s f u n d s f o r p r o j e c t s l i s t e d i n t h e F i v e Y e a r C a p i t a l I m p r o v e m e n t P r o g r a m . E n c l o s u r e : A g e n c y 5 - Y e a r C I P " " C i t y M a n a g e r D a t e 1 7 2 " F Y 2 0 0 9 / 1 0 C o n s t r u c t i o n a n d M a i n t e n a n c e E x p e n d i t u r e s ( R o u n d t o n e a r e s t d o l l a r ) " " A T T A C H M E N T 2 F u n d i n g B r e a k d o w n P r o j e c t E x p e n d i t u r e s I n c l u d e d i n G e n e r a l L e d g e r ; T o t a l C o s t C o n s t r u c t i o n : 1 . P r o j e c t a l 2 . P r o j e c t p 2 M a i n t e n a n c e : I . P r o j e c t p l 2 . P r o j e c t N 2 E n g i n e e r i n g / A d m i n i s t r a t i v e O v e r h e a d N o t A l l o c a t e d t o S p e c i f i c P r o j e c t s : $ $ G e n e r a l F u n d M e a s A F e d e r a l S t a t e C i t y F u n d s O t h e r D e d u c t i o n s f o r S p e c i a l C o n s i d e r a t i o n ( D e d u c t i o n s M u s t A l s o B e I n c l u d e d i n P r o t e c t E x p e n d i t u r e s A b o v e ) : T o t a l P r o j e c t C o s t G e n e r a l F u n d S t a t e R e a s o n W h y P r o j e c t E x p e n d i t u r e S h o u l d B e D e d u c t e d f r o m M O E C o n s t r u c t i o n : M a i n t e n a n c e : E n g i n e e r i n g / A d m i n i s t r a t i v e O v e r h e a d N o t A l l o c a t e d t o S p e c i f i c P r o j e c t s $ $ - r , r i � I I a n t ` d 4 d # t i t i s " $ 1 7 3 Fiscal Year 2010111 Measure A Maintenance of Effort ATTACHMENT 3 Western County Beaumont Calimesa Corona Hemet Lake Elsinore Murrieta Norco Perris Riverside San Jacinto Temecula 1989 MOE Base Year $ 164,325 $ 70,702 N/A N/A $ 1,784,399 $ 1,183,605 $ 503,339 $ 943,143 N/A 1,259 $ 399,945 $ 12,449,203 $ 143,347 N/A Prop 42 MOE 7,294 6,063 52,625 2,785,034 Coachella Valley Agency Coachella Desert Hot Spr Indian Wells Indio Palm Desert Rancho Mirage 1989 MOE Base Year $ 625,230 $ 69,663 $ 57,586 $ 55,962 $ 465,763 $ 904,798 $ 1,892,584 $ 1,191,036 Palo Verde Valley Blythe $ 475,677 174 AGENDA ITEM 8J • " " " R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N D A T E : J u l y 1 4 , 2 0 1 0 T O : R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n F R O M : W e s t e r n R i v e r s i d e C o u n t y P r o g r a m s a n d P r o j e c t s C o m m i t t e e E d d a R o s s o , C a p i t a l P r o j e c t s M a n a g e r R i c h a r d B r y a n , B e c h t e l R a i l P r o j e c t s M a n a g e r E r i k G a l l o w a y , B e c h t e l P r o j e c t C o o r d i n a t o r T H R O U G H : A n n e M a y e r , E x e c u t i v e D i r e c t o r S U B J E C T : A g r e e m e n t w i t h H D R E n g i n e e r i n g I n c . f o r C o n s t r u c t i o n M a n a g e m e n t S e r v i c e s f o r t h e P e r r i s V a l l e y L i n e P r o j e c t W E S T E R N R I V E R S I D E C O U N T Y P R O G R A M S A N D P R O J E C T S C O M M I T T E E A N D S T A F F R E C O M M E N D A T I O N : T h i s i t e m i s f o r t h e C o m m i s s i o n t o : 1 ) A w a r d A g r e e m e n t N o . 1 0 - 3 1 - 0 5 8 - 0 0 t o H D R E n g i n e e r i n g I n c . ( H D R ) , t o p r o v i d e c o n s t r u c t i o n m a n a g e m e n t ( C M ) s e r v i c e s f o r t h e P e r r i s V a l l e y L i n e ( P V L ) p r o j e c t f o r a b a s e a m o u n t o f $ 1 5 , 9 5 0 , 1 4 6 , p l u s a c o n t i n g e n c y a m o u n t o f $ 1 . 6 m i l l i o n , f o r a t o t a l n o t t o e x c e e d a m o u n t o f $ 1 7 , 5 5 0 , 1 4 6 ; 2 ) A u t h o r i z e t h e C h a i r , p u r s u a n t t o l e g a l c o u n s e l r e v i e w , t o e x e c u t e t h e a g r e e m e n t o n b e h a l f o f t h e C o m m i s s i o n ; 3 ) A u t h o r i z e t h e E x e c u t i v e D i r e c t o r t o a p p r o v e c o n t i n g e n c y w o r k a s m a y b e r e q u i r e d f o r t h e p r o j e c t ; a n d 4 ) A u t h o r i z e t h e E x e c u t i v e D i r e c t o r , p u r s u a n t t o l e g a l c o u n s e l r e v i e w , t o e x e c u t e r e l a t e d u t i l i t y a n d o t h e r l o c a l a g e n c y a g r e e m e n t s n e c e s s a r y f o r t h e d e s i g n a n d c o n s t r u c t i o n o f t h e p r o j e c t . B A C K G R O U N D I N F O R M A T I O N : T h e P V L M e t r o l i n k e x t e n s i o n c o n t i n u e s t o b e o n e o f t h e C o m m i s s i o n ' s t o p p r i o r i t i e s . T h e P V L p r o j e c t w a s i n c l u d e d i n b o t h M e a s u r e A e x p e n d i t u r e p l a n s a n d h a s r e c e i v e d s i g n i f i c a n t a p p r o v a l s a n d f u n d i n g f r o m t h e F e d e r a l t r a n s i t A d m i n i s t r a t i o n ( F T A ) a n d C o n g r e s s , w h i c h a p p r o p r i a t e d $ 7 5 m i l l i o n f o r t h e p r o j e c t . M o s t i m p o r t a n t l y , t h e p r o j e c t o f f e r s a n i m p o r t a n t o p p o r t u n i t y f o r r e n e w e d t r a n s p o r t a t i o n i n v e s t m e n t t h a t e s t a b l i s h e s a s t r o n g t r a n s i t b a c k b o n e f o r W e s t e r n R i v e r s i d e C o u n t y w h i l e o f f e r i n g a n a l t e r n a t i v e t o v e h i c u l a r t r a v e l o n I n t e r s t a t e 2 1 5 . 1 7 5 A g e n d a I t e m 8 J At its September 12, 2007 meeting, the Commission awarded an agreement to STV Inc. (STV) to provide planning, environmental, and preliminary engineering services for the PVL. STV completed the preliminary engineering phase of its services on June 1, 2009, with the submittal of the 30% design deliverable. At its May 13, 2009 meeting, the Commission approved an amendment to STV's agreement for advanced preliminary engineering, final design, support for procurement of construction materials, and design support during construction of the PVL. In addition, the Commission approved the development of a federal supplemental environmental assessment (SEA) and an environmental impact report (EIR) for the PVL project. On April 5, 2010, the draft EIR was issued for public comment. Public hearings were held on April 14 and 22 and May 17, and the public comment period closed on May 24, 2010. Once the EIR and SEA are finalized and the finding of no significant impact and notice of determination are issued and approval is received from FTA in the form of a project construction grant agreement, the Commission can commence with final design and start construction of the project, respectively. It is anticipated that when the project receives environmental approval, the project will be advertised for construction in early 2011. Prior to advertisement of the project for construction, staff plans to establish an agreement with a qualified CM consultant to perform the following tasks:. Phase I: Preconstruction • Develop a number of required manuals and plans (i.e. CM procedures manual and safety program, QA/QC audit plan, environmental control plan, project control plan, project procedures manual); • Perform a constructability and design review of the preliminary and final plans and estimate; • Develop a constructability analysis report that will include construction phasing plan and project master schedule; and • Assist in the prequalification of potential construction contractors, and support the bid/award process. Phase II: Construction • Perform all CM duties; • Coordinate flagging: Schedule Southern California Regional Rail Authority (SCRRA) flagging, assign watch persons for protection of workers and equipment under CM purview, assure that all CM field personnel complete, and stay current with freight railroad safety training; and • Conduct systems inspection, testing, commissioning, and start-up. 176 • • • Agenda Item 8J " P h a s e I I I : P o s t C o n s t r u c t i o n " P e r f o r m c o n t r a c t c l o s e - o u t d u t i e s ; " M o n i t o r a n d t r a c k w a r r a n t i e s ; a n d " C o o r d i n a t e s t a t i o n t u r n o v e r t o C o m m i s s i o n a n d i t s m a i n t e n a n c e c o n t r a c t o r s . T h e p h a s i n g o f C M s e r v i c e s i s t h e p r e f e r r e d p r a c t i c e o n l a r g e i n f r a s t r u c t u r e p r o j e c t s a n d m a n y o f t h e p r e - c o n s t r u c t i o n p h a s e s e r v i c e s a r e s p e c i f i c a l l y r e q u i r e d b y F T A . F T A w i l l o n l y a l l o w a n o t i c e t o p r o c e e d ( N T P ) f o r t h e p r e - c o n s t r u c t i o n p h a s e s e r v i c e s p r i o r t o e n v i r o n m e n t a l c l e a r a n c e ; h o w e v e r , s t a f f h a s n e g o t i a t e d t h e c o m p l e t e s c o p e o f w o r k f o r a l l p h a s e s o f t h e p r o j e c t . T h e s c o p e , c o s t , a n d s c h e d u l e h a s b e e n b r o k e n u p t o r e f l e c t t h e p h a s i n g o f t h e p r o j e c t a n d t o a l l o w N T P ' s t o b e i s s u e d f o r t h e s e p a r a t e p h a s e s . S e l e c t i o n P r o c e s s A r e q u e s t f o r q u a l i f i c a t i o n s f o r c o n s t r u c t i o n m a n a g e m e n t s e r v i c e s f o r t h e P V L p r o j e c t w a s i s s u e d o n J a n u a r y 1 4 , 2 0 1 0 , a n d a p r e - s u b m i t t a l c o n f e r e n c e w a s h e l d o n F e b r u a r y 2 , t o p r e s e n t t h e p r o j e c t a n d a n s w e r a n y q u e s t i o n s f o r t h e i n t e r e s t e d p a r t i e s . F i v e c o n s u l t a n t s ' s t a t e m e n t s o f q u a l i f i c a t i o n s ( S O Q ) w e r e s u b m i t t e d p r i o r t o t h e M a r c h 2 5 d e a d l i n e . A n e v a l u a t i o n c o m m i t t e e w a s a p p o i n t e d t o r e v i e w t h e f i v e s u b m i t t e d S O Q ' s r e c e i v e d a n d t o c o n d u c t i n t e r v i e w s o f t h e s h o r t l i s t e d f i r m s . T h e e v a l u a t i o n c o m m i t t e e m e m b e r s i n c l u d e d t w o r e p r e s e n t a t i v e s f r o m t h e C o m m i s s i o n s t a f f , a n d o n e r e p r e s e n t a t i v e e a c h f r o m B e c h t e l , S C R R A , a n d B u r l i n g t o n N o r t h e r n S a n t a F e R a i l w a y . A f t e r e v a l u a t i o n o f t h e S O Q ' s b y t h e e v a l u a t i o n c o m m i t t e e , t h r e e f i r m s w e r e s h o r t l i s t e d a n d n o t i f i e d o n A p r i l 2 2 , 2 0 1 0 , t h a t t h e y w o u l d b e i n t e r v i e w e d . T h e f i r m s i n c l u d e d : " H D R E n g i n e e r i n g , I n c . " H i l l I n t e r n a t i o n a l , I n c . " P B A m e r i c a s , I n c . I n t e r v i e w s o f f i r m s w e r e c o n d u c t e d o n M a y 1 2 , a n d H D R w a s s e l e c t e d b y t h e e v a l u a t i o n c o m m i t t e e a s t h e m o s t q u a l i f i e d c o n s u l t a n t . C o m m i s s i o n s t a f f h a s n e g o t i a t e d w i t h H D R t o e n s u r e t h e i r r a t e s a n d f e e s a r e c o m p a r a b l e t o o t h e r c o n s u l t a n t s f o r s i m i l a r t y p e s o f w o r k a n d t h a t t h e c o s t s r e f l e c t t h e c u r r e n t e c o n o m i c c o n d i t i o n s . T h e c o n t r a c t h a s b e e n n e g o t i a t e d c o n s i s t e n t w i t h r e q u i r e m e n t s f o r f e d e r a l f u n d i n g p a r t i c i p a t i o n . I n t h e c o u r s e o f t h e n e g o t i a t i o n s , A g e n d a I t e m 8 J 1 7 7 the consultant agreed to the following reductions: Fee from 10% to 8%, escalation allowance from 4% to 2% and markup on subcontractors from 5% to 3%. In addition, the consultant has represented a 10.74% commitment to Disadvantaged Business Enterprises (DBE) program. Financial Information Yes FY 2010/11 $1,800,000 In Fiscal Year Budget: No Year: FY 2010/11 Amount: $3,057,680 N/A FY 201 1 /12 $9,500,000 N/A FY 2012/13 $3,192,466 Source of Funds: Measure A Rail Funds, FTA 5307 Budget Adjustment: Yes - $3,057,680 G LlProject Accounting No.: 003800 81302 221 33 81301 - $1,146,200 003823 81302 221 33 81301 - $16,403,946 Fiscal Procedures Approved: 4;4342 Date: 07/06/10 Attachment: Agreement with HDR Agenda Item 8J • 178 AGREEMENT NO. 10-31-058-00 PROFESSIONAL SERVICES AGREEMENT WITH FEDERAL TRANSIT ADMINISTRATION ASSISTANCE RIVERSIDE COUNTY TRANSPORTATION COMMISSION AGREEMENT WITH HDR CONSTRUCTION CONTROL CORPORATION FOR CONSTRUCTION MANAGEMENT, MATERIALS TESTING AND CONSTRUCTION SERVEYING SERVICES FOR THE PERRIS VALLEY LINE METROLINK IMPROVEMENT PROJECT 1. PARTIES AND DATE. This Agreement is made and entered into this day of , 2010, by and between the RIVERSIDE COUNTY TRANSPORTATION COMMISSION ("the Commission") and HDR CONSTRUCTION CONTROL CORPORATION ("Consultant"), a Nevada corporation. 2. RECITALS. 2.1 On November 8, 1988, the voters of Riverside County approved Measure A authorizing the collection of a one-half percent (%2%) retail transactions and use tax to fund transportation programs and improvements within the County of Riverside, and adopting the Riverside County Transportation Improvement Plan (the "Plan"). 2.2 Pursuant to Public Utility Code Sections 240000 et seq. the Commission is authorized to allocate the proceeds of the Tax in furtherance of the Plan. 2.3 On November 5, 2002, the voters of Riverside County approved an extension of the Measure A tax for an additional thirty (30) years for the continued funding of transportation and improvements within the County of Riverside. 2.4 A source of funding for payment for professional services provided under this Agreement is federal funds from the Federal Transit Administration ("FTA"). This Agreement shall not be deemed to be approved by the Commission until the certifications shown in Exhibits "E" and "F," attached hereto and incorporated herein by reference, are executed. HVPUB\HSHANE\772641.1 179 2.5 Consultant desires to perform and assume responsibility for the provision of certain professional services required by the Commission on the terms and conditions set forth in this Agreement. Consultant represents that it is experienced in providing construction management, materials testing, and construction. surveying services to public clients, is licensed in the State of California (if necessary), and is familiar with the plans of the Commission. 2.6 The Commission desires to engage Consultant to render such services for the Perris Valley Line Metrolink Improvement Project ("Project"), as set forth in this Agreement. 2.7 The Commission intends to authorize performance of the Services, as that term is defined in this Agreement, in at least two Notices -to -Proceed ("NTP") identified as follows: Pre -Construction Phase Services and Construction Phase Services. Consultant acknowledges and agrees that issuance of an NTP for the Construction Phase Services will be contingent on execution of a Construction Grant Agreement by and between the Commission and the FTA. 3. TERMS. 3.1 General Scope of Services. Consultant shall furnish all technical and professional services, including labor, material, equipment, transportation, supervision and expertise, and incidental and customary work necessary to fully and adequately supply the construction management, materials testing, and construction surveying services necessary for the Project ("Services"). The Pre -Construction Phase Services are more particularly described in Exhibit "A" Part 1, attached hereto and incorporated herein by reference. The Construction Phase Services are more particularly described in Exhibit "A" Part 2, attached hereto and incorporated herein by reference. All Services shall be subject to, and performed in accordance with, this Agreement, the exhibits attached hereto and incorporated herein by reference, and all applicable local, state and federal laws, rules and regulations. 3.2 Commencement of Services. 3.2.1 Pre -Construction Phase Services. The Consultant shall commence performance of the Pre -Construction Services upon receipt of a written NTP or "Limited NTP" from Commission. As a result of the federal funding for this Project, and to the extent the FTA or the California Department of Transportation ("Ca!trans") procedures apply in connection therewith, issuance of a NTP is conditional until completion and approval of a post award audit. The attached Exhibit "C" and the Consultant's cost proposal for the Services are subject to a post award audit. After any post award audit recommendations are received, the attached Exhibit "C" and the Consultant's cost proposal shall be adjusted by the Consultant and approved by the Commission's Executive Director or his designee to conform to the audit recommendations. The Consultant agrees that individual items of cost may be RVPUB\HSHANE\772641.1 z2 • • • 180 " " i n c o r p o r a t e d i n t o t h e A g r e e m e n t a t t h e C o m m i s s i o n ' s s o l e d i s c r e t i o n . R e f u s a l b y t h e C o n s u l t a n t t o i n c o r p o r a t e t h e i n t e r i m a u d i t o r p o s t a w a r d r e c o m m e n d a t i o n s w i l l b e c o n s i d e r e d a b r e a c h o f t h e A g r e e m e n t t e r m s a n d c a u s e f o r t e r m i n a t i o n o f t h e A g r e e m e n t . T h e f e d e r a l a i d p r o v i d e d u n d e r t h i s A g r e e m e n t i s c o n t i n g e n t o n m e e t i n g a l l F e d e r a l r e q u i r e m e n t s a n d c o u l d b e w i t h d r a w n , t h e r e b y e n t i t l i n g t h e C o m m i s s i o n t o t e r m i n a t e t h i s A g r e e m e n t , i f t h e p r o c e d u r e s a r e n o t c o m p l e t e d . T h e C o n s u l t a n t ' s f i l e s s h a l l b e m a i n t a i n e d i n a m a n n e r t o f a c i l i t a t e F e d e r a l a n d S t a t e p r o c e s s r e v i e w s . I n a d d i t i o n , t h e a p p l i c a b l e f e d e r a l a g e n c y , o r C a l t r a n s a c t i n g o n b e h a l f o f a f e d e r a l a g e n c y , m a y r e q u i r e t h a t p r i o r t o p e r f o r m a n c e o f a n y w o r k f o r w h i c h F e d e r a l r e i m b u r s e m e n t i s r e q u e s t e d a n d p r o v i d e d , t h a t s a i d f e d e r a l a g e n c y o r C a l t r a n s m u s t g i v e t o C o m m i s s i o n a n " A u t h o r i z a t i o n t o P r o c e e d " . 3 . 2 . 2 C o n s t r u c t i o n P h a s e S e r v i c e s . T h e C o n s u l t a n t s h a l l n o t c o m m e n c e p e r f o r m a n c e o f t h e C o n s t r u c t i o n P h a s e S e r v i c e s u n t i l C o n s u l t a n t r e c e i v e s a w r i t t e n N T P o r " L i m i t e d N T P " f r o m t h e C o m m i s s i o n f o r t h e C o n s t r u c t i o n P h a s e S e r v i c e s . C o n s u l t a n t s h a l l n o t b e e n t i t l e d t o c o m p e n s a t i o n f o r a n y C o n s t r u c t i o n P h a s e S e r v i c e s r e n d e r e d p r i o r t o t h e i s s u a n c e b y t h e C o m m i s s i o n o f a w r i t t e n N T P o r L i m i t e d N T P s p e c i f i c a l l y f o r t h e C o n s t r u c t i o n P h a s e S e r v i c e s . A s a p p l i c a b l e , t h e a b o v e r e f e r e n c e d p r o v i s i o n s r e g a r d i n g f e d e r a l p r o c e d u r e s a n d r e q u i r e m e n t s s h a l l a p p l y t o t h i s S e c t i o n 3 . 2 . 2 . 3 . 3 T e r m . T h e t e r m o f t h i s A g r e e m e n t s h a l l b e f r o m t h e d a t e o f e x e c u t i o n o f t h i s A g r e e m e n t o r t h e d a t e o f i s s u a n c e o f t h e " N o t i c e t o P r o c e e d " b y t h e C o m m i s s i o n , w h i c h e v e r o c c u r s f i r s t , t o t h e i s s u a n c e b y t h e C o m m i s s i o n t o C o n s u l t a n t o f a N o t i c e o f F i n a l A c c e p t a n c e , a s d e f i n e d i n p a r a g r a p h 3 . 1 2 b e l o w , o r O c t o b e r 3 0 , 2 0 1 3 , w h i c h e v e r o c c u r s e a r l i e r , u n l e s s e a r l i e r t e r m i n a t e d a s p r o v i d e d h e r e i n . C o n s u l t a n t s h a l l c o m p l e t e t h e S e r v i c e s w i t h i n t h e t e r m o f t h i s A g r e e m e n t , a n d s h a l l m e e t a n y o t h e r e s t a b l i s h e d s c h e d u l e s a n d d e a d l i n e s . A l l a p p l i c a b l e i n d e m n i f i c a t i o n p r o v i s i o n s o f t h i s A g r e e m e n t s h a l l r e m a i n i n e f f e c t f o l l o w i n g t h e t e r m i n a t i o n o f t h i s A g r e e m e n t . 3 . 4 C o m m i s s i o n ' s R e p r e s e n t a t i v e . T h e C o m m i s s i o n h e r e b y d e s i g n a t e s t h e C o m m i s s i o n ' s E x e c u t i v e D i r e c t o r , o r h i s o r h e r d e s i g n e e , t o a c t a s i t s R e p r e s e n t a - t i v e f o r t h e p e r f o r m a n c e o f t h i s A g r e e m e n t ( " C o m m i s s i o n ' s R e p r e s e n t a t i v e " ) . C o m m i s s i o n ' s R e p r e s e n t a t i v e s h a l l h a v e t h e a u t h o r i t y t o a c t o n b e h a l f o f t h e C o m m i s s i o n f o r a l l p u r p o s e s u n d e r t h i s A g r e e m e n t . C o m m i s s i o n ' s R e p r e s e n t a t i v e s h a l l a l s o r e v i e w a n d g i v e a p p r o v a l , a s n e e d e d , t o t h e d e t a i l s o f C o n s u l t a n t ' s w o r k a s i t p r o g r e s s e s . C o n s u l t a n t s h a l l n o t a c c e p t d i r e c t i o n o r o r d e r s f r o m a n y p e r s o n o t h e r t h a n t h e C o m m i s s i o n ' s R e p r e s e n t a t i v e o r h i s o r h e r d e s i g n e e . 3 . 5 C o n s u l t a n t ' s R e p r e s e n t a t i v e . C o n s u l t a n t h e r e b y d e s i g n a t e s B r e n t F e l k e r , S e n i o r V i c e P r e s i d e n t , t o a c t a s i t s R e p r e s e n t a t i v e f o r t h e p e r f o r m a n c e o f t h i s A g r e e m e n t ( " C o n s u l t a n t ' s R e p r e s e n t a t i v e " ) . C o n s u l t a n t ' s R e p r e s e n t a t i v e s h a l l h a v e f u l l a u t h o r i t y t o a c t o n b e h a l f o f C o n s u l t a n t f o r a l l p u r p o s e s u n d e r t h i s A g r e e m e n t . T h e C o n s u l t a n t ' s R e p r e s e n t a t i v e s h a l l s u p e r v i s e a n d d i r e c t t h e S e r v i c e s , u s i n g h i s R V P U B \ H S H A N E \ 7 7 2 6 4 1 . 1 - 3 - 1 8 1 professional skill and attention, and shall be responsible for all means, methods, techniques, sequences and procedures and for the satisfactory coordination of all portions of the Services under this Agreement. Consultant shall work closely and cooperate fully with Commission's Representative and any other agencies which may have jurisdiction over, or an interest in, the Services. Consultant's Representative shall be available to the Commission staff at all reasonable times. Any substitution in Consultant's Representative shall be approved in writing by Commission's Representative. 3.6 Substitution of Key Personnel. Consultant has represented to the Commission that certain key personnel will perform and coordinate the Services under this Agreement. Should one or more of such personnel become unavailable, Consultant may substitute other personnel of at least equal competence upon written approval by the Commission. In the event that the Commission and Consultant cannot agree as to the substitution of the key personnel, the Commission shall be entitled to terminate this Agreement for cause, pursuant to the provisions of Section 3.14. The key personnel for performance of this Agreement are: Project Director - Brent Felker Project Manager - Marc McIntyre Project Controls - Manager Chris Okerstrom Resident Engineer - Len Beystrum Commissioning/Startup Manager - Noel Peck Signals/Systems Lead - Glenn Breindel Safety/RR Coordinator - Roberto Becerra 3.7 Preliminary Review of Work. All reports, working papers, and similar work products prepared for submission in the course of providing Services under this Agreement shall be submitted to the Commission's Representative in draft form, and the Commission may require revisions of such drafts prior to formal submission and approval. In the event plans and designs are to be developed as part of the Project, final detailed plans and designs shall be contingent upon obtaining environmental clearance as may be required in connection with federal funding. In the event that Commission's Representative, in his sole discretion, determines the formally submitted work product to be not in accordance with the standard of care established under this contract, Commission's Representative may require Consultant to revise and resubmit the work at no cost to the Commission. 3.8 Appearance at Hearings. If and when required by the Commission, Consultant shall render assistance at public hearings or other meetings related to the Project or necessary to the performance of the Services. However, Consultant shall not be required to, and will not, render any decision, interpretation or recommendation regarding questions of a legal nature or which may be construed as constituting a legal opinion. AVPUB\HSHANE\772641.1 t} • 182 " " " 3 . 9 S t a n d a r d o f C a r e ; L i c e n s e s . C o n s u l t a n t r e p r e s e n t s a n d m a i n t a i n s t h a t i t i s s k i l l e d i n t h e p r o f e s s i o n a l c a l l i n g n e c e s s a r y t o p e r f o r m a l l S e r v i c e s , d u t i e s a n d o b l i g a t i o n s r e q u i r e d b y t h i s A g r e e m e n t t o f u l l y a n d a d e q u a t e l y c o m p l e t e t h e P r o j e c t . C o n s u l t a n t s h a l l p e r f o r m t h e S e r v i c e s a n d d u t i e s i n c o n f o r m a n c e t o a n d c o n s i s t e n t w i t h t h e s t a n d a r d s g e n e r a l l y r e c o g n i z e d a s b e i n g e m p l o y e d b y p r o f e s s i o n a l s i n t h e s a m e d i s c i p l i n e i n t h e S t a t e o f C a l i f o m i a . C o n s u l t a n t w a r r a n t s t h a t a l l e m p l o y e e s a n d s u b c o n t r a c t o r s s h a l l h a v e s u f f i c i e n t s k i l l a n d e x p e r i e n c e t o p e r f o r m t h e S e r v i c e s a s s i g n e d t o t h e m . C o n s u l t a n t f u r t h e r r e p r e s e n t s a n d w a r r a n t s t o t h e C o m m i s s i o n t h a t i t s e m p l o y e e s a n d s u b c o n t r a c t o r s h a v e a l l l i c e n s e s , p e r m i t s , q u a l i f i c a t i o n s a n d a p p r o v a l s o f w h a t e v e r n a t u r e t h a t a r e l e g a l l y r e q u i r e d t o p e r f o r m t h e S e r v i c e s , a n d t h a t s u c h l i c e n s e s a n d a p p r o v a l s s h a l l b e m a i n t a i n e d t h r o u g h o u t t h e t e r m o f t h i s A g r e e m e n t . C o n s u l t a n t s h a l l p e r f o r m , a t i t s o w n c o s t a n d e x p e n s e a n d w i t h o u t r e i m b u r s e m e n t f r o m t h e C o m m i s s i o n , a n y s e r v i c e s n e c e s s a r y t o c o r r e c t e r r o r s o r o m i s s i o n s w h i c h a r e c a u s e d b y t h e C o n s u l t a n t ' s f a i l u r e t o c o m p l y w i t h t h e s t a n d a r d o f c a r e p r o v i d e d f o r h e r e i n , a n d s h a l l b e f u l l y r e s p o n s i b l e t o t h e C o m m i s s i o n f o r a l l d a m a g e s a n d o t h e r l i a b i l i t i e s p r o v i d e d f o r i n t h e i n d e m n i f i c a t i o n p r o v i s i o n s o f t h i s A g r e e m e n t a r i s i n g f r o m t h e C o n s u l t a n t ' s e r r o r s a n d o m i s s i o n s . A n y e m p l o y e e o f C o n s u l t a n t o r i t s s u b - c o n s u l t a n t s w h o i s d e t e r m i n e d b y t h e C o m m i s s i o n t o b e u n c o o p e r a t i v e , i n c o m p e t e n t , a t h r e a t t o t h e a d e q u a t e o r t i m e l y c o m p l e t i o n o f t h e P r o j e c t , a t h r e a t t o t h e s a f e t y o f p e r s o n s o r p r o p e r t y , o r a n y e m p l o y e e w h o f a i l s o r r e f u s e s t o p e r f o r m t h e S e r v i c e s i n a m a n n e r a c c e p t a b l e t o t h e C o m m i s s i o n , s h a l l b e p r o m p t l y r e m o v e d f r o m t h e P r o j e c t b y t h e C o n s u l t a n t a n d s h a l l n o t b e r e - e m p l o y e d t o p e r f o r m a n y o f t h e S e r v i c e s o r t o w o r k o n t h e P r o j e c t . 3 . 1 0 O p p o r t u n i t y t o C u r e . C o m m i s s i o n m a y p r o v i d e C o n s u l t a n t a n o p p o r t u n i t y t o c u r e , a t C o n s u l t a n t ' s e x p e n s e , a l l e r r o r s a n d o m i s s i o n s w h i c h m a y b e d i s c l o s e d d u r i n g P r o j e c t i m p l e m e n t a t i o n . S h o u l d C o n s u l t a n t f a i l t o m a k e s u c h c o r r e c t i o n i n a t i m e l y m a n n e r , s u c h c o r r e c t i o n m a y b e m a d e b y t h e C o m m i s s i o n , a n d t h e c o s t t h e r e o f c h a r g e d t o C o n s u l t a n t . 3 . 1 1 I n s p e c t i o n o f W o r k . C o n s u l t a n t s h a l l a l l o w t h e C o m m i s s i o n ' s R e p r e s e n t a t i v e t o i n s p e c t o r r e v i e w C o n s u l t a n t ' s w o r k i n p r o g r e s s a t a n y r e a s o n a b l e t i m e . 3 . 1 2 F i n a l A c c e p t a n c e . U p o n d e t e r m i n a t i o n b y t h e C o m m i s s i o n t h a t C o n s u l t a n t h a s s a t i s f a c t o r i l y c o m p l e t e d t h e S e r v i c e s r e q u i r e d u n d e r t h i s A g r e e m e n t a n d w i t h i n t h e t e r m s e t f o r t h i n S e c t i o n 3 . 3 , t h e C o m m i s s i o n s h a l l g i v e C o n s u l t a n t a w r i t t e n N o t i c e o f F i n a l A c c e p t a n c e . U p o n r e c e i p t o f s u c h n o t i c e , C o n s u l t a n t s h a l l i n c u r n o f u r t h e r c o s t s h e r e u n d e r , u n l e s s o t h e r w i s e s p e c i f i e d i n t h e N o t i c e o f F i n a l A c c e p t a n c e . C o n s u l t a n t m a y r e q u e s t i s s u a n c e o f a N o t i c e o f F i n a l A c c e p t a n c e w h e n , i n - i t s o p i n i o n , i t h a s s a t i s f a c t o r i l y c o m p l e t e d a l l S e r v i c e s r e q u i r e d u n d e r t h e t e r m s o f t h i s A g r e e m e n t . I n t h e e v e n t c o p y r i g h t s a r e p e r m i t t e d u n d e r t h i s A g r e e m e n t , t h e n i n c o n n e c t i o n w i t h f e d e r a l f u n d i n g , i t i s h e r e b y a c k n o w l e d g e d a n d a g r e e d t h a t t h e F T A s h a l l h a v e t h e r o y a l t y - f r e e n o n - e x c l u s i v e a n d i r r e v o c a b l e r i g h t t o r e p r o d u c e , p u b l i s h , o r o t h e r w i s e u s e , a n d t o a u t h o r i z e o t h e r s t o u s e , t h e w o r k f o r g o v e r n m e n t a l p u r p o s e s . R V P U B \ H S H A N E \ 7 7 2 6 9 1 . 1 r j 1 8 3 3.13 Laws and Regulations. Consultant shall keep itself fully informed of and in compliance with all local, state and federal laws, rules and regulations in any manner affecting the performance of the Project or the Services, including all Cal/OSHA requirements, and shall give all notices required by Jaw. For example, and not by way, of limitation, Consultant shall keep itself fully informed of and in compliance with all implementing regulations, design standards, specifications, previous commitments that must be incorporated in the design of the Project, and administrative controls including those of the FTA. Compliance with federal procedures may include completion of the applicable environmental documents and approval by the FTA. For example, and not by way of limitation, a signed Categorical Exclusion, Finding of No Significant Impact, or published Record of Decision may be required to be approved and/or completed by the FTA Consultant shall be liable for all violations of such laws and regulations in connection with Services. If the Consultant performs any work knowing it to be contrary to such laws, rules and regulations and without giving written notice to the Commission, Consultant shall be solely responsible for all costs arising therefrom. Consultant shall defend, indemnify and hold Commission, its officials, directors, officers, employees and agents free and harmless, pursuant to the indemnification provisions of this Agreement, from any claim or liability arising out of any failure or alleged failure to comply with such laws, rules or regulations. Further, and to the extent applicable, Consultant must fully comply with all applicable laws, rules and regulations in furnishing or using equipment and/or providing services, including, but not limited to, emissions limits and permitting requirements imposed by the South Coast Air Quality Management District (SCAQMD) and/or California Air Resources Board (CARE). Although the SCAQMD and CARB limits and requirements are more broad, Consultant shall specifically be aware of their application to "portable equipment", which definition is considered by SCAQMD and GARB to include any item of equipment with a fuel -powered engine. Consultant shall indemnify the Commission against any fines or penalties imposed by SCAQMD, CARE, or any other governmental or regulatory agency for violations of applicable laws, rules and/or regulations by Consultant, its Subconsultants, or others for whom Consultant is responsible under its indemnity obligations provided for in this Agreement. 3.14 Termination. 3.14.1 Notice; Reason. Commission may, by written notice to Consultant, terminate this Agreement, in whole or in part, at any time by giving written notice to Consultant of such termination, and specifying the effective date thereof ("Notice of Termination"). Such termination may be for Commission's convenience or because of Consultant's failure to perform its duties and obligations under this -Agree- ment, including, but not limited to, the failure of Consultant to timely perform Services pursuant to the Schedule of Services described in Section 3.15 of this Agreement. Consultant may not terminate this Agreement except for cause. 3.14.2 Discontinuance of Services. Upon receipt of the written Notice of Termination, Consultant shall discontinue all affected Services as directed in RVPUB\HSHANE\772641.1 {T • • • 184 " " t h e N o t i c e o r a s o t h e r w i s e p r o v i d e d h e r e i n , a n d d e l i v e r t o t h e C o m m i s s i o n a l l D o c u m e n t s a n d D a t a , a s d e f i n e d i n t h i s A g r e e m e n t , a s m a y h a v e b e e n p r e p a r e d o r a c c u m u l a t e d b y C o n s u l t a n t i n p e r f o r m a n c e o f t h e S e r v i c e s , w h e t h e r c o m p l e t e d o r i n p r o g r e s s . 3 . 1 4 . 3 E f f e c t o f T e r m i n a t i o n F o r C o n v e n i e n c e . I f t h e t e r m i n a t i o n i s t o b e f o r t h e c o n v e n i e n c e o f t h e C o m m i s s i o n , t h e C o m m i s s i o n s h a l l c o m p e n s a t e C o n s u l t a n t f o r S e r v i c e s f u l l y a n d a d e q u a t e l y p r o v i d e d t h r o u g h t h e e f f e c t i v e d a t e o f t e r m i n a t i o n . S u c h p a y m e n t s h a l l i n c l u d e a p r o r a t e d a m o u n t o f p r o f i t , i f a p p l i c a b l e , b u t n o a m o u n t s h a l l b e p a i d f o r a n t i c i p a t e d p r o f i t o n u n p e r f o r m e d S e r v i c e s . C o n s u l t a n t s h a l l p r o v i d e d o c u m e n t a t i o n d e e m e d a d e q u a t e b y C o m m i s s i o n ' s R e p r e s e n t a t i v e t o s h o w t h e S e r v i c e s a c t u a l l y c o m p l e t e d b y C o n s u l t a n t p r i o r t o t h e e f f e c t i v e d a t e o f t e r m i n a t i o n . T h i s A g r e e m e n t s h a l l t e r m i n a t e o n t h e e f f e c t i v e d a t e o f t h e N o t i c e o f T e r m i n a t i o n . 3 . 1 4 . 4 E f f e c t o f T e r m i n a t i o n f o r C a u s e . I f t h e t e r m i n a t i o n i s f o r c a u s e , C o n s u l t a n t s h a l l b e c o m p e n s a t e d f o r t h o s e S e r v i c e s w h i c h h a v e b e e n f u l l y a n d a d e q u a t e l y c o m p l e t e d a n d a c c e p t e d b y t h e C o m m i s s i o n a s o f t h e d a t e t h e C o m m i s s i o n p r o v i d e s t h e N o t i c e o f T e r m i n a t i o n . I n s u c h c a s e , t h e C o m m i s s i o n m a y t a k e o v e r t h e w o r k a n d p r o s e c u t e t h e s a m e t o c o m p l e t i o n b y c o n t r a c t o r o t h e r w i s e . f u r t h e r , C o n s u l t a n t s h a l l b e l i a b l e t o t h e C o m m i s s i o n f o r a n y r e a s o n a b l e a d d i t i o n a l c o s t s i n c u r r e d b y t h e C o m m i s s i o n t o r e v i s e w o r k f o r w h i c h t h e C o m m i s s i o n h a s c o m p e n s a t e d C o n s u l t a n t u n d e r t h i s A g r e e m e n t , b u t w h i c h t h e C o m m i s s i o n h a s d e t e r m i n e d i n i t s s o l e d i s c r e t i o n n e e d s t o b e r e v i s e d , i n p a r t o r w h o l e , t o c o m p l e t e t h e P r o j e c t b e c a u s e i t d i d n o t m e e t t h e s t a n d a r d o f c a r e e s t a b l i s h e d i n S e c t i o n 3 . 9 . T e r m i n a t i o n o f t h i s A g r e e m e n t f o r c a u s e m a y b e c o n s i d e r e d b y t h e C o m m i s s i o n i n d e t e r m i n i n g w h e t h e r t o e n t e r i n t o f u t u r e a g r e e m e n t s w i t h C o n s u l t a n t . 3 . 1 4 . 5 C u m u l a t i v e R e m e d i e s . T h e r i g h t s a n d r e m e d i e s o f t h e P a r t i e s p r o v i d e d i n t h i s S e c t i o n a r e i n a d d i t i o n t o a n y o t h e r r i g h t s a n d r e m e d i e s p r o v i d e d b y l a w o r u n d e r t h i s A g r e e m e n t . 3 . 1 4 . 6 P r o c u r e m e n t o f S i m i l a r S e r v i c e s . I n t h e e v e n t t h i s A g r e e m e n t i s t e r m i n a t e d , i n w h o l e o r i n p a r t , a s p r o v i d e d b y t h i s S e c t i o n , t h e C o m m i s s i o n m a y p r o c u r e , u p o n s u c h t e r m s a n d i n s u c h m a n n e r a s i t d e e m s a p p r o p r i a t e , s e r v i c e s s i m i l a r t o t h o s e t e r m i n a t e d . 3 . 1 4 . 7 W a i v e r s . C o n s u l t a n t , i n e x e c u t i n g t h i s A g r e e m e n t , s h a l l b e d e e m e d t o h a v e w a i v e d a n y a n d a l l c l a i m s f o r d a m a g e s w h i c h m a y o t h e r w i s e a r i s e f r o m t h e C o m m i s s i o n ' s t e r m i n a t i o n o f t h i s A g r e e m e n t , f o r c o n v e n i e n c e o r c a u s e , a s p r o v i d e d i n t h i s S e c t i o n . 3 . 1 5 S c h e d u l e a n d P r o g r e s s o f S e r v i c e s . 3 . 1 5 . 1 S c h e d u l e o f S e r v i c e s . C o n s u l t a n t s h a l l p e r f o r m t h e S e r v i c e s e x p e d i t i o u s l y , w i t h i n t h e t e r m o f t h i s A g r e e m e n t , a n d i n a c c o r d a n c e w i t h t h e S c h e d u l e o f R V P U B \ H S H A N E \ 7 7 2 6 4 1 . 1 $ - 1 8 5 Services for the Pre -Construction Phase Services as set forth in Exhibit "B" Part 1, and for the Construction Phase Services as set forth in Exhibit "B" Part 2, both attached hereto and incorporated herein by reference. Consultant represents that it has the professional and technical personnel to perform the Services in conformance with such conditions. In order to facilitate Consultant's conformance with the Schedules for the Pre -Construction Phase Services and the Construction Phase Services, the Commission shall respond to Consultant's submittals in a timely manner. Upon request of Commission's Representative, Consultant shall provide a more detailed schedule of anticipated performance to meet each Schedule of Services. 3.15.2 Modification of the Schedule. Consultant shall regularly report to the Commission, through correspondence or progress reports, its progress in providing required Services within the scheduled time periods. Commission shall be promptly informed of all anticipated delays. In the event that Consultant determines that a schedule modification is necessary, Consultant shall promptly submit a revised Schedule of Services for approval by Commission's Representative. 3.15.3 Trend Meetings. Consultant shall conduct trend meetings with the Commission's Representative and other interested parties, as requested by the Commission, on a bi-weekly basis or as may be mutually scheduled by the Parties at a standard day and time. These trend meetings will encompass focused and informal discussions concerning scope, schedule, and current progress of Services, relevant cost issues, and future Project objectives. Consultant shall be responsible for the preparation and distribution of meeting agendas to be received by the Commission and other attendees no later than three (3) working days prior to the meeting. 3.15.4 Progress Reports. As part of its monthly invoice, Consultant shall submit a progress report, in a form determined by the Commission, which will indicate the progress achieved during the previous month in relation to the Schedule of Services. Submission of such progress report by Consultant shall be a condition precedent to receipt of payment from the Commission for each monthly invoice submitted. 3.16 Delay in Performance. 3.16.1 Excusable Delays. Should Consultant be delayed or - prevented from the timely performance of any act or Services required by the terms of the Agreement by reason of acts of God or of the public enemy, acts or omissions of the Commission or other governmental agencies in either their sovereign or cgntractual capacities, fires, floods, epidemics, quarantine restrictions, strikes, freight embargoes or unusually severe weather, performance of such act shall be excused for the period of such delay. 3.16.2 Written Notice. If Consultant believes it is entitled to an extension of time due to conditions set forth in subsection 3.16.1, Consultant shall pro- vide written notice to the Commission within seven (7) working days from the time RVPUB\HSHANE\772641.1 $ • 186 " " " C o n s u l t a n t k n o w s , o r r e a s o n a b l y s h o u l d h a v e k n o w n , t h a t p e r f o r m a n c e o f t h e S e r v i c e s w i l l b e d e l a y e d d u e t o s u c h c o n d i t i o n s . F a i l u r e o f C o n s u l t a n t t o p r o v i d e s u c h t i m e l y n o t i c e s h a l l c o n s t i t u t e a w a i v e r b y C o n s u l t a n t o f a n y r i g h t t o a n e x c u s a b l e d e l a y i n t i m e o f p e r f o r m a n c e . 3 . 1 6 . 3 M u t u a l A g r e e m e n t . P e r f o r m a n c e o f a n y S e r v i c e s u n d e r t h i s A g r e e m e n t m a y b e d e l a y e d u p o n m u t u a l a g r e e m e n t o f t h e P a r t i e s . U p o n s u c h a g r e e m e n t , C o n s u l t a n t ' s S c h e d u l e o f S e r v i c e s s h a l l b e e x t e n d e d a s n e c e s s a r y b y t h e C o m m i s s i o n . C o n s u l t a n t s h a l l t a k e a l l r e a s o n a b l e s t e p s t o m i n i m i z e d e l a y i n c o m p l e t i o n , a n d a d d i t i o n a l c o s t s , r e s u l t i n g f r o m a n y s u c h e x t e n s i o n . 3 . 1 7 S t a t u s o f C o n s u l t a n t / S u b c o n s u l t a n t s . 3 . 1 7 . 1 I n d e p e n d e n t C o n t r a c t o r . T h e S e r v i c e s s h a l l b e p e r f o r m e d b y C o n s u l t a n t o r u n d e r i t s s u p e r v i s i o n . C o n s u l t a n t w i l l d e t e r m i n e t h e m e a n s , m e t h o d s a n d d e t a i l s o f p e r f o r m i n g t h e S e r v i c e s s u b j e c t t o t h e r e q u i r e m e n t s o f t h i s A g r e e m e n t . C o m m i s s i o n r e t a i n s C o n s u l t a n t o n a n i n d e p e n d e n t c o n t r a c t o r b a s i s a n d n o t a s a n e m p l o y e e , a g e n t o r r e p r e s e n t a t i v e o f t h e C o m m i s s i o n . C o n s u l t a n t r e t a i n s t h e r i g h t t o p e r f o r m s i m i l a r o r d i f f e r e n t s e r v i c e s f o r o t h e r s d u r i n g t h e t e r m o f t h i s A g r e e m e n t . A n y a d d i t i o n a l p e r s o n n e l p e r f o r m i n g t h e S e r v i c e s u n d e r t h i s A g r e e m e n t o n b e h a l f o f C o n s u l t a n t s h a l l a t a l l t i m e s b e u n d e r C o n s u l t a n t ' s e x c l u s i v e d i r e c t i o n a n d c o n t r o l . C o n s u l t a n t s h a l l p a y a l l w a g e s , s a l a r i e s a n d o t h e r a m o u n t s d u e s u c h p e r s o n n e l i n c o n n e c t i o n w i t h t h e i r p e r f o r m a n c e o f S e r v i c e s a n d a s r e q u i r e d b y l a w . C o n s u l t a n t s h a l l b e r e s p o n s i b l e f o r a l l r e p o r t s a n d o b l i g a t i o n s r e s p e c t i n g s u c h p e r s o n n e l , i n c l u d i n g b u t n o t l i m i t e d t o , s o c i a l s e c u r i t y t a x e s , i n c o m e t a x w i t h h o l d i n g s , u n e m p l o y m e n t i n s u r a n c e , d i s a b i l i t y i n s u r a n c e , a n d w o r k e r s ' c o m p e n s a t i o n i n s u r a n c e . 3 . 1 7 . 2 P r e v a i l i n g W a g e s . B y i t s e x e c u t i o n o f t h i s A g r e e m e n t , C o n s u l t a n t c e r t i f i e s t h a t i t i s a w a r e o f t h e r e q u i r e m e n t s o f C a l i f o r n i a L a b o r C o d e S e c t i o n s 1 7 2 0 e t s e q . a n d 1 7 7 0 e t s e q . , a s w e l l a s C a l i f o r n i a C o d e o f R e g u l a t i o n s , T i t l e 8 , S e c t i o n 1 6 0 0 0 e t s e q . ( " P r e v a i l i n g W a g e L a w s " ) , w h i c h r e q u i r e t h e p a y m e n t o f p r e v a i l i n g w a g e r a t e s a n d t h e p e r f o r m a n c e o f o t h e r r e q u i r e m e n t s o n c e r t a i n " p u b l i c w o r k s " a n d " m a i n t e n a n c e " p r o j e c t s . I f t h e S e r v i c e s a r e b e i n g p e r f o r m e d a s p a r t o f a n a p p l i c a b l e " p u b l i c w o r k s " o r " m a i n t e n a n c e " p r o j e c t , a s d e f i n e d b y t h e P r e v a i l i n g W a g e L a w s , a n d i f t h e t o t a l c o m p e n s a t i o n i s $ 1 , 0 0 0 o r m o r e , C o n s u l t a n t a g r e e s t o f u l l y c o m p l y w i t h s u c h P r e v a i l i n g W a g e L a w s . C o p i e s o f t h e p r e v a i l i n g r a t e o f p e r d i e m w a g e s a r e o n f i l e a t t h e C o m m i s s i o n ' s o f f i c e s . C o n s u l t a n t s h a l l m a k e c o p i e s o f t h e p r e v a i l i n g r a t e s o f p e r d i e m w a g e s f o r e a c h c r a f t , c l a s s i f i c a t i o n o r t y p e o f w o r k e r n e e d e d t o e x e c u t e t h e S e r v i c e s a v a i l a b l e t o i n t e r e s t e d p a r t i e s u p o n r e q u e s t , a n d s h a l l p o s t c o p i e s a t t h e C o n s u l t a n t ' s p r i n c i p a l p l a c e o f b u s i n e s s a n d a t t h e p r o j e c t s i t e . C o n s u l t a n t s h a l l d e f e n d , i n d e m n i f y a n d h o l d t h e C o m m i s s i o n , i t s e l e c t e d o f f i c i a l s , o f f i c e r s , e m p l o y e e s a n d a g e n t s f r e e a n d h a r m l e s s f r o m a n y c l a i m s , l i a b i l i t i e s , c o s t s , p e n a l t i e s o r i n t e r e s t a r i s i n g o u t o f a n y f a i l u r e o r a l l e g e d f a i l u r e t o c o m p l y w i t h t h e P r e v a i l i n g W a g e L a w s . C e r t i f i e d P a y r o l l s a r e t o b e s u b m i t t e d w h e n e v e r r e q u i r e d b y P r e v a i l i n g W a g e l a w s . R V P U R \ H S H A N E \ 7 7 2 6 4 1 . 1 1 } 1 8 7 3.17.3 Assignment or Transfer. Consultant shall not assign, hypothecate, or transfer, either directly or by operation of law, this Agreement or any interest herein, without the prior written consent of the Commission. Any attempt to do so shall be null and void, and any assignees, hypothecates or transferees shall acquire no right or interest by reason of such attempted assignment, hypothecation or transfer. 3.17.4 Subcontracting. Consultant shall not subcontract any portion of the work or Services required by this Agreement, except as expressly stated herein, without prior written approval of the Commission. If Consultant wishes to use a firm as a subcontractor which is not specified in the proposal upon which this Agreement was awarded, prior written approval must be obtained from the Commission. The Subcontracts, if any, shall contain a provision making them subject to all provisions stipulated in this Agreement. Consultant has, as part of its proposal, identified certain companies/firms that will be subconsultants utilized by Consultant ("Subconsultants") for Project delivery. A list of said Subconsultants is attached hereto as Exhibit "C" Part 2 and made a part hereof. The Commission hereby approves the use by Consultant of the Subconsultants identified in Exhibit "C" Part 2. In the event and prior to the replacement of any Subconsultant approved herein, the Consultant shall seek and obtain the Commission's written approval. Exhibit "C" Part 2 also sets forth the rates at which each Subconsultant shall bill the Consultant for Services and that are subject to reimbursement by the Commission to Consultant. Additional Direct Costs, as defined in Exhibit "C" Part 1 shall be the same for both the Consultant and all subconsultants, unless otherwise identified in Exhibit "C" Part 2. Consultant acknowledges that approval of Consultant's utilization of the identified Subconsultants together with the incorporation of Subconsultants' rate schedules and cost proposals into this Agreement shall in no way be construed to create any contractual relationship between any Subconsultant and the Commission. The Subconsultant rate schedules and cost proposals contained herein, are for accounting purposes only. In the event that any Subconsultant shall bring any action, claim or proceeding purporting to enforce any right purportedly arising under this Agreement, the Consultant shall be responsible for the Commission's reasonable legal fees without regard to the merits of any such claim. 3.18 Ownership of Materials/Confidentiality. 3.18.1 Documents & Data. This Agreement creates an exclusive and perpetual license for Commission to copy, use, modify, reuse, or sub -license any and all copyrights and designs embodied in plans, specifications, studies, drawings, estimates, materials, data and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement ("Documents & Data"). RVPUB\HSHANE\772641.1 �fl 188 " C o n s u l t a n t s h a l l r e q u i r e a l l s u b c o n t r a c t o r s t o a g r e e i n w r i t i n g t h a t C o m m i s s i o n i s g r a n t e d a n e x c l u s i v e a n d p e r p e t u a l l i c e n s e f o r a n y D o c u m e n t s & D a t a t h e s u b c o n t r a c t o r p r e p a r e s u n d e r t h i s A g r e e m e n t . C o n s u l t a n t r e p r e s e n t s a n d w a r r a n t s t h a t C o n s u l t a n t h a s t h e l e g a l r i g h t t o g r a n t t h e e x c l u s i v e a n d p e r p e t u a l l i c e n s e f o r a l l s u c h D o c u m e n t s & D a t a . C o n s u l t a n t m a k e s n o s u c h r e p r e s e n t a t i o n a n d w a r r a n t y i n r e g a r d t o D o c u m e n t s & D a t a w h i c h w e r e p r e p a r e d b y d e s i g n p r o f e s s i o n a l s o t h e r t h a n C o n s u l t a n t o r p r o v i d e d t o C o n s u l t a n t b y t h e C o m m i s s i o n . C o m m i s s i o n s h a l l n o t b e l i m i t e d i n a n y w a y i n i t s u s e o f t h e D o c u m e n t s & D a t a a t a n y t i m e , p r o v i d e d t h a t a n y s u c h u s e n o t w i t h i n t h e p u r p o s e s i n t e n d e d b y t h i s A g r e e m e n t s h a l l b e a t C o m m i s s i o n ' s s o l e r i s k . 3 . 1 8 . 2 I n t e l l e c t u a l P r o p e r t y . I n a d d i t i o n , C o m m i s s i o n s h a l l h a v e a n d r e t a i n a l l r i g h t , t i t l e a n d i n t e r e s t ( i n c l u d i n g c o p y r i g h t , p a t e n t , t r a d e s e c r e t a n d o t h e r p r o p r i e t a r y r i g h t s ) i n a l l p l a n s , s p e c i f i c a t i o n s , s t u d i e s , d r a w i n g s , e s t i m a t e s , m a t e r i a l s , d a t a , c o m p u t e r p r o g r a m s o r s o f t w a r e a n d s o u r c e c o d e , e n h a n c e m e n t s , d o c u m e n t s , a n d a n y a n d a l l w o r k s o f a u t h o r s h i p f i x e d i n a n y t a n g i b l e m e d i u m o r e x p r e s s i o n , i n c l u d i n g b u t n o t l i m i t e d t o , p h y s i c a l d r a w i n g s o r o t h e r d a t a m a g n e t i c a l l y o r o t h e r w i s e r e c o r d e d o n c o m p u t e r m e d i a ( " I n t e l l e c t u a l P r o p e r t y " ) p r e p a r e d o r d e v e l o p e d b y o r o n b e h a l f o f C o n s u l t a n t u n d e r t h i s A g r e e m e n t a s w e l l a s a n y , o t h e r s u c h I n t e l l e c t u a l P r o p e r t y p r e p a r e d o r d e v e l o p e d b y o r o n b e h a l f o f C o n s u l t a n t u n d e r t h i s A g r e e m e n t . T h e C o m m i s s i o n s h a l l h a v e a n d r e t a i n a l l r i g h t , t i t l e a n d i n t e r e s t i n I n t e l l e c t u a l P r o p e r t y d e v e l o p e d o r m o d i f i e d u n d e r t h i s A g r e e m e n t w h e t h e r o r n o t p a i d f o r w h o l l y o r i n p a r t b y C o m m i s s i o n , w h e t h e r o r n o t d e v e l o p e d i n c o n j u n c t i o n w i t h C o n s u l t a n t , a n d w h e t h e r o r n o t d e v e l o p e d b y C o n s u l t a n t . C o n s u l t a n t w i l l e x e c u t e s e p a r a t e w r i t t e n a s s i g n m e n t s o f a n y a n d a l l r i g h t s t o t h e a b o v e r e f e r e n c e d I n t e l l e c t u a l P r o p e r t y u p o n r e q u e s t o f C o m m i s s i o n . C o n s u l t a n t s h a l l a l s o b e r e s p o n s i b l e t o o b t a i n i n w r i t i n g s e p a r a t e w r i t t e n a s s i g n m e n t s f r o m a n y s u b c o n t r a c t o r s o r a g e n t s o f C o n s u l t a n t o f a n y a n d a l l r i g h t t o t h e a b o v e r e f e r e n c e d I n t e l l e c t u a l P r o p e r t y . S h o u l d C o n s u l t a n t , e i t h e r d u r i n g o r f o l l o w i n g t e r m i n a t i o n o f t h i s A g r e e m e n t , d e s i r e t o u s e a n y o f t h e a b o v e - r e f e r e n c e d I n t e l l e c t u a l P r o p e r t y , i t s h a l l f i r s t o b t a i n t h e w r i t t e n a p p r o v a l o f t h e C o m m i s s i o n . A l l m a t e r i a l s a n d d o c u m e n t s w h i c h w e r e d e v e l o p e d o r p r e p a r e d b y t h e C o n s u l t a n t f o r g e n e r a l u s e p r i o r t o t h e e x e c u t i o n o f t h i s A g r e e m e n t a n d w h i c h . . a r e n o t t h e c o p y r i g h t o f a n y o t h e r p a r t y o r p u b l i c l y a v a i l a b l e a n d a n y o t h e r c o m p u t e r a p p l i c a t i o n s , s h a l l c o n t i n u e t o b e t h e p r o p e r t y o f t h e C o n s u l t a n t . H o w e v e r , u n l e s s o t h e r w i s e i d e n t i f i e d a n d s t a t e d p r i o r t o e x e c u t i o n o f t h i s A g r e e m e n t , C o n s u l t a n t r e p r e s e n t s a n d w a r r a n t s t h a t i t h a s t h e r i g h t t o g r a n t t h e e x c l u s i v e a n d p e r p e t u a l l i c e n s e f o r a l l s u c h I n t e l l e c t u a l P r o p e r t y a s p r o v i d e d h e r e i n . R V P U B \ H S H N N E \ 7 7 2 6 4 1 . 1 1 8 9 Commission further is granted by Consultant a non-exclusive and perpetual license to copy, use, modify or sub -license any and all Intellectual Property otherwise owned by Consultant which is the basis or foundation for any derivative, collective, insurrectional, or supplemental work created under this Agreement. 3.18.3 Confidentiality. All ideas, memoranda, specifications, plans, procedures, drawings, descriptions, computer program data, input record data, written information, and other Documents and Data either created by or provided to Consultant in connection with the performance of this Agreement shall be held confidential by Consultant. Such materials shall not, without the prior written consent of Commission, be used by Consultant for any purposes other than the performance of the Services. Nor shall such materials be disclosed to any person or entity not connected with the performance of the Services or the Project. Nothing furnished to Consultant which is otherwise known to Consultant or is generally known, or has become known, to the related industry shall be deemed confidential. Consultant shall not use Commission's name or insignia, photographs of the Project, or any publicity pertaining to the Services or the Project in any magazine, trade paper, newspaper, television or radio production or other similar medium without the prior written consent of Commission. 3.19 Indemnification. To the fullest extent permitted by law, Consultant shall defend, indemnify and. hold Commission, its directors, officials, officers, employees, consultants, volunteers, and agents free and harmless from any and all claims, demands, causes of action, costs, expenses, liability, loss, damage or injury, in law or equity, to property or persons, including wrongful death, in any manner arising out of or incident to alleged negligent acts, omissions, or willful misconduct of Consultant, its officials, officers, employees, agents, consultants, and contractors arising out of or in connection with the performance of the Services, the Project or this Agreement, including without limitation the payment of consequential damages, expert witness fees, and attorneys fees and other related costs and expenses. Consultant shall defend, at Consultant's own cost, expense and risk, any and all such aforesaid suits, actions or other legal proceedings of every kind that may be brought or instituted against Commission, its directors, officials, officers, employees, consultants, agents, or volunteers. Consultant shall pay and satisfy any judgment, award or decree that may be rendered against Commission or its directors, officials, officers, employees, consultants, agents, or volunteers, in any such suit, action or other legal proceeding. Consultant shall reimburse Commission and its directors, officials, officers, employees, consultants, agents, and/or volunteers, for any and all legal expenses and costs, including reasonable attorney's fees, incurred by each of them in connection therewith or in enforcing the indemnity herein provided. Consultant's obligation to indemnify shall not be restricted to insurance proceeds, if any, received by Commission, its `directors, officials officers, employees, consultants, agents, or volunteers. Notwithstanding the foregoing, to the extent Consultant's Services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. Consultant's obligations as set forth in this Section 3.19 shall survive expiration or termination of this Agreement. RVPUMHSHANE\772691.1 12 • 190 3.20 Insurance. 3.20.1 Time for Compliance. Consultant shall not commence work under this Agreement until it has provided evidence satisfactory to the Commission that it has secured all insurance required under this section. In addition, Consultant shall not allow any subcontractor to commence work on any subcontract until it has secured all insurance required under this section. 3.20.2 Minimum Requirements. Consultant shall, at its expense, procure and maintain for the duration of the Agreement insurance against claims for injuries to persons or damages to property which may arise from or in connection with the performance of the Agreement by the Consultant, its agents, representatives, employees or subcontractors. Consultant shall also require all of its subcontractors to procure and maintain the same insurance for the duration of the Agreement. Such insurance shall meet at least the following minimum levels of coverage: (A) Minimum Scope of Insurance. Coverage shall be at least as broad as the latest version of the following: (1) General Liability: Insurance Services Office Commercial General Liability coverage (occurrence form CG 0001); (2) Automobile Liability: Insurance Services Office Business Auto Coverage form number CA 0001, code 1 (any auto); and (3) if Consultant has employees, Workers' Compensation and Employer's Liability: Workers' Compensation insurance as required by the State of California and Employer's Liability Insurance. (B) Minimum Limits of Insurance. Consultant shall maintain limits no less than: (1) General Liability: $2,000,000 per occurrence for bodily injury, personal and advertising injury and property damage. If Commercial General Liability Insurance or other form with general aggregate limit is used, either the general aggregate limit shall apply separately to this Agreement/location or the general aggregate limit shall be twice the required occurrence limit; (2) Automobile Liability: $1,000,000 per accident for bodily injury and property damage; and (3) Workers' Compensation and Employer's Liability: Workers' Compensation limits as required by the Labor Code of the State of California. Employer's Liability limits of $1,000,000 per accident for bodily injury or disease. 3.20.3 Professional Liability. Consultant shall procure and maintain, and require its sub -consultants to procure and maintain, for a period of five (5) years following completion of the Project, errors and omissions liability insurance appropriate to their profession. Such insurance shall be in an amount not less than $2,000,000 per claim. 3.20.4 Aircraft Liability Insurance. Prior to the direct or indirect use of any civil aircraft to provide Services under this Agreement, Consultant shall procure and maintain, or cause to be procured and maintained, aircraft liability insurance or equivalent form, with a single limit of not less than $5,000,000 per each occurrence. RVPUB\HSHANE\772691.1 13 191 Such insurance shall include coverage for owned, hired and non -owned aircraft and passengers, and shall name, or be endorsed to name, the Commission, its directors, officials, officers, employees, consultants and agents as additional insureds with respect to the Services or operations performed by or on behalf of the Consultant. 3.20.5Insurance Endorsements. The insurance policies shall contain the following provisions, or Consultant shall provide endorsements on forms approved by the Commission to add the following provisions to the insurance policies: (A) General Liability. The general liability policy shall be endorsed to state that: (1) the Commission, its directors, officials, officers, employees and agents shall be covered as additional insureds with respect to the Services or operations performed by or on behalf of the Consultant, including materials, parts or equipment furnished in connection with such work; and (2) the insurance coverage shall be primary insurance as respects the Commission, its directors, officials, officers, employees and agents, or if excess, shall stand in an unbroken chain of coverage excess of the Consultant's scheduled underlying coverage. Any insurance or self- insurance maintained by the Commission, its directors, officials, officers, employees and agents shall be excess of the Consultant's insurance and shall not be called upon to contribute with it in any way. (B) Automobile Liability. The automobile liability policy shall be endorsed to state that: (1) the Commission, its directors, officials, officers, employees and agents shall be covered as additional insureds with respect to the ownership, operation, maintenance, use, loading or unloading of any auto owned, leased, hired or borrowed by the Consultant or for which the Consultant is responsible; and (2) the insurance coverage shall be primary insurance as respects the Commission, its directors, officials, officers, employees and agents, or if excess, shall stand in an unbroken chain of coverage excess of the Consultant's scheduled underlying coverage. Any insurance or self-insurance maintained by the Commission, its directors, officials, officers, employees and agents shall be excess of the Consultant's insurance and shall not be called upon to contribute with it in any way. (C) Workers' Compensation and Employers Liability Coverage. The insurer shall agree to waive all rights of subrogation against the Commission, its directors, officials, officers, employees and agents for losses paid under the terms of the insurance policy which arise from work performed by the Consultant. (D) All Coverages. Each insurance policy required by this Agreement shall be endorsed to state that: (A) coverage shall not be suspended, voided or canceled except after thirty (30) days prior written notice by certified mail, return receipt requested, has been given to the Commission; and (B) any failure to comply with reporting or other provisions of the policies, including breaches of warranties, shall not affect coverage provided to the Commission, its directors, officials, officers, employees and agents. RVPUB\HSHANE\772641.1 14 • 192 " " " 3 . 2 0 . 6 D e d u c t i b l e s a n d S e l f - I n s u r a n c e R e t e n t i o n s . A n y d e d u c t i b l e s o r s e l f - i n s u r e d r e t e n t i o n s m u s t b e d e c l a r e d t o a n d a p p r o v e d b y t h e C o m m i s s i o n . I f t h e C o m m i s s i o n d o e s n o t a p p r o v e t h e d e d u c t i b l e s o r s e l f - i n s u r e d r e t e n t i o n s a s p r e s e n t e d , C o n s u l t a n t s h a l l g u a r a n t e e t h a t , a t t h e o p t i o n o f t h e C o m m i s s i o n , e i t h e r : ( 1 ) t h e i n s u r e r s h a l l r e d u c e o r e l i m i n a t e s u c h d e d u c t i b l e s o r s e l f - i n s u r e d r e t e n t i o n s a s r e s p e c t s t h e C o m m i s s i o n , i t s d i r e c t o r s , o f f i c i a l s , o f f i c e r s , e m p l o y e e s a n d a g e n t s ; o r ( 2 ) t h e C o n s u l t a n t s h a l l p r o c u r e a b o n d g u a r a n t e e i n g p a y m e n t o f l o s s e s a n d r e l a t e d i n v e s t i g a t i o n c o s t s , c l a i m s a n d a d m i n i s t r a t i v e a n d d e f e n s e e x p e n s e s . 3 . 2 0 . 7 S e p a r a t i o n o f I n s u r e d s ; N o S p e c i a l L i m i t a t i o n s . A l l i n s u r a n c e r e q u i r e d b y t h i s S e c t i o n s h a l l c o n t a i n s t a n d a r d s e p a r a t i o n o f i n s u r e d s p r o v i s i o n s . I n a d d i t i o n , s u c h i n s u r a n c e s h a l l n o t c o n t a i n a n y s p e c i a l l i m i t a t i o n s o n t h e s c o p e o f p r o t e c t i o n a f f o r d e d t o t h e C o m m i s s i o n , i t s d i r e c t o r s , o f f i c i a l s , o f f i c e r s , e m p l o y e e s , a n d a g e n t s . 3 . 2 0 . 8 A c c e p t a b i l i t y o f I n s u r e r s . I n s u r a n c e i s t o b e p l a c e d w i t h i n s u r e r s w i t h a c u r r e n t A . M . B e s t ' s r a t i n g n o l e s s t h a n A : V I I I , l i c e n s e d t o d o b u s i n e s s i n C a l i f o r n i a , a n d s a t i s f a c t o r y t o t h e C o m m i s s i o n . 3 . 2 0 . 9 V e r i f i c a t i o n o f C o v e r a g e . C o n s u l t a n t s h a l l f u r n i s h C o m m i s s i o n w i t h o r i g i n a l c e r t i f i c a t e s o f i n s u r a n c e a n d e n d o r s e m e n t s e f f e c t i n g c o v e r a g e r e q u i r e d b y t h i s A g r e e m e n t o n f o r m s s a t i s f a c t o r y t o t h e C o m m i s s i o n . T h e c e r t i f i c a t e s a n d e n d o r s e m e n t s f o r e a c h i n s u r a n c e p o l i c y s h a l l b e s i g n e d b y a p e r s o n a u t h o r i z e d b y t h a t i n s u r e r t o b i n d c o v e r a g e o n i t s b e h a l f . A l l c e r t i f i c a t e s a n d e n d o r s e m e n t s m u s t b e r e c e i v e d a n d a p p r o v e d b y t h e C o m m i s s i o n b e f o r e w o r k c o m m e n c e s . T h e C o m m i s s i o n r e s e r v e s t h e r i g h t t o r e q u i r e c o m p l e t e , c e r t i f i e d c o p i e s o f a l l r e q u i r e d i n s u r a n c e p o l i c i e s , a t a n y t i m e . 3 . 2 0 . 1 0 O t h e r I n s u r a n c e . A t i t s o p t i o n , t h e C o m m i s s i o n m a y r e q u i r e s u c h a d d i t i o n a l c o v e r a g e ( s ) , l i m i t s a n d / o r t h e r e d u c t i o n o f d e d u c t i b l e s o r r e t e n t i o n s i t c o n s i d e r s r e a s o n a b l e a n d p r u d e n t b a s e d u p o n r i s k f a c t o r s t h a t m a y d i r e c t l y o r i n d i r e c t l y i m p a c t t h e P r o j e c t . I n r e t a i n i n g t h i s o p t i o n C o m m i s s i o n d o e s n o t w a r r a n t C o n s u l t a n t ' s i n s u r a n c e p r o g r a m t o b e a d e q u a t e . C o n s u l t a n t s h a l l h a v e t h e r i g h t t o p u r c h a s e i n s u r a n c e i n a d d i t i o n t o t h e i n s u r a n c e r e q u i r e d i n t h i s S e c t i o n . 3 . 2 1 S a f e t y . C o n s u l t a n t s h a l l e x e c u t e a n d m a i n t a i n i t s w o r k s o a s t o a v o i d i n j u r y o r d a m a g e t o a n y p e r s o n o r p r o p e r t y . I n c a r r y i n g o u t i t s S e r v i c e s , t h e C o n s u l t a n t s h a l l a t a l l t i m e s b e i n c o m p l i a n c e w i t h a l l a p p l i c a b l e l o c a l , s t a t e a r a d f e d e r a l l a w s , r u l e s a n d r e g u l a t i o n s , a n d s h a l l e x e r c i s e a l l n e c e s s a r y p r e c a u t i o n s f o r t h e s a f e t y o f e m p l o y e e s a p p r o p r i a t e t o t h e n a t u r e o f t h e w o r k a n d t h e c o n d i t i o n s u n d e r w h i c h t h e w o r k i s t o b e p e r f o r m e d . S a f e t y p r e c a u t i o n s a s a p p l i c a b l e s h a l l i n c l u d e , b u t s h a l l n o t b e l i m i t e d t o : ( A ) a d e q u a t e l i f e p r o t e c t i o n a n d l i f e s a v i n g e q u i p m e n t a n d p r o c e d u r e s ; ( B ) i n s t r u c t i o n s i n a c c i d e n t p r e v e n t i o n f o r a l l e m p l o y e e s a n d s u b c o n t r a c t o r s , s u c h a s s a f e w a l k w a y s , s c a f f o l d s , f a l l p r o t e c t i o n l a d d e r s , b r i d g e s , g a n g p l a n k s , c o n f i n e d s p a c e p r o c e d u r e s , t r e n c h i n g a n d s h o r i n g , e q u i p m e n t a n d o t h e r s a f e t y d e v i c e s , e q u i p m e n t a n d R V P U B \ H S H A N E \ 7 7 2 6 9 1 . 1 1 5 1 9 3 wearing apparel as are necessary or lawfully required to prevent accidents or injuries; and (C) adequate facilities for the proper inspection and maintenance of all safety measures. 3.22 Fees and Payment. 3.22.1 Compensation. Consultant shall receive compensation, including authorized reimbursements, for all Services rendered under this Agreement at the rates set forth in Exhibit "C" attached hereto and incorporated herein by reference. The Total Compensation shall be on the basis of direct costs plus a fixed fee as further set forth in Exhibit "C". The maximum compensation for Pre -Construction Phase Services, including Railroad :Liability Insurance, rendered under this Agreement shall not exceed Two Million, Three Hundred Thirty Four Thousand, Seven Hundred Ninety Nine Dollars ($2,334,799). The maximum compensation for Construction Phase Services rendered under this Agreement, including post construction Services, as further set forth in Exhibit "A", shall not exceed Thirteen Million, Six Hundred Fifteen Thousand, Three Hundred Forty Eight Dollars ($13,615,348). 3.22.2 Payment of Compensation. Consultant shall submit a monthly itemized statement which indicates work completed and hours of Services rendered by Consultant. The statement shall describe the amount of Services and supplies provided since the initial commencement date, or since the start of the subsequent billing periods, as appropriate, through the date of the Statement. Charges specific to each Milestone listed in the Schedule of Services shall be listed separately on an attachment to each statement. Each statement shall be accompanied by a monthly progress report and spreadsheets showing hours expended for each task for each month and the total Project to date. Each statement shall include a cover sheet bearing a certification as to the accuracy of the statement signed by the Consultant's Project Manager or other authorized officer. 3.22.3 Additional Work. Any work or activities that are in addition to, or otherwise outside of, the Services to be performed pursuant to this Agreement shall only be performed pursuant to a separate agreement between the parties. Notwithstanding the foregoing, the Commission's Executive Director may make a change to the Agreement, other than a Cardinal Change. For purposes of this Agreement, a Cardinal Change is a change which is "outside the scope" of the Agreement; in other words, work which should not be regarded as having been fairly and reasonably within the contemplation of the parties when the Agreement was entered into. An example of a change which is not a Cardinal Change would be where, in a contract to construct a building there are many changes in the materials used, but the size and layout of the building remains the same. Cardinal Changes are not within the authority of this provision to order, and shall be processed by the Commission as "sole source" procurements according to applicable law, including the requirements of FTA Circular 4220.1 F, paragraph 9(f). RVPUB\HSHANE\772691.1 16 • • • 194 " " " ( a ) I n a d d i t i o n t o t h e c h a n g e s a u t h o r i z e d a b o v e , a m o d i f i c a t i o n w h i c h i s s i g n e d b y C o n s u l t a n t a n d t h e C o m m i s s i o n ' s E x e c u t i v e D i r e c t o r , o t h e r t h a n a C a r d i n a l C h a n g e , m a y b e m a d e i n o r d e r t o : ( 1 ) m a k e a n e g o t i a t e d e q u i t a b l e a d j u s t m e n t t o t h e A g r e e m e n t p r i c e , d e l i v e r y s c h e d u l e a n d o t h e r t e r m s r e s u l t i n g f r o m t h e i s s u a n c e o f a C h a n g e O r d e r , ( 2 ) r e f l e c t d e f i n i t i v e l e t t e r c o n t r a c t s , a n d ( 3 ) r e f l e c t o t h e r a g r e e m e n t s o f t h e p a r t i e s m o d i f y i n g t h e t e r m s o f t h i s A g r e e m e n t ( " B i l a t e r a l C o n t r a c t M o d i f i c a t i o n " ) . ( b ) C o n s u l t a n t s h a l l n o t p e r f o r m , n o r b e c o m p e n s a t e d f o r a n y c h a n g e , w i t h o u t w r i t t e n a u t h o r i z a t i o n f r o m t h e C o m m i s s i o n ' s E x e c u t i v e D i r e c t o r a s s e t f o r t h h e r e i n . I n t h e e v e n t s u c h a c h a n g e a u t h o r i z a t i o n i s n o t i s s u e d a n d s i g n e d b y t h e C o m m i s s i o n ' s E x e c u t i v e D i r e c t o r , C o n s u l t a n t s h a l l n o t p r o v i d e s u c h c h a n g e . 3 . 2 2 . 4 R e i m b u r s e m e n t f o r E x p e n s e s . C o n s u l t a n t s h a l l n o t b e r e i m b u r s e d f o r a n y e x p e n s e s u n l e s s a u t h o r i z e d i n w r i t i n g b y t h e C o m m i s s i o n ' s R e p r e s e n t a t i v e . 3 . 2 3 P r o h i b i t e d I n t e r e s t s . 3 . 2 3 . 1 S o l i c i t a t i o n . C o n s u l t a n t m a i n t a i n s a n d w a r r a n t s t h a t i t h a s n o t e m p l o y e d n o r r e t a i n e d a n y c o m p a n y o r p e r s o n , o t h e r t h a n a b o n a f i d e e m p l o y e e w o r k i n g s o l e l y f o r C o n s u l t a n t , t o s o l i c i t o r s e c u r e t h i s A g r e e m e n t . F u r t h e r , C o n s u l t a n t w a r r a n t s t h a t i t h a s n o t p a i d n o r h a s i t a g r e e d t o p a y a n y c o m p a n y o r p e r s o n , o t h e r t h a n a b o n a f i d e e m p l o y e e w o r k i n g s o l e l y f o r C o n s u l t a n t , a n y f e e , c o m m i s s i o n , p e r c e n t a g e , b r o k e r a g e f e e , g i f t o r o t h e r c o n s i d e r a t i o n c o n t i n g e n t u p o n o r r e s u l t i n g f r o m t h e a w a r d o r m a k i n g o f t h i s A g r e e m e n t . F o r b r e a c h o r v i o l a t i o n o f t h i s w a r r a n t y , t h e C o m m i s s i o n s h a l l h a v e t h e r i g h t t o r e s c i n d t h i s A g r e e m e n t w i t h o u t l i a b i l i t y . 3 . 2 3 . 2 C o n f l i c t o f I n t e r e s t . F o r t h e t e r m o f t h i s A g r e e m e n t , n o m e m b e r , o f f i c e r o r e m p l o y e e o f t h e C o m m i s s i o n , d u r i n g t h e t e r m o f h i s o r h e r s e r v i c e w i t h t h e C o m m i s s i o n , s h a l l h a v e a n y d i r e c t i n t e r e s t i n t h i s A g r e e m e n t , o r o b t a i n a n y p r e s e n t o r a n t i c i p a t e d m a t e r i a l b e n e f i t a r i s i n g t h e r e f r o m . 3 . 2 3 . 3 C o n f l i c t o f E m p l o y m e n t . E m p l o y m e n t b y t h e C o n s u l t a n t o f p e r s o n n e l c u r r e n t l y o n t h e p a y r o l l o f t h e C o m m i s s i o n s h a l l n o t b e p e r m i t t e d i n t h e p e r f o r m a n c e o f t h i s A g r e e m e n t , e v e n t h o u g h s u c h e m p l o y m e n t m a y o c c u r o u t s i d e o f t h e e m p l o y e e ' s r e g u l a r w o r k i n g h o u r s o r o n w e e k e n d s , h o l i d a y s o r v a c a t i o n t i m e . F u r t h e r , t h e e m p l o y m e n t b y t h e C o n s u l t a n t o f p e r s o n n e l w h o h a v e b e e n o n t h e C o m m i s s i o n p a y r o l l w i t h i n o n e y e a r p r i o r t o t h e d a t e o f e x e c u t i o n o f t h i s A g r e e m e n t , w h e r e t h i s e m p l o y m e n t i s c a u s e d b y a n d o r d e p e n d e n t u p o n t h e C o n s u l t a n t s e c u r i n g t h i s o r r e l a t e d A g r e e m e n t s w i t h t h e C o m m i s s i o n , i s p r o h i b i t e d . 3 . 2 3 . 4 C o v e n a n t A g a i n s t C o n t i n g e n t F e e s . A s r e q u i r e d i n c o n n e c t i o n w i t h f e d e r a l f u n d i n g , t h e C o n s u l t a n t w a r r a n t s t h a t h e / s h e h a s n o t e m p l o y e d o r r e t a i n e d a n y c o m p a n y o r p e r s o n , o t h e r t h a n a b o n a f i d e e m p l o y e e w o r k i n g f o r t h e C o n s u l t a n t , t o s o l i c i t o r s e c u r e t h i s A g r e e m e n t , a n d t h a t h e / s h e h a s n o t p a i d o r a g r e e d R V P O B \ H S H A N E \ 7 7 2 6 9 1 . 1 1 9 5 to pay any company or person, other than a bona fide employee, any fee, commission, percentage, brokerage fee, gift, or any other consideration, contingent upon or resulting from the award or formation of this Agreement. For breach or violation of this warranty, the Commission shall have the right to terminate this Agreement without liability pursuant to Section 3.14, or at its discretion to deduct from the Agreement price or consideration, or otherwise recover, the full amount of such fee, commission, percentage, brokerage fee, gift, or contingent fee. 3.23.5 Covenant Against Expenditure of Local Agency, State or Federal Funds for Lobbying. The Consultant certifies that to the best of his/ her knowledge and belief no state, federal or local agency appropriated funds have been paid, or will be paid by or on behalf of the Consultant to any person for the purpose of influencing or attempting to influence an officer or employee of any state or federal agency; a Member of the State Legislature or United States Congress; an officer or employee of the Legislature or Congress; or any employee of a Member of the Legislature or Congress, in connection with the award of any state or federal contract, grant, loan, or cooperative agreement, or the extension, continuation, renewal, amendment, or modification of any state or federal contract, grant, loan, or cooperative agreement. a) If any funds other than federal appropriated funds have been paid, or will be paid to any person for the purpose of influencing or attempting to influence an officer or employee of any federal agency; a Member of Congress; an officer or employee of Congress, or an employee of a Member of Congress; in connection with this Agreement, the Consultant shall complete and submit the attached Exhibit "J", Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with the attached instructions. b) The Consultant's certification provided in this section is a material representation of fact upon which reliance was placed when this Agreement was entered into, and is a prerequisite for entering into this Agreement pursuant to Section 1352, Title 31, US. Code. Failure to comply with the restrictions on expenditures, or the disclosure and certification requirements set forth in Section 1352, Title 31, US. Code may result in a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. c) The Consultant also agrees by signing this Agreement that he/she shall require that the language set forth in this Section 3.23.5 be included in all Consultant subcontracts which exceed $100,000, and that all such subcontractors shall certify and disclose accordingly. 3.24 Accounting Records. Consultant shall maintain complete and accurate records with respect to all costs and expenses incurred and fees charged under this Agreement. As required in connection with federal funding, the Federal Acquisition Regulations in Title 48, CFR 31 shall be the governing factors regarding allowable elements of cost. All such records shall be clearly identifiable. Consultant RVPUB\HSHANE\772691.1 �$ 196 " s h a l l a l l o w a r e p r e s e n t a t i v e o f t h e C o m m i s s i o n d u r i n g n o r m a l b u s i n e s s h o u r s t o e x a m i n e , a u d i t , a n d m a k e t r a n s c r i p t s o r c o p i e s o f a n y a n d a l l l e d g e r s a n d b o o k s o f a c c o u n t , i n v o i c e s , v o u c h e r s , c a n c e l e d c h e c k s , a n d a n y o t h e r r e c o r d s o r d o c u m e n t s c r e a t e d p u r s u a n t t o t h i s A g r e e m e n t . A l l s u c h i n f o r m a t i o n s h a l l b e r e t a i n e d b y C o n s u l t a n t f o r a t l e a s t t h r e e ( 3 ) y e a r s f o l l o w i n g t e r m i n a t i o n o f t h i s A g r e e m e n t . F o l l o w i n g f i n a l s e t t l e m e n t o f t h e c o n t r a c t a c c o u n t s w i t h t h e F T A u n d e r t h i s A g r e e m e n t , s u c h r e c o r d s a n d d o c u m e n t s m a y b e m i c r o f i l m e d a t t h e o p t i o n o f t h e C o m m i s s i o n , b u t i n a n y e v e n t s h a l l b e r e t a i n e d f o r s a i d t h r e e ( 3 ) y e a r p e r i o d a f t e r p r o c e s s i n g o f t h e f i n a l v o u c h e r b y t h e F T A . A n y c o s t s f o r w h i c h p a y m e n t h a s b e e n m a d e t o t h e C o n s u l t a n t t h a t a r e d e t e r m i n e d b y s u b s e q u e n t a u d i t t o b e u n a l l o w a b l e u n d e r 4 8 C F R , F e d e r a l A c q u i s i t i o n R e g u l a t i o n s S y s t e m , C h a p t e r 1 , P a r t 3 1 e t s e q . a r e s u b j e c t t o r e p a y m e n t b y t h e C o n s u l t a n t t o t h e C o m m i s s i o n . 3 . 2 5 E q u a l O p p o r t u n i t y E m p l o y m e n t . C o n s u l t a n t r e p r e s e n t s t h a t i t i s a n e q u a l o p p o r t u n i t y e m p l o y e r a n d i t s h a l l n o t d i s c r i m i n a t e a g a i n s t a n y s u b c o n t r a c t o r , e m p l o y e e o r a p p l i c a n t f o r e m p l o y m e n t b e c a u s e o f r a c e , r e l i g i o n , c o l o r , n a t i o n a l o r i g i n , a n c e s t r y , s e x o r a g e . S u c h n o n - d i s c r i m i n a t i o n s h a l l i n c l u d e , b u t n o t b e l i m i t e d t o , a l l a c t i v i t i e s r e l a t e d t o i n i t i a l e m p l o y m e n t , u p g r a d i n g , d e m o t i o n , t r a n s f e r , r e c r u i t m e n t o r r e c r u i t m e n t a d v e r t i s i n g , l a y o f f o r t e r m i n a t i o n . C o n s u l t a n t s h a l l a l s o c o m p l y w i t h a l l r e l e v a n t p r o v i s i o n s o f t h e C o m m i s s i o n ' s D i s a d v a n t a g e d B u s i n e s s E n t e r p r i s e P r o g r a m , A f f i r m a t i v e A c t i o n P l a n o r o t h e r r e l a t e d C o m m i s s i o n p r o g r a m s o r g u i d e l i n e s c u r r e n t l y i n e f f e c t o r h e r e i n a f t e r e n a c t e d . 3 . 2 6 R i g h t t o E m p l o y O t h e r C o n s u l t a n t s . C o m m i s s i o n r e s e r v e s t h e r i g h t t o e m p l o y o t h e r c o n s u l t a n t s i n c o n n e c t i o n w i t h t h e P r o j e c t . C o n s u l t a n t s h a l l c o o p e r a t e f u l l y w i t h a n y o t h e r c o n s u l t a n t e n g a g e d b y t h e C o m m i s s i o n o n t h e P r o j e c t . 3 . 2 7 G o v e r n i n g L a w . T h i s A g r e e m e n t s h a l l b e g o v e r n e d b y a n d c o n s t r u e d w i t h t h e l a w s o f t h e S t a t e o f C a l i f o m i a . V e n u e s h a l l b e i n R i v e r s i d e C o u n t y . 3 . 2 8 A t t o r n e y s ' F e e s . I f e i t h e r p a r t y c o m m e n c e s a n a c t i o n a g a i n s t t h e o t h e r p a r t y , e i t h e r l e g a l , a d m i n i s t r a t i v e o r o t h e r w i s e , a r i s i n g o u t o f o r i n c o n n e c t i o n w i t h t h i s A g r e e m e n t , t h e p r e v a i l i n g p a r t y i n s u c h l i t i g a t i o n s h a l l b e e n t i t l e d t o h a v e a n d r e c o v e r f r o m t h e l o s i n g p a r t y r e a s o n a b l e a t t o r n e y s ' f e e s a n d , a l l o t h e r c o s t s o f s u c h a c t i o n s . 3 . 2 9 T i m e o f E s s e n c e . T i m e i s o f t h e e s s e n c e f o r e a c h a n d e v e r y p r o v i s i o n o f t h i s A g r e e m e n t . 3 . 3 0 H e a d i n g s . A r t i c l e a n d S e c t i o n H e a d i n g s , p a r a g r a p h c a p t i o n s o r m a r g i n a l h e a d i n g s c o n t a i n e d . i n t h i s A g r e e m e n t a r e f o r c o n v e n i e n c e o n l y a n d s h a l l h a v e n o e f f e c t i n t h e c o n s t r u c t i o n o r i n t e r p r e t a t i o n o f a n y p r o v i s i o n h e r e i n . R V P U S \ H S H A N E \ 7 7 2 6 4 1 . 1 1 9 1 9 7 3.31 Notices. All notices permitted or required under this Agreement shall be given to the respective parties at the following address, or at such other address as the respective parties may provide in writing for this purpose: 8404 Indian Hills Omaha, NE CONSULTANT: COMMISSION: HDR Construction Control Corporation Riverside County 8404 Indian Hills Transportation Commission Omaha, NE 68114 4080 Lemon Street, 3`d Floor Riverside, CA 92501 Attn: Brent Felker Attn: Executive Director 68114 Such notice shall be deemed made when personally delivered or when mailed, forty-eight (48) hours after deposit in the U.S. mail, first class postage prepaid, and addressed to the party at its applicable address. Actual notice shall be deemed adequate notice on the date actual notice occurred, regardless of the method of service. 3.32 Conflicting Provisions. In the event that provisions of any attached exhibits conflict in any way with the provisions set forth in this Agreement, the language, terms and conditions contained in this Agreement shall control the actions and obligations of the Parties and the interpretation of the Parties' understanding concerning the performance of the Services. 3.33 Amendment or Modification. No supplement, modification, or amendment of this Agreement shall be binding unless executed in writing and signed by both Parties. 3.34 Entire Agreement. This Agreement contains the entire agreement of the Parties relating to the subject matter hereof and supersedes all prior negotiations, agreements or understandings. 3.35 Invalidity; Severability. If any portion of this Agreement is declared invalid, illegal, or otherwise unenforceable by a court of competent jurisdiction, the remaining provisions shall continue in full force and effect. 3.36 Provisions Applicable When Federal Transit Administration Are Involved. Since funding for the Services provided by this Agreement are provided, in whole or in part, from the FTA, Consultant shall also fully and adequately comply with the provisions included in Exhibit "D" (Federal Transit Administration Requirements) attached hereto and incorporated herein by reference. 3.37 No Waiver. Failure of Commission to insist on any one occasion upon strict compliance with any of the terms, covenants or conditions hereof shall not be deemed a waiver of such term, covenant or condition,' nor shall any waiver or relinquishment of any rights or powers hereunder at any one time or more times be deemed a waiver or relinquishment of such other right or power at any other time or times. RVPUB\HSHANE\772641.1 �Q • • 198 " " 3 . 3 8 S u r v i v a l . A l l r i g h t s a n d o b l i g a t i o n s h e r e u n d e r t h a t b y t h e i r n a t u r e a r e t o b e p e r f o r m e d a f t e r a n y e x p i r a t i o n o r t e r m i n a t i o n o f t h i s A g r e e m e n t s h a l l s u r v i v e a n y s u c h e x p i r a t i o n o r t e r m i n a t i o n . 3 . 3 9 N o T h i r d P a r t y B e n e f i c i a r i e s . T h e r e a r e n o i n t e n d e d t h i r d p a r t y b e n e f i c i a r i e s o f a n y r i g h t o r o b l i g a t i o n a s s u m e d b y t h e P a r t i e s . 3 . 4 0 L a b o r C e r t i f i c a t i o n . B y i t s s i g n a t u r e h e r e u n d e r , C o n s u l t a n t c e r t i f i e s t h a t i t i s a w a r e o f t h e p r o v i s i o n s o f S e c t i o n 3 7 0 0 o f t h e C a l i f o r n i a L a b o r C o d e w h i c h r e q u i r e e v e r y e m p l o y e r t o b e i n s u r e d a g a i n s t l i a b i l i t y f o r W o r k e r s ' C o m p e n s a t i o n o r t o u n d e r t a k e s e l f - i n s u r a n c e i n a c c o r d a n c e w i t h t h e p r o v i s i o n s o f t h a t C o d e , a n d a g r e e s t o c o m p l y w i t h s u c h p r o v i s i o n s b e f o r e c o m m e n c i n g t h e p e r f o r m a n c e o f t h e S e r v i c e s . 3 . 4 1 . C o u n t e r p a r t s . T h i s A g r e e m e n t m a y b e s i g n e d i n c o u n t e r p a r t s , e a c h o f w h i c h s h a l l c o n s t i t u t e a n o r i g i n a l . 3 . 4 2 I n c o r p o r a t i o n o f R e c i t a l s . T h e r e c i t a l s s e t f o r t h a b o v e a r e t r u e a n d c o r r e c t a n d a r e i n c o r p o r a t e d i n t o t h i s A g r e e m e n t a s t h o u g h f u l l y s e t f o r t h h e r e i n . [ S I G N A T U R E S O N F O L L O W I N G P A G E ] R V P U B \ H S H A N E \ 7 7 2 6 4 1 . 1 2 1 1 9 9 SIGNATURE PAGE TO PROFESSIONAL SERVICES AGREEMENT WITH FEDERAL TRANSIT ADMINISTRATION ASSISTANCE IN WITNESS WHEREOF, this Agreement was executed on the date first written above. RIVERSIDE COUNTY TRANSPORTATION COMMISSION CONSULTANT HDR CONSTRUCTION CONTROL CORPORATION By: By. Bob Buster, Chair Signature Approved as to Form: By: Best Best & Krieger LLP General Counsel RVPUB\HSHANE\772691.1 22 Attest: By: Name Title Its: Secretary • • 200 " E X H I B I T " A " S C O P E O F S E R V I C E S E x h i b i t A 2 0 1 " " " D r a f t S c o p e o f W o r k f o r P e r r i s V a l l e y L i n e M e t r o l i n k I m p r o v e m e n t P r o j e c t P h a s e 1 : P r e - C o n s t r u c t i o n S e r v i c e s A . M a n a g e m e n t / C o o r d i n a t i o n 1 . M a n a g e m e n t a n d C o o r d i n a t i o n S e r v i c e s P e r f o r m g e n e r a l m a n a g e m e n t o f s t a f f a n d c o o r d i n a t i o n w i t h R C T C , R C T C P r o g r a m M a n a g e r a n d o t h e r s t a k e h o l d e r a n d t e a m m e m b e r s . 2 . R e v i e w P r o j e c t I s s u e s a n d A s s i s t w i t h R e s o l u t i o n o r E v a l u a t i o n A s s i s t R C T C i n r e v i e w i n g i s s u e s n o t c o v e r e d o r i n c l u d e d i n t h i s S c o p e o f W o r k a n d o t h e r p r e - c o n s t r u c t i o n t a s k s . 3 . C M P r o c e d u r e s M a n u a l P r e p a r e a C M P r o c e d u r e s M a n u a l ( C M P M ) f o r n o n - h i g h w a y p r o j e c t s t h a t w i l l b e c o m e a u s e f u l t o o l f o r t h e s u c c e s s f u l m a n a g e m e n t o f t h e P V L P r o j e c t . D i s c u s s t h e p r o j e c t i s s u e s w i t h t h e r e s p o n s i b l e R C T C / R C T C P r o g r a m M a n a g e r s t a f f m e m b e r s t o d e v e l o p a n u n d e r s t a n d i n g o f t h e p h i l o s o p h y b e h i n d t h e e x i s t i n g d r a f t C M P M a n d t h e a s s o c i a t e d e x i s t i n g p r o c e d u r e s . E x p a n d u p o n t h e d r a f t t o f u l l y a d d r e s s t h e M a n u a l ' s k e y s e c t i o n s a n d s u b s e c t i o n s i n t h e f o l l o w i n g w a y s : P r o j e c t I n f o r m a t i o n a n d M a n a g e m e n t " I n c l u d e u p d a t e d p r o j e c t d e s c r i p t i o n a n d b a c k g r o u n d i n f o r m a t i o n " I d e n t i f y a n d u p d a t e a l l p r o j e c t p a r t i c i p a n t s a n d s t a k e h o l d e r s " I d e n t i f y a n d u p d a t e a l l l e v e l s o f a u t h o r i t y " A d d r e s s : o S a f e t y a n d S e c u r i t y o C r i s i s / a c c i d e n t m a n a g e m e n t o P u b l i c A f f a i r s / M e d i a m a n a g e m e n t o C o o r d i n a t i o n w i t h p u b l i c a n d p r i v a t e a g e n c i e s a n d o r g a n i z a t i o n s o C o o r d i n a t i o n o f c o n s t r u c t i o n w i t h u t i l i t y r e l o c a t i o n s , r a i l o p e r a t i o n s , a n d o t h e r 3 r d p a r t y w o r k o C o m m i s s i o n i n g a n d s t a r t u p C o n s t r u c t i o n A d m i n i s t r a t i o n " I n c o r p o r a t e t h e d o c u m e n t c o n t r o l s y s t e m c u r r e n t l y u s e d b y R C T C / R C T C P r o g r a m M a n a g e r " D i s c u s s C M d o c u m e n t c o n t r o l s y s t e m a n d a d d r e s s n e e d t o t r a n s f e r d i g i t a l f i l e s t o R C T C a t e n d o f p r o j e c t P I 2 0 3 " L i s t c u r r e n t l y s c h e d u l e d o r f u t u r e m e e t i n g s r e g a r d i n g t h e p r o j e c t " I n c l u d e u p d a t e d s t a t u s o f F T A p a r t i c i p a t i o n a n d i d e n t i f y r e q u i r e m e n t s f o r f u n d i n g " A d d r e s s t h e f o l l o w i n g : o D o c u m e n t c o n t r o l i s s u e s o P r o c e s s i n g o f S u b m i t t a l s , R e q u e s t s f o r I n f o r m a t i o n a n d S u b s t i t u t i o n R e q u e s t s o C o n d u c t a n d r e c o r d i n g o f m e e t i n g s o W r i t t e n a n d v e r b a l c o m m u n i c a t i o n s o D a i l y p r o j e c t r e p o r t s a n d p h o t o / v i d e o d o c u m e n t a t i o n o f t h e w o r k o P a r t n e r i n g C h a n g e s a n d C l a i m s M a n a g e m e n t " P r o v i d e u p d a t e d o u t l i n e o f R C T C c h a n g e o r d e r p r o c e s s f r o m i n i t i a t i o n t o a p p r o v a l , i n c l u d i n g a u t h o r i z a t i o n l e v e l s " I n c l u d e u p d a t e d R C T C p r o c e s s f o r a d m i n i s t e r i n g p r o j e c t d i s p u t e s a n d c o n s t r u c t i o n c l a i m s " L i s t c u r r e n t a s s e s s m e n t o f m a j o r r i s k s t o t h e p r o j e c t " A d d r e s s t h e f o l l o w i n g : o F a i r a n d i n d e p e n d e n t c o s t e s t i m a t e s o C h a n g e o r d e r p r o c e s s i n g o T i m e e x t e n s i o n r e q u e s t s o R e s o l u t i o n o f d i s p u t e d i s s u e s o C l a i m s o E n t i t l e m e n t e v a l u a t i o n C o s t a n d S c h e d u l e M a n a g e m e n t P . 2 " I n c l u d e u p d a t e d p r o j e c t b u d g e t s , f u n d i n g s o u r c e s , r e s t r i c t i o n s a n d s c h e d u l e s " O u t l i n e p r o g r e s s p a y m e n t p r o c e s s , i n c l u d i n g t i m e t a b l e s a n d a l l p a r t i e s i n v o l v e d i n t h e p r o c e s s " I n c o r p o r a t e i n t o e x i s t i n g p r o c e d u r e s t h e l e s s o n s l e a r n e d f r o m p r e v i o u s p r o j e c t e x p e r i e n c e s w i t h : o P r o g r e s s p a y m e n t p r o c e s s i n g , i n c l u d i n g b i d i t e m b r e a k d o w n s o C a s h f l o w m a n a g e m e n t o S c h e d u l e s u b m i t t a l a n d r e v i e w p r o c e s s o T i m e e x t e n s i o n r e q u e s t s 2 0 4 " " C o n s t r u c t i o n Q u a l i t y A s s u r a n c e a n d Q u a l i t y C o n t r o l " O u t l i n e t h e a n t i c i p a t e d R C T C / R C T C P r o g r a m M a n a g e r o v e r s i g h t e f f o r t s a n d c o o r d i n a t i o n r e q u i r e d " U p d a t e t h e e x i s t i n g d r a f t R C T C Q u a l i t y A s s u r a n c e P l a n " I n c o r p o r a t e i n t o e x i s t i n g p r o c e d u r e s t h e l e s s o n s t e a m e d f r o m p r e v i o u s p r o j e c t e x p e r i e n c e s w i t h : o D a i l y i n s p e c t i o n r e p o r t s o r v e r i f i c a t i o n t e s t s o C e r t i f i c a t e s o f c o m p l e t i o n o F a c t o r y o r p l a n t i n s p e c t i o n s a n d t e s t s o P e r f o r m a n c e t e s t s P r o j e c t C l o s e - o u t " I n c l u d e u p d a t e d c l o s e - o u t p r o c e d u r e s t f i n a l o c c u p a n c y f o r R C T C r a i l p r o j e c t s " L i s t i d e n t i f i e d c l o s e - o u t p r o c e d u r e s f o r F T A r a i l p r o j e c t s a n d r e s o u r c e s f o r o b t a i n i n g r e q u i r e m e n t s " I n c o r p o r a t e i n t o e x i s t i n g p r o c e d u r e s t h e l e s s o n s l e a r n e d f r o m p r e v i o u s p r o j e c t e x p e r i e n c e s w i t h : o F i n a l p u n c h l i s t s a n d c l o s e - o u t o f c o n s t r u c t i o n c o n t r a c t s o A s - b u i l t d r a w i n g s a n d a s - b u i l t s c h e d u l e s o P r o j e c t r e c o r d s t r a n s f e r a n d s u b s e q u e n t a u d i t s o r u s e o W a r r a n t i e s I t e m s t h a t R C T C m a y c o n s i d e r a d d i n g t o t h i s p l a n , a n d t h a t w e c a n i n c o r p o r a t e w i t h a n a m e n d e d s c o p e i n c l u d e t h e f o l l o w i n g : " A c t i n g a s O w n e r s R e p r e s e n t a t i v e c o o r d i n a t i o n w i t h p u b l i c a n d p r i v a t e a g e n c i e s a n d o r g a n i z a t i o n s " P a r t n e r i n g " C a s h f l o w m a n a g e m e n t T h e u p d a t e d d r a f t o f t h e C M P r o c e d u r e s M a n u a l w i l l b e s u b m i t t e d f o r R C T C r e v i e w a n d c o m m e n t . O n c e r e v i s i o n s h a v e b e e n m a d e a n d a p p r o v e d , t h e M a n u a l w i l l b e u s e d b y t h e H D R T e a m t o a d m i n i s t e r a n d m a n a g e t h e P V L c o n s t r u c t i o n p r o j e c t . T h e P r o j e c t M a n a g e r a n d R e s i d e n t E n g i n e e r w i l l s t r e s s t h e i m p o r t a n c e o f H D R ' s T e a m a d h e r e n c e t o t h e p r o c e d u r e s i n t h e M a n u a l , a n d w i l l r e q u i r e a d v a n c e d a p p r o v a l o f a n y p r o p o s e d v a r i a n c e s . T h e M a n u a l w i l l b e u p d a t e d a n d r e v i s e d , a s n e e d e d , f o r t h e d u r a t i o n o f t h e p r o j e c t . 4 . P r o j e c t P r o c e d u r e s M a n u a l P r e p a r e t h e P P M , w i t h s o m e e l e m e n t s p u l l e d d i r e c t l y f r o m t h e C M P r o c e d u r e s M a n u a l d i s c u s s e d a b o v e , u n d e r T a s k 1 , a n d o t h e r e l e m e n t s f r o m t h e c o n t r a c t d o c u m e n t s . T h e P P M w i l l p r o v i d e d e t a i l e d a n d P V L p r o j e c t - s p e c i f i c p r o c e d u r e s f o r t h e f l o w a n d c o n t r o l o f c o m m u n i c a t i o n s a n d p r o j e c t d o c u m e n t s d u r i n g t h e c o n s t r u c t i o n p h a s e . P 3 2 0 5 The Manual will include details and/or contract procedures for the following major topics: ■ RCTC-HDR Team Organization ■ Contractor Organization ■ Roles & Responsibilities ■ Lines of Communication Hierarchy ■ Communication Formats ■ Community Relations/Media ■ Emergency Response Procedures • OSHA & Other Communications ■ Notice Procedures ■ Labor Compliance • Environmental Compliance ■ BNSF/SCRAA Coordination ■ FTA Requirements • Safety Program • Meetings ■ Project Controls ■ Cost Segregation/Trending ■ Progress Payments ■ Schedule Reviews ■ Submittals ■ Requests for Substitutions ■ Requests for Information ■ Changes ■ Delays . ■ Dispute &Claim Resolution ■ QC/QA Requirements & Responsibilities ■ Non -Compliance Reports ■ Survey Control ■ Contract Close -Out ■ As -Built Documentation ■ Document Control Requirements ■ Project File Requirements The PPM will reference other stand alone documents that will be utilized in managing the PVL. The PPM is not intended as a substitute for the Contract and will state that in the event of a conflict, the Contract requirements will govem. The initial draft of the PPM will be updated, as needed, to reflect the 100% design documents and any changes to procedures made by addenda issued during the bid period. Upon review and approval by RCTC, the PPM will be distributed at the Pre -construction Meeting and each section discussed, allowing for questions or clarifications. The Manual will be corrected or updated, as necessary, during the construction phase. This manual will incorporate any stand alone documents required. 5. Construction Safety Plan and Roadway Worker Safety Manual The Perris Valley Line Construction Safety Plan and Roadway Worker Safety Manual will be focused on the health and safety of the HDR construction management team and our subconsultants as it relates to our work on the Perris Valley Line. RCTC has indicated that you may choose to utilize the documents as a basis for your overall construction safety plan. RCTC will need to evaluate the applicability of this plan for your organization in the overall off -highway safety plan currently under development, as the plan is not intended to be adopted verbatim into your overall construction program. 6. Support Development of Agreements with SCRRA and BNSF Assist RCTC in developing and negotiating agreements with SCRRA and BNSF. This task includes the review of documents and attending meetings with the agencies. 7. Public Outreach P. 4 • Assist RCTC with providing public outreach services as outlined below: Prepare a Draft and Final Public Outreach Plan (POP) of outreach tasks, deliverables and key dates. • • 206 " " D e v e l o p , a n d u p d a t e a d a t a b a s e o f p r o p e r t y o w n e r s , t e n a n t s a n d k e y s t a k e h o l d e r s , i n c l u d i n g e l e c t e d o f f i c i a l s , c i t y a n d c o u n t y s t a f f , r e s o u r c e a g e n c i e s , b u s i n e s s e s , s c h o o l s , e m e r g e n c y r e s p o n d e r s , u t i l i t y p r o v i d e r s , a n d o t h e r i n t e r e s t e d p a r t i e s i n t h e R i v e r s i d e , M o r e n o V a l l e y a n d P e r r i s c o r r i d o r . " P r e p a r e a p r o j e c t n e w s l e t t e r , f o l l o w i n g R C T C ' s s t a n d a r d s . T h e n e w s l e t t e r w i l l b e p r e p a r e d i n E n g l i s h a n d S p a n i s h , d i s t r i b u t e d t o s t a k e h o l d e r s , a n d p o s t e d t o t h e p r o j e c t w e b s i t e . T h e p u b l i c a t i o n w i l l b e u p d a t e d o n a q u a r t e r l y b a s i s . " D e v e l o p a n d m a i n t a i n a p r o j e c t w e b s i t e , f o l l o w i n g R C T C ' s s t a n d a r d s . T h e w e b s i t e w i l l i n c l u d e m a p s a n d i n f o r m a t i o n a b o u t c o n s t r u c t i o n , s t a t i o n s , p r o j e c t s c h e d u l e , m e e t i n g i n f o r m a t i o n a n d o p p o r t u n i t i e s f o r f e e d b a c k a b o u t t h e p r o j e c t . " C o o r d i n a t e t h r e e p u b l i c i n f o r m a t i o n m e e t i n g s p r i o r t o t h e s t a r t o f c o n s t r u c t i o n . 8 . S u p p o r t B i d / A w a r d P r o c e s s R C T C ' s C o n t r a c t M a n a g e r w i l l m a n a g e t h e b i d d i n g p e r i o d a n d e v a l u a t i o n s , w i t h H D R a s s i s t i n g a s r e q u e s t e d t o p e r f o r m t h e v a r i o u s t a s k s , i n c l u d i n g t h o s e i d e n t i f i e d b e l o w . T h i s i s a n a l l o w a n c e i t e m , a s t h e s c o p e w i l l b e f u r t h e r d e f i n e d a s R C T C ' s C o n t r a c t M a n a g e r a s s e s s e s n e e d . A s s i s t R C T C i n c o m p i l i n g a n y p r e - q u a l i f i c a t i o n p a c k a g e s t o b e s e n t t o p r o s p e c t i v e b i d d e r s . A s s i s t R C T C i n p r e p a r i n g a n d r e s p o n d i n g t o c o m m e n t s f r o m p r e - b i d m e e t i n g s . B i d s E v a l u a t i o n - W h e n t h e b i d s a r e r e c e i v e d , A s s i s t R C T C w i t h t h e b i d r e v i e w , a d d r e s s i n g t h e f o l l o w i n g : " C o m p l i a n c e w i t h t h e c o n t r a c t d o c u m e n t s ; " R e v i e w i n c o n s i d e r a t i o n t h a t a l l e l e m e n t s o f t h e c o n t r a c t s c o p e a r e a d d r e s s e d ; " R e v i e w i n c o n s i d e r a t i o n o f o u t - o f - b a l a n c e b i d i t e m s o r a n y u n u s u a l i t e m s " V e r i f y t h a t t h e p r i c i n g a p p e a r s r e a s o n a b l e . M a k e a r e c o m m e n d a t i o n o f a w a r d t o t h e l o w e s t r e s p o n s i v e a n d r e s p o n s i b l e b i d d e r . A d v i s e R C T C ' s P r o j e c t M a n a g e r a s t o t h e t i m i n g f o r i s s u a n c e o f t h e N T P . B . P r o j e c t C o n t r o l s 1 . P r e p a r e P r o j e c t C o n t r o l s P l a n a n d F T A R e p o r t i n g P l a n P r e p a r e P r o j e c t C o n t r o l s P l a n a n d F T A R e p o r t i n g P l a n . T h e P l a n w i l l o u t l i n e t h e P r o j e c t C o n t r o l M a n a g e r ' s ( P C M ) r o l e i n t a k i n g t h e l e a d f o r t h e p r e - c o n s t r u c t i o n p r o j e c t c o n t r o l s t a s k s , i n c l u d i n g t h e m e r g i n g o f t h e C M , D e s i g n e r a n d R C T C c o s t s a n d s c h e d u l e i t e m s t o p r o d u c e a c o m p r e h e n s i v e s c h e d u l e a n d c o s t r e p o r t i n g s y s t e m . T h i s w i l l i n c l u d e s o f t w a r e u t i l i z e d , r e p o r t i n g f r e q u e n c y ( m o n t h l y a n d q u a r t e r l y ) a n d c o n t e n t s p e c i f i c f o r e a c h r e p o r t . T h e P r o j e c t C o n t r o l s P l a n w i l l b e p r e p a r e d i n a c c o r d a n c e R C T C ' s Q u a l i t y A s s u r a n c e P l a n a n d e l e m e n t s w i l l i n c l u d e c o s t f o r e c a s t i n g , t r e n d i n g a n a l y s i s , b u d g e t s , c o m m i t m e n t s , s c h e d u l e , d o c u m e n t c o n t r o l , a n d r e p o r t i n g p r o c e d u r e s . A l l o f t h i s w i l l r o l l u p i n t o t h e d o c u m e n t a t i o n f o r r e p o r t i n g t o F T A . W e w i l l m e e t w i t h R C T C a n d F T A r e p r e s e n t a t i v e i f a p p r o p r i a t e t o e s t a b l i s h t h e r e p o r t i n g r e q u i r e m e n t s . P . 5 2 0 7 2. Document Control Training/Plan Integration of Document Control System with all users Train and familiarize staff on the document control system (Infoworks) to be utilized on the project. RCTC will provide access to the system and software as well as training for staff. Initial training of HDR Team members will include Resident Engineer, Project Controls manager and Project Manager. 3. Review Schedule, Cost and Construction Phasing Strategy and Prepare Master Schedule • Schedule — During pre -construction, prepare a detailed cost loaded Primavera schedule that will be incorporated into a master program schedule, provided by the RCTC Program Manager. Manage the schedule throughout preconstruction and analyze the schedule impacts of design and management decisions. Recommend changes as required. Verify that design requirements and third party approvals will be incorporated into the schedule so that RCTC can have an accurate forecast of the anticipated commencement of construction. Review, evaluate and determine the critical path of the Project in the aforementioned cost -loaded Master Schedule. Recommend schedule contingencies to RCTC's schedule strategy. Cost - The Master Schedule will be used to create cash flow projections for the project. RCTC will provide cost data for all expenditures outside of the CM services and construction hard costs. Review the cost of each activity in the schedule and update monthly. The cash flow projections will then be communicated to the RCTC staff responsible for funding and managing the cash flow for the project. Tailor cost reports and cost coding system to coordinate with existing RCTC accounting methodologies. A WBS will be agreed upon to track costs. 4. Cost Risk Analysis (CRA) Conduct a cost risk analysis for the Perris Valley Line project. CRA Work Breakdown Sub -Task 0.1— Documentation Review and Internal Review Session The first step in the cost analysis consists of reviewing all existing project documentation, including: The baseline cost estimates; The baseline project schedule; Relevant technical reports or memoranda; Design drawings; and Others, as identified by the project team. A preliminary listing of risks is also developed under sub -Task 1.1, with assistance from the project team. Three categories P. 6 208 " " " o f r i s k s a r e t y p i c a l l y c o n s i d e r e d : B u d g e t r i s k s : r e f l e c t t h e u n c e r t a i n t y i n h e r e n t t o t h e e s t i m a t i o n o f p r o j e c t c o s t s ( a t a n y s t a g e o f d e s i g n ) a n d r e p r e s e n t t h e r i s k s t h a t t h e b u d g e t e l e m e n t s w i l l d e v i a t e f r o m t h e b a s e e s t i m a t e . E v e n t r i s k s : r i s k s o f i n t e m a l o r e x t e r n a t e v e n t s t h a t f o r c e t h e p r o j e c t t e a m t o w o r k b e y o n d t h e e s t i m a t e , j u s t t o m e e t t h e P r o j e c t S c o p e a n d S t a t e m e n t o f W o r k . E x a m p l e s i n c l u d e : e x t r e m e w e a t h e r , c o n t r a c t o r n o n - p e r f o r m a n c e , v a n d a l i s m a t c o n s t r u c t i o n s i t e , a r c h e o l o g i c a l f i n d i n g s , l a b o r i s s u e s s u c h a s s t r i k e s , o r u n d i s c o v e r e d u t i l i t i e s . S c o p e r i s k s : r i s k s o f s i g n i f i c a n t c h a n g e s t o t h e p r o j e c t s c o p e d u e t o e x t e m a l p r e s s u r e s . E x a m p l e s o f s c o p e r i s k s i n c l u d e : c o m m u n i t y p r e s s u r e s f o r c h a n g e s i n a l i g n m e n t o r s t a t i o n l o c a t i o n , o r u n f a v o r a b l e e n v i r o n m e n t a l a s s e s s m e n t r e p o r t l e a d i n g t o c h a n g e s t o t h e p r o j e c t d e s i g n . ' A r e v i e w s e s s i o n i s c o n d u c t e d i n t e m a l l y ( w i t h i n t h e r i s k t e a m ) t o d i s c u s s f i n d i n g s f r o m t h e d o c u m e n t a t i o n r e v i e w , e x p a n d a n d e d i t t h e l i s t i n g o f b u d g e t , e v e n t a n d s c o p e r i s k s a n d d e v e l o p m a t e r i a l f o r t h e p r e p a r a t i o n s e s s i o n ( s u b - T a s k 1 . 2 ) . T h e C o s t R i s k A n a l y s i s i s t y p i c a l l y i n i t i a t e d a t t h i s t i m e . T h i s p r o c e s s i n v o l v e s : - R e v i e w i n g s c o p e , s c h e d u l e a n d c o s t a s s u m p t i o n s b y i n d e p e n d e n t e x p e r t s ; E x p l i c i t l y i d e n t i f y i n g c o n t i n g e n c y a n d s e p a r a t i n g i t f r o m b a s e l i n e e s t i m a t e ; A s s e s s h i s t o r i c a l p r i c e f l u c t u a t i o n s f o r k e y p r o j e c t c o m p o n e n t s ; - D e v e l o p f o r e c a s t s f o r k e y p r o j e c t c o m p o n e n t s ; a n d I d e n t i f y a n d q u a n t i f y u n c e r t a i n t y i n b a s e l i n e c o s t e s t i m a t e s o v e r t h e p r o j e c t l i f e c y c l e . S u b - T a s k 0 . 2 - P r e p a r a t i o n S e s s i o n A p r e p a r a t i o n s e s s i o n w i l l b e h e l d i n e a r l y N o v e m b e r , s h o r t l y a f t e r p r o j e c t i n i t i a t i o n . T h e s e s s i o n i s f a c i l i t a t e d b y a m e m b e r o f t h e r i s k t e a m ( t h e r i s k l e a d ) . P a r t i c i p a n t s i n c l u d e m e m b e r s o f t h e p r o j e c t t e a m a n d o t h e r m e m b e r s o f t h e r i s k t e a m . T h e m a i n o b j e c t i v e s o f t h e p r e p a r a t i o n s e s s i o n a r e : - F o r t h e p r o j e c t t e a m t o g e t a c q u a i n t e d w i t h t h e r i s k a n a l y s i s p r o c e s s ; F o r t h e r i s k t e a m t o o b t a i n f i r s t - h a n d c o s t a n d s c h e d u l e i n f o r m a t i o n f r o m t h e p r o j e c t t e a m , a n d r e q u i r e c l a r i f i c a t i o n s o n a n y o f t h e d o c u m e n t a t i o n r e v i e w e d u n d e r s u b - T a s k 1 . 1 ; F o r t h e p r o j e c t a n d r i s k t e a m s t o j o i n t l y d e v e l o p a p r o j e c t f l o w c h a r t : a s i m p l i f i e d r e p r e s e n t a t i o n o f t h e p r o j e c t s c h e d u l e w h e r e p r o j e c t t a s k s a r e c o m b i n e d w i t h i n r e l a t i v e l y h o m o g e n o u s a c t i v i t i e s , a n d w h e r e d e p e n d e n c i e s a m o n g a c t i v i t i e s , a n d t h e p r o j e c t ( m o s t ) c r i t i c a l p a t h , a r e h i g h l i g h t e d . P . 7 2 0 9 The flowchart is reviewed subsequently by the entire risk team, and finalized during the risk analysis workshop (sub-4111 TASK 1.4). It is used, among other things, to allocate event risks to specific activities and to estimate the impact of those risks on the baseline project completion date. It is also used to distribute (allocate) project costs over time and estimate cost escalation, with and without project delays. Sub -Task 0.3 - Develop Simulation Model A customized cost and schedule simulation model will be developed under this task. The model will be, in large part, structured around the (preliminary) project flowchart created during the preparation session. The model will employ Monte Carlo simulation techniques to combine the risks identified under sub -Tasks 1.1 and 1.2 and produce probability distributions for total project costs and project completion date? Sub -Task 0.4 • Conduct Risk Analysis Workshop Facilitate a risk analysis workshop to review, discuss, and refine all baseline cost estimates, scheduling assumptions, risk factors and proposed mitigation strategies. The workshop will be conducted over 3 days, and facilitated by the risk lead. Participants to the workshop include members of the risk team, the cost lead, various Subject Matter Experts (engineers, planners, developers, construction economists, etc.), and selected members of the project team. The main objectives of the workshop are to: Provide an overview of the Cost Risk Assessment process and develop a common understanding among workshop• participants regarding purpose, assumptions and outcomes; Provide an overview of the project. This sub task is typically led by a member of the project team. Review and validate the project baseline schedule and baseline cost estimates. Review and quantify all risk factors and their implications in terms of cost and/or schedule; and Identify, discuss, and quantify mitigation strategies for key project cost and schedule risks. During the session, the cost and schedule risks are entered into a risk register. The register combines information on the nature of the risk (a brief description of the event or scope change), its probability of occurrence, its cost and/or schedule impact (expressed as a probability distribution), and the activities potentially impacted. Sub -Task 0.5 - Produce Risk -Adjusted Cost and Schedule Estimates The outcomes of the risk analysis include: P. 8 210 Detailed probable cost and schedule outcomes arrayed against their respective probability of occurrence (i.e., a full probability distribution for total project costs, and expected completion date) The identification of key risk factors and their estimated impact on project costs and schedule The identification of mitigation strategies and their estimated impact on project costs and schedule — An estimate of the expected cash flow requirements through the end of the project. Sub -Task 0.6 — Presentation of Preliminary Results The results of the risk analysis will be summarized in a PowerPoint presentation and distributed for review and comments. Members of the risk team will present and discuss the findings with the project team via a telephone conference call. Sub -Task 0.7 - Follow-up, Updates and Reporting A draft final and final report will be developed after presentation of the preliminary results. The final report will include: — An introduction with an overview of the project and project objectives; — A description of the project flowchart, and simulation scenarios (if any); A summary of key modeling assumptions; A presentation and discussion of the simulation results (including cost and schedule probability distributions, tornado charts and cash flow requirement charts); Appendices providing supporting material (summary of base cost validation, base schedule durations, risk register, list of workshop attendees, etc.) C. Quality Assurance 1. Construction Manager QA/QC Plan The QAP outlines the overall quality program for all public transportation services that fall under the jurisdiction of the RCTC. As such, any entity contracted by the RCTC must perform its work in accordance with the RCTC Quality Assurance Plan (QAP). The Perris Valley Line Quality Assurance Plan (PVL QAP) will be a standalone document and is intended to establish a well structured and systematic approach to verify that expected and accepted levels of quality are reached throughout the project duration. The plan will be developed in accordance with the RCTC QAP, Federal Transit Authority (FTA) "Quality Assurance and Quality Control Guidelines, FTA-MA-06-0189-92-1", as well as Ca!trans-Local Assistance Procedures Manual (LAPM), Chapter 16 — Administer Construction Contracts, Section 14 — Quality Assurance Program for FHWA funded local agency projects. The PVL QAP will outline responsibilities for the CM Team to perform QA audits on the contractor and RCTC will be performing QA over the CM services. P. 9 211 The PVL QAP will include the following 15 key elements: 1. Management Responsibility 2. Documented Quality Systems 3. Engineering Control 4. Document Control 5. Purchasing 6. Product Identification and Traceability 7. Process Control 8. Inspection and Testing 9. Inspection, Measuring and Test Equipment 2. Constructability Analysis at 90% Design Completion 10. Inspection and Test Status 11. Non -Conformances 12. Corrective Actions 13. Quality Records 14. Quality Audits 15. Indoctrination and Training Identify problems and provide detailed and meaningful solutions to help deliver a complete, cohesive and constructible set of contract documents. A review team will be established, consisting of multiple team members, including transit rail design and construction engineers and technical specialist s to review all aspects of the contract documents from a construction perspective. A kick-off meeting with HDR team and RCTC to discuss scope of work and schedule requirements, and leam as much as possible regarding key project issues, constraints and requirements, special areas of focus, and any future significant changes RCTC is planning for the next submittal. Perform a detailed review of the contract documents available at this design stage. Pay particular attention to freight staging, right-of-way issues, and potential utility conflicts. Review the existing site conditions with the contract documents to verify site access, parking, lay down areas, temporary utility requirements and other issues related to the efficient utilization of the construction sites. Site visits will identify potential contract provisions for legal access to the site along the entire corridor. Particular attention will be paid to the dust and erosion control issues and neighborhood impacts during the construction phase. Site visits will accomplish the following: • Visit the mainline right of way and each facility site location to evaluate the provisions in the contract documents relating to these issues. • Review the construction limits of each site. Evaluate the Location of potential team jobsite offices and parking with the goal of minimizing relocations and maximizing communication during construction. • Consider traffic patterns for access to the site for impact on the surrounding neighborhood. • Evaluate the adequacy and potential location of temporary utilities. • Identify potential areas for storage of long lead items, parking and material storage. • Review historical records of utilities from RCTC and compare with drawings and field conditions. Become familiar with the easement agreements and conditions. Assist in monitoring relocation prior to construction. • Review RCTC provided survey data and ROW mapping. Field survey verification can be provided but is not included in the scope at this time for preconstruction. Formulate recommendations to RCTC to for revisions to the contract documents reviewed. Prepare a "Site Access Map", providing a schematic drawing of all access points in relation to major street crossings. All the above data will be compiled P. 10 • 212 FD3. • and reviewed with the FOR and ROTC to determine whether to make revisions to the bid documents. • Check the plans for consistency between the various disciplines of work; verify that the work shown in the plans is covered by a contract bid item and specification; identify potential conflicts with adjacent projects; and verify that the construction details appear to be complete and biddable. Provide detailed comments and recommendations to RCTC and the FOR in a comment review form spreadsheet and be accompanied by red -lined plans and specifications. Summarize the findings in a letter report that describes the documents that were reviewed, and our major findings and recommendations. A follow-up meeting will be conducted to discuss the issues and answer any questions. Construction Phasing - Discussions have occurred to date between RCTC and BNSF to determine construction phasing that will allow efficient construction operations with the least impact to the BNSF freight service. The Master Schedule will reflect the sequencing discussed between the parties to date. 3. Perform 90% Design Review and Compliance at 100% A review team will be established, consisting of multiple team members with both specialized and multi -disciplinary experience in commuter rail transit design, including construction engineers, systems engineers and civil/track engineers to review all aspects of the contract documents from a design and construction perspective. Schedule and manage a kick-off meeting with HDR team, the design team, and RCTC to review the design criteria (SCRRA) and project details; discuss scope of work and schedule requirements, constraints and requirements, special areas of focus, and any future significant changes the FOR is planning for the next submittal. Utilize experienced design engineers familiar with SCRRA standards. Provide design comments to RCTC design engineers and engineer or record. Schedule and manage a meeting with them to resolve and discuss issues. Review 100% design drawings to confirm that 90% comments have been addressed. No check of calculations is anticipated at this time, but can be completed if requested. 4. Review 90% Cost Estimate and Provide Final Detailed Cost Estimate at 100% Review and comment on the construction cost estimate that has been prepared by RCTC Program Manager from the 90% design documents. A detailed independent cost estimate will be provided. S. Conduct Pre -Condition Survey Review survey documentation obtained from RCTC to check horizontal and vertical project control, right of way maps, legal descriptions and plats, design files, and improvement plans as they pertain to the project. Recover and verify project survey control. Nominal hours will be used by survey crew to verify conditions during the constructability review. P. 11 213 ID: 6. Provide Inspection for Pre -Construction Utility Relocation Work Provide QA inspection to verify that utilities are relocated beyond the limits of planned improvements and that new. connections to be established prior to contractor mobilization are constructed per the contract requirements. As -built drawings documenting all work performed during this phase will be created and made readily available for use by the project team during construction. Review utility matrix, utility agreements and other supporting documents provided by RCTC. D. Environmental 1. Construction Environmental Control Plan As part of the pre -construction activities, prepare a Construction Environmental Control Plan (CECP). Review RCTC's Mitigation Monitoring and Reporting Plan prior to developing the CECP. Outline the monitoring and surveying required for biological, paleontological, archaeological and other environmental issues to verify construction activities are conducted in accordance with applicable environmental requirements as outlined in the CEQA and NEPA document for the project and current regulatory requirements. RCTC will provide a mitigation monitoring and reporting plan for HDR's use, anticipated for sometime in August 2010. Specific issues to address in the CECP include 1) Archeological and paleontological monitoring during ground -disturbing activities of depths of four feet or more, including • work at various station locations, the Citrus Connection, and the Layover Facility; 2) Archeological monitoring of all work between MP 3.50 and MP 4.50, and MP 5.60 and MP 6.50; 3) Monitoring requirement resulting from permit conditions of resource agencies; 4) Standard stormwater quality monitoring; 5) Preconstruction surveys for endangered bird species; 6) Condition that no work be performed in the Box Spring Canyon Reserve during the bird nesting season, and at all other locations vegetation clearing must occur outside of the bird nesting season; and 7) Verification of NEPA/CEQA mitigation for noise in Riverside residential area, requiring construction of soundwalls along property boundaries. Other considerations include handling of hazardous materials, traffic impacts, noise impacts and air quality issues. Environmental permits will be assessed and monitoring activities required will be listed in the plan, including the 401 permit from the Regional Water Quality Control Board, the 404 permit from the Army Corps of Engineers and the 1600 Agreement with California Department of Fish and Game (conceming the Lake and Streambed Alteration Agreement P.12 214 Task 1.5 Final CECP Based upon comments from RCTC, we will finalize the CECP to produce a final document. Assumes 20 hard copies (in binders) and 1 electronic copy of the final report. 2. Environmental Survey Verify that site conditions continue to reflect conditions identified during planning for environmental issues. Confirm the presence or absence of sensitive biological resources. Provide preconstruction surveys for the following species: • Burrowing owls • Southwestern willow flycatchers • Least Bell's vireos • Califomia gnatcatchers • Yellow -billed cuckoos • Nesting bird surveys per the Migratory Bird Treaty Act • Western Spadefoot Toad (San Jacinto River Bridge and Overflow Channel area) Additional sensitive species can be addressed, as needed, based upon the outcome of the CEQAINEPA documents and recommended mitigation measures. The preconstruction surveys may also reveal additional sensitive species surveys are warranted. All biological resources work will be carried out by individuals who hold required California and Federal permits to work with these and other species that may become relevant to the project. Adhere to USFWS or other adopted protocols. Based upon the results of the preconstruction surveys, identify additional protection or avoidance measures to minimize potential impacts to sensitive species. This information will be provided to the Engineer of Record for their use in finalizing the contract documents and requirements of the contractor. Coordinate the environmental monitoring team throughout the duration of the project. Task 1 PRE -CONSTRUCTION SURVEYS Task 1.1 Rail Safety Training for Environmental Monitoring Team P. I4 This task covers rail safety training for all monitoring staff. HDR assumes training of up to 16 people (one 8-hour day to cover training and travel) so we have multiple team members that can rotate into the monitoring. While this training is required annually, we have budgeted for one training cycle, with the assumption that the second year training would occur concurrent to monitoring Task 1.2 Biological Resource (Pre -Construction) Task 1.2.1 Burrowing Owl (BUOW) Preconstruction survey 216 " " T h i s t a s k a s s u m e s a p r e - c o n s t r u c t i o n B U O W s u r v e y i s r e q u i r e d a l o n g t h e e n t i r e p r o j e c t c o r r i d o r . K l e i n f e l d e r w i l l h a v e p e r f o r m e d a h a b i t a t a s s e s s m e n t ( i n c l u d i n g a p p r o p r i a t e b u f f e r s ) a s p a r t o f t h e b i o l o g i c a l r e s o u r c e s s u p p o r t f o r t h e E I R p r e p a r a t i o n a n d t h e a s s e s s m e n t c o v e r s t h e p r o j e c t i m p a c t a r e a a n d a p p r o p r i a t e b u f f e r a r e a r e q u i r e d b y t h e w i l d l i f e a g e n c i e s . N o i n c l u d e d b u d g e t t o c o n d u c t a h a b i t a t a s s e s s m e n t f o r a n y p o r t i o n o f t h e p r o j e c t c o r r i d o r i s a s s u m e d . D u e t o t h e p h a s e d c o n s t r u c t i o n p r o c e s s a n d s i z e o f t h e s i t e , 8 p r o t o c o l s u r v e y s h a v e b e e n b u d g e t e d . T h e t a s k i n c l u d e s a s u r v e y o f a r e a s f o r p o t e n t i a l b u r r o w s , a n d 4 f o l l o w u p s u r v e y s f o r o w l s i n a r e a s w i t h p o t e n t i a l b u r r o w s t o s e e i f t h e y a r e b e i n g u s e d . W i t h r e g a r d t o t h e t i m i n g o f t h e p r o t o c o l s u r v e y s , n o t i f i c a t i o n a t l e a s t 4 5 d a y s p r i o r t o c o n s t r u c t i o n c o m m e n c i n g i n a n a r e a t h a t r e q u i r e s s u r v e y s i s n e c e s s a r y . T h i s p r o v i d e s t h e 3 0 d a y s n e e d e d t o c o n d u c t t h e s u r v e y s , a s w e l l a s a t w o - w e e k t i m e f r a m e t o m o b i l i z e t h e b i o l o g i s t s . P l e a s e s e e t h e a t t a c h e d b u d g e t s p r e a d s h e e t f o r t h e c o s t t o c o n d u c t t h e p r e c o n s t r u c t i o n s u r v e y . M i t i g a t i o n f o r b u r r o w i n g o w l s w i t h i n 5 0 m e t e r s o f t h e p r o j e c t s i t e w i t h o u t 6 . 5 a c r e s o f f o r a g e h a b i t a t t y p i c a l l y c o n s i s t s o f a c o m b i n a t i o n o f a v o i d a n c e a n d i f n e c e s s a r y r e l o c a t i o n o f t h e b u r r o w o u t s i d e o f t h e b r e e d i n g s e a s o n . A t t h e t i m e t h i s s c o p e o f w o r k w a s p r e p a r e d , t h e p r o j e c t i s i n t h e D r a f t E I R s t a g e a n d t h e s p e c i f i c B U O W m i t i g a t i o n p l a n h a s n o t y e t b e e n p r e p a r e d , n o r i s i t p o s s i b l e t o e s t i m a t e t h e n u m b e r o f o w l s w h i c h m a y r e q u i r e m i t i g a t i o n . T h i s t a s k i n c l u d e s a n a d d i t i o n a l 8 0 h o u r s ( b e y o n d t h e s u r v e y e f f o r t n o t e d a b o v e ) t o i m p l e m e n t m i t i g a t i o n e f f o r t s s h o u l d b u r r o w i n g o w l s b e f o u n d o n t h e p r o j e c t s i t e . I f a d d i t i o n a l m i t i g a t i o n s u p p o r t b e y o n d t h e 8 0 h o u r s i s n e e d e d , a n a m e n d e d s c o p e o f w o r k w o u l d b e n e e d e d p r i o r t o i n i t i a t i n g t h e a d d i t i o n a l m i t i g a t i o n s u p p o r t . T a s k 1 . 2 . 2 E n v i r o n m e n t a l W o r k e r A w a r e n e s s T r a i n i n g P e r M i t i g a t i o n M e a s u r e s o f D E I R B R - 1 , p r e p a r e a p o w e r p o i n t p r e s e n t a t i o n t o e d u c a t e t h e c o n s t r u c t i o n c r e w o n t h e b i o l o g i c a l r e s o u r c e i s s u e s o n t h e s i t e . C o n d u c t o n e l a r g e t r a i n i n g s e s s i o n a t t h e s t a r t o f t h e c o n s t r u c t i o n p h a s e . T h e p r e s e n t a t i o n w i l l a l s o u s a b l e i n a p r i n t e d f o r m a t t h a t c a n b e p r e s e n t e d i n t h e f i e l d t o s m a l l g r o u p s b y t h e m o n i t o r s a s t h e p r o j e c t c o n t i n u e s . H e l m e t s t i c k e r s w i l l b e p r o v i d e d f o r t h o s e w h o a t t e n d t h e c o u r s e R C T C w i l l p r o v i d e a l o c a t i o n f o r t h e l a r g e t r a i n i n g . P h a s e 2 : C o n s t r u c t i o n P h a s e S e r v i c e s A . M a n a g e m e n t / C o o r d i n a t i o n 1 . C o n f e r e n c e s / M e e t i n g s P r o j e c t M a n a g e r , R e s i d e n t E n g i n e e r , a l l t e c h n i c a l l e a d s , a n d t h e L a b o r C o m p l i a n c e O f f i c e r w i l l a t t e n d t h e p r e - c o n s t r u c t i o n c o n f e r e n c e . S c h e d u l e a n d l e a d t h e p r e - c o n s t r u c t i o n m e e t i n g . C o m p i l e a l i s t o f t h e a p p r o p r i a t e m u n i c i p a l i t i e s , f i r e , l i f e s a f e t y , a n d l a w e n f o r c e m e n t a g e n c i e s , t h e a p p r o p r i a t e u t i l i t y c o m p a n i e s a n d o t h e r a p p l i c a b l e p a r t i e s a n d p r e p a r e t h e a g e n d a . W e e k l y s a f e t y m e e t i n g s w i l l b e h e l d o n t h e p r o j e c t b y b o t h t h e c o n t r a c t o r a n d t h e C M T e a m . A t t e n d b o t h m e e t i n g s t o v e r i f y t h a t s a f e t y i s h e l d a s t h e h i g h e s t p r i o r i t y o n t h e p r o j e c t . W e e k l y p r o g r e s s m e e t i n g s w i l l b e h e l d w i t h t h e c o n t r a c t o r . P r e p a r e t h e a g e n d a s , i n c l u d i n g r e v i e w o f t h e p r o j e c t P . 1 5 2 1 7 schedules, a summary of submittals, RFI's, and Non Conformance Reports (NCR's) — indicating status, old business not • yet resolved, and new issues that require follow-up. Schedule, lead and/or attend meetings with local agencies, utilities, community groups, or other entities that RCTC believes would be useful in communicating the progress or intentions of the contractor on the project. The contractor will be required to submit work plans for critical work elements. Hold a pre -work meeting to review the approved work plan and discuss any concems to verify that risk points have been addressed and that a backup plan is in place to implement, should it become necessary. 2. Public Affairs Provide Public Affairs assistance for the HDR team and outreach activities for PVL, including: Task 2.1: Public Outreach Plan In coordination with RCTC, implement the Public Outreach Plan (POP) developed in the pre -construction phase. Task 2.2: Stakeholder Database Update the stakeholder database at regular intervals and provide to RCTC upon request. Task 2.3: Prolect Newsletter Prepare a project newsletter, following RCTC's standards. The newsletter will be prepared in English and Spanish, distributed to stakeholders, and posted to the project website. The publication will be updated on a quarterly basis. Task 2.4: Proiect Website Establish and maintain a project website, following RCTC's standards. The website will include maps and information about construction, stations, project schedule, meeting information and opportunities for feedback about the project. Task 2.5: Proiect Heloline Maintain a toll -free project helpline in English in Spanish to allow callers to ask questions and receive updates about construction activity and public meetings. Calls will be documented in an inquiry log and relayed to the technical team to alert them of concems or other issues. Retum helpline calls within one business day. Task 2.6: Ground -Breaking and Ribbon -Cutting Ceremonies Coordinate ground -breaking and ribbon -cutting ceremonies to mark these project milestones. An overall ground -breaking event will be held for the project, followed by three station grand opening ceremonies and two overall ribbon -cutting P. 16 • 218 ceremonies. Activities will include site selection, logistics, notification, planning the flow of events and speakers, preparing printed programs, staffing, refreshments, photography, equipment rentals and commemorative items. Task 2.7: Construction Alerts Prepare and disseminate Construction Alerts in English and Spanish, using a variety of outreach methods, including email, US mail, website postings, and use of RCTC's Twitter account. Task 2.8: Response/Monitoring of Project Inquiries Respond to, document and resolve project inquiries received via the website, helpline, in person, and during meetings. All inquiries will be documented in a public inquiry log and presented to RCTC and the construction team. Responses to frequent inquiries may be incorporated into the project newsletters. Task 2.9: Organizational Updates Arrange updates to City Councils and Chambers of Commerce for Riverside, Moreno Valley, and Perris, as well as to the UCR Campus Planning Division, prior to the start of construction and on an annual basis. A PowerPoint presentation will be prepared to support these briefings, and the outreach team will schedule the briefings and provide technical support during the presentations. Task 2.10: Business/School/Neighborhood/Commuter Outreach Facilitate outreach to businesses, schools, neighborhoods and commuters via visits to area businesses, UCR, neighborhood groups, and other major stakeholders to relay project information, answer questions, and leam the best way to communicate with these affected parties. Commuters will be reached through construction signage with the project helpline, website, and Twitter account printed on signs. Task 2.11: Team Coordination Participate in team coordination meetings, project kickoff meetings and weekly construction progress meetings to ensure close coordination with RCTC, and the construction team. Develop a database of project stakeholders • Prepare a bi-lingual project fact sheet/newsletter and website • Establish a toll -free project helpline in English and in Spanish Coordinate three public information meetings prior to the start of construction — one each in Riverside, Moreno Valley, and Perris. • Coordinate and participate in weekly construction progress meetings. • Prepare and disseminate traffic advisories in English and Spanish, using a variety of outreach methods, including email, US mail, newspapers and radio updates, and Twitter. • Document inquiries, response and resolution of construction inquiries received via the website, helpline, in P. 17 219 person, and during meetings. • Coordination of project ground -breaking and ribbon -cutting ceremonies. • Update annually the City Councils and Chambers of Commerce for Riverside, Moreno Valley, and Perris, March Air Force Base, as well as UCR Campus Planning Division. • Business/school/neighborhood/commuter outreach. 3. Partnering Conferences Project Manager, Resident Engineer, all technical leads, and key staff will participate in Partnering sessions with members of RCTC, as well as contractors key personnel 4. Coordinate Construction Issues with Local Agencies Coordinate construction issues with local agencies by communicating the PVL schedule, including contractor weekly and monthly updates, and clarifying the construction activities which would be of concern to those agencies, such as weekend closures for work on grade separations, traffic detours and business access. Potential impacts to traffic, public safety, public services, community events, schools, businesses, emergency services, other construction projects, the environment, and other quality of life issues will be discussed ahead of construction. Identified affected local agencies include departments of the City and County of Riverside, the City of Perris, Caltrans, SCRRA, BNSF, and the March Joint Powers Authority. S. Construction Safety and Security The contractor will be responsible for developing their own safety and security plan that is appropriate for the work contemplated along the rail corridor, the city street crossings and the stations. This plan will be submitted to the owner. Review the plan for compliance with the Contract Documents, the RCTC safety plan and expected operations. The contractor is responsible for complying with the safety requirements, and discrepancies will be brought to their attention for appropriate changes. Monitor all operations on the project, document incidents and take appropriate actions to discuss them with the contractor. Accidents will be recorded in daily reports and reports generated by law enforcement or regulatory agencies or the railroad will be collected for the project files 6. Contractor/Subcontractor Lien Releases Track, analyze, and report to RCTC regarding the filing of any Preliminary Lien Notices, Stop Work Notices and Lien Releases by the Project's subcontractors and vendors. Verify that the contract requires the contractor provide RCTC with both "release of lien" documentation and liens filed as work is completed, or the Project nears completion. Stop Work Notices will be addressed at weekly progress meetings to address any issues with lack of payment to subcontractors and vendors. Provide RCTC with a spreadsheet identifying liens and releases. P. 18 220 7. Contractor Insurance The Contractor will provide a list of subcontractors, which the CM will use to determine if insurance and bonding forms have been submitted in conformance with the contract. Provide speck files for tracking these insurance requirements. 8. Labor Compliance and Disadvantaged Business Enterprise (DBE) Monitoring: Verify that documents required are initiated, processed, and maintained. Monitor the contractor's compliance with prevailing wages under state and/or federal laws by providing the following services: • Attend and conduct labor compliance portion of a pre -job -conference. • Provide Prevailing Wage Training Seminar to Prime, subcontractors and staff • Review of certified payrolls submitted by prime and subcontractors. • Review correlation of payrolls and extra work billing. • Review placement of posters by Contractors. • Review submitted data and make recommendations to the Resident Engineer regarding possible deductions due to violations and discrepancies. • Conduct preliminary investigations of apparent violations. • Conduct, review and follow-up on field interviews. This generally will consist of two interviews per trade per month. • Conduct site audits quarterly. • EEO: Monitor goals and timetable for minority and female participation and Conduct preliminary investigations on complaints. B. Project Controls I. Progress Management Utilize the agreed upon electronic document control system to file and manage all correspondence, submittals, shop drawings, permits, costs and other schedule sensitive issues. Should a conflict be identified in the field, identify the conflict and provide recommendations to mitigate said conflict. Discuss with RCTC all changes anticipated by the CM team. Coordinate with the designer of record and RCTC before issuing a change order. Assist with the management of, and communication with, third parties along the alignment, including SCRRA, BNSF, property owners, and outside agencies including the Cities of Perris and Riverside, Riverside County, March Air Force Base, and Moreno Valley. Include the various utility companies that have facilities and/or infrastructure adjacent to or crossing the alignment. P. 19 221 Work with the contractor with the goal of obtaining an approved baseline schedule early in the project. This baseline schedule will provide a platform from which progress and impacts can be measured throughout construction. The CPM schedule monthly updates to the baseline schedule will be reviewed within the timeframes allotted in the contract specifications. Work with the contractor and our staff to identify opportunities to recover the slippage in schedule. Develop a list of required submittals, including shop drawings, from the contract documents and project specifications, and require the contractor to do the same. The two lists will be compared against each other to verify that both parties are in agreement as to the submittal requirements. These will all be managed within the electronic document control system, which will allow generation of reports indicating outstanding submittals and contract documents that require processing. Verify that the contractor includes activities and durations for submittal review and approval for all significant submittals. The activities will be required to be included on the schedule for all significant procurements, especially long -lead items such as grade crossing panels and equipment, communication, and station electrical components. Work with RCTC and the FOR to determine which submittals will be reviewed by which party. Provide RCTC with a Monthly Project Status Report for the project as a whole. Meet with RCTC's Project Manager to agree on the items to be included in this report. Information will include progress reports for major elements of the Project, engineering and contract administration issues, costs expended versus costs projected, an updated contingency balance, contractors progress versus time expended, and schedule updates. Any schedule slippage will be identified, as well as schedule recovery strategies proposed by the contractor. 2. Document Control • Work with RCTC Project Management staff and the FOR in selecting a Document Control System (DCS) that meets the • project needs and is capable of adding any necessary file categories to manage the document flow and contract. FTA and State guidelines will be followed, and agency requirements met Provide consistency of document processing including: • Document I.D.— contract number, date in, source • Subject/File code assignment • Document tracking • Document distribution • Records storage and retrieval Provide training and assistance to all field office staff relative to correct and timely document processing. The document control procedures will be formalized in the Project Procedures Manual. All records will be properly securedin controlled computer storage with appropriate back-up systems. Backup files will be saved electronically and stored offsite. Hard copy files will be kept at the construction office. Documents will be scanned, coded and filed in both the hard copy file as well as electronically.. P. 20 222 " " " D e v e l o p a m a t r i x t h a t d e s c r i b e s t h e w o r k f l o w f o r a l l p r o j e c t d o c u m e n t s . 3 . P r o g r e s s P a y m e n t s U n i t r a t e i t e m s a r e m e a s u r e d b y t h e f i e l d i n s p e c t i o n s t a f f a s t h e w o r k p r o g r e s s e s . T h e s e f i e l d m e a s u r e m e n t s a r e r e c o r d e d i n t h e i n s p e c t o r d a i l y r e p o r t s a n d o n s e p a r a t e Q u a n t i t y S h e e t s f o r e a c h s p e c k B i d I t e m . L u m p s u m i t e m s , w i t h S c h e d u l e s o f V a l u e s , i n F T A f o r m a t , w i l l b e t r a c k e d a g a i n s t t h e p r o g r e s s i n t h e f i e l d a n d t h e i n d i v i d u a l t a s k s u p d a t e d a s a p p r o p r i a t e . W h e n t h e C o n t r a c t o r s u b m i t s i t s m o n t h l y r e q u e s t , t h e i n s p e c t o r s p r o v i d e t h e Q u a n t i t y S h e e t s f o r t h a t p e r i o d . T h e i n s p e c t o r s a n d t h e o f f i c e e n g i n e e r s t h e n r e v i e w t h e q u a n t i t i e s r e q u e s t e d b y t h e C o n t r a c t o r a g a i n s t t h e Q u a n t i t y S h e e t s a n d S c h e d u l e o f V a l u e s . A m e e t i n g m a y o c c u r b e t w e e n t h e C M s t a f f a n d t h e C o n t r a c t o r t o d i s c u s s a n y d i s c r e p a n c i e s b e t w e e n t h e q u a n t i t y s u b m i t t e d o n t h e p a y r e q u e s t b y t h e C o n t r a c t o r a n d t h e C M ' s Q u a n t i t y S h e e t s . T h e a p p r o v e d m o n t h l y p r o g r e s s p a y r e q u e s t p a c k a g e w i l l i n c l u d e Q u a n t i t y S h e e t s t h a t s u p p o r t t h e q u a n t i t i e s s h o w n f o r t h e p e r i o d a n d t o d a t e . 4 . C o s t M a n a g e m e n t P r o v i d e c o s t m a n a g e m e n t t h r o u g h t r a c k i n g p r o j e c t a l l o c a t i o n s f r o m t h e b e g i n n i n g o f t h e p r o j e c t u s i n g o u r C o s t t o C o m p l e t e T r e n d S y s t e m a s d e s c r i b e d l a t e r . I n p u t a l l c u r r e n t c o s t s , t r a c k c h a n g e s a n d p o t e n t i a l c h a n g e s a n d l o o k a t t h e e f f e c t e a c h h a s o n t h e o v e r a l l b u d g e t . P r o v i d e t h e a b i l i t y t o s e g r e g a t e c o s t s , u s i n g a u n i q u e W B S i d e n t i f i c a t i o n s y s t e m , t o p r o v i d e R C T C w i t h a s u m m a r y o f r e l e v a n t c o s t s a s w e l l a s v a r i o u s f u n d i n g s o u r c e s . C o s t r e p o r t s w i l l b e p r o v i d e d t o s u p p o r t t h e M o n t h l y P r o j e c t S t a t u s R e p o r t a n d t h e Q u a r t e r l y F T A P r o j e c t S t a t u s R e p o r t s . 5 . C o s t E n g i n e e r i n g / E s t i m a t i n g I m p l e m e n t a C o s t t o C o m p l e t e T r e n d S y s t e m t h a t f o r e c a s t s t h e k n o w n c o s t s ( b i d i t e m s a n d a p p r o v e d c h a n g e o r d e r s ) a n d p o t e n t i a l c o s t s ( p o t e n t i a l c h a n g e o r d e r s , p o t e n t i a l c l a i m s , a n d d i s p u t e s ) o f c o n s t r u c t i o n t h r o u g h c o m p l e t i o n o f t h e p r o j e c t . T h e c o s t t o c o m p l e t e w i l l b e u p d a t e d m o n t h l y a n d i n c l u d e d i n t h e m o n t h l y p r o g r e s s r e p o r t t o R C T C . O n c e a c h a n g e i s i d e n t i f i e d , d e t e r m i n e t h e s c o p e o f t h e c h a n g e a n d p r o d u c e a n I n d e p e n d e n t C o s t E s t i m a t e ( I C E ) f o r t h e c h a n g e . T h e I C E w i l l c o n s i s t o f a d e t a i l e d e s t i m a t e o f t h e h o u r s a n d c o s t s a s s o d a t e d w i t h t h e m a t e r i a l s , l a b o r a n d e q u i p m e n t f o r i t e m s o f w o r k t h a t a r e a f f e c t e d b y t h e m o d i f i c a t i o n s , i n c l u d i n g m a r k u p s o u t l i n e d i n t h e c o n t r a c t d o c u m e n t s . F o r a n y c h a n g e t h a t m i g h t m a t e r i a l l y a f f e c t t h e c o s t b a s i s o f a n i t e m , g e n e r a l l y e i t h e r 2 5 � % a b o v e o r b e l o w t h e e n g i n e e r ' s e s t i m a t e , d a i l y r e p o r t s w i l l b e a s s e s s e d a n d a c t u a l c o s t o f p r o d u c t i o n w i l l b e d e t e r m i n e d i n t h e c a s e o f a d j u s t m e n t s b e i n g w a r r a n t e d . E a c h p o t e n t i a l c h a n g e o r d e r c o s t i s i n c l u d e d i n t h e P r o j e c t C o s t t o C o m p l e t e T r e n d S y s t e m . 6 . S u b m i t t a l s , N o n C o n f o r m a n c e R e p o r t s , a n d R F I s R e v i e w s u b m i t t a l s f o r c o m p l i a n c e , q u a l i t y a n d c o m p l e t e n e s s b e f o r e p r o c e s s i n g t h e m f o r r e v i e w b y t h e E n g i n e e r o f R e c o r d ( E n g i n e e r ) o r a C M T e a m m e m b e r , a s a p p r o p r i a t e a n d a g r e e d u p o n b y a l l p a r t i e s 6 0 d a y s p r i o r t o c o n s t r u c t i o n c o n t r a c t N T P . C o p i e s o f s p e c i f i c s u b m i t t a l s f o r r e v i e w w i l l b e p r o v i d e d t o R C T C s t a f f a s d e t e r m i n e d d u r i n g t h e p r e c o n s l r u c t i o n p h a s e . T h e s u b m i t t a l r e v i e w p r o c e s s w i l l b e t r a c k e d a n d t h e s t a t u s r e p o r t i n c l u d e d i n t h e w e e k l y c o n s t r u c t i o n m e e t i n g . P . 2 t 2 2 3 " I f t h e c o n t r a c t o r i s r e q u e s t i n g t i m e i m p a c t s , a T i m e I m p a c t A n a l y s i s ( T I A ) w i l l b e r e q u i r e d t o b e s u b m i t t e d . R e v i e w t h e T I A f o r p r o p e r l o g i c t i e s a n d i f w a r r a n t e d , a d d i t i o n a l t i m e w i l l b e g r a n t e d i n t h e c h a n g e o r d e r a n d t h e c o n t r a c t o r w i l l u p d a t e t h e p r o j e c t s c h e d u l e t o r e f l e c t s a i d c h a n g e . S h o u l d t h e c o n t r a c t o r f i l e a n o t i c e o f p o t e n t i a l c l a i m , p e r f o r m t h e f o l l o w i n g 1 ) A n a l y z e t h e p o t e n t i a l c l a i m a n d e x a m i n e t h e f a c t s o f t h e i s s u e t o d e t e r m i n e i f t h e c l a i m h a s m e r i t ; 2 ) T a k e t i m e l y a c t i o n t o r e s p o n d t o t h e p o t e n t i a l c l a i m . D e n y R F C s t h a t a r e d e t e r m i n e d , i n c o n j u n c t i o n w i t h R C T C , t o h a v e n o m e r i t v i a a d e t a i l e d r e s p o n s e l e t t e r t o t h e C o n t r a c t o r o u t l i n i n g w h y t h e i r p o t e n t i a l c l a i m d o e s n o t h a v e m e r i t . I s s u e a c o n t r a c t c h a n g e o r d e r i f t h e c l a i m h a s m e r i t . T r a c k t h e c o n t r a c t o r s ' c o s t s i n t h e f i e l d o n a t i m e a n d m a t e r i a l s b a s i s f o r a n y o n g o i n g w o r k a s s o c i a t e d w i t h t h e p o t e n t i a l c l a i m t o s e r v e a s b a c k - u p a n d s u p p o r t f o r f u t u r e n e g o t i a t i o n s a n d r e s o l u t i o n . 3 ) P r e p a r e a n i n d e p e n d e n t c o s t e s t i m a t e ( I C E ) t o s u b s t a n t i a t e t h e c o s t s o f t h e c h a n g e o r d e r . 4 ) I n c r e a s e o r d e c r e a s e q u a n t i t i e s o f c o n t r a c t i t e m s o r n e g o t i a t e a l u m p s u m a g r e e d p r i c e w i t h t h e u n d e r s t a n d i n g t h a t p r o c e e d i n g o n a t i m e a n d m a t e r i a l s ( f o r c e a c c o u n t ) b a s i s w i l l b e t h e l a s t r e s o r t . P r e p a r e a n a r r a t i v e t h a t p r e s e n t s t h e a p p l i c a b l e c o n t r a c t l a n g u a g e a n d a b r i e f b a c k g r o u n d i n c l u d i n g c o r r e s p o n d e n c e , m e e t i n g m i n u t e s , a n d R F I s . E x a m i n e t h e f a c t s o f t h e i s s u e a n d d e t e r m i n e i f a c h a n g e f r o m t h e p l a n s a n d s p e c i f i c a t i o n s h a s o c c u r r e d . I f a n i s s u e i s f o u n d t o h a v e m e r i t , t h e i m p a c t s o n t i m e a n d c o s t s a r e t h e n e x a m i n e d . A r o u g h o r d e r o f m a g n i t u d e c o s t i s a l l o c a t e d t o e a c h p o t e n t i a l c l a i m f o r i n c l u s i o n i n t o t h e p r o j e c t c o s t t o c o m p l e t e t h e r e p o r t u n t i l a n I C E c a n b e c o m p l e t e d . 9 . R e p o r t s a n d R e c o r d s P r e s c r i b e d p r o c e d u r e s f o r c o n t r a c t a d m i n i s t r a t i o n f u n c t i o n s a n d t a s k s w i l l b e i m p l e m e n t e d f o r t h e P e r r i s V a l l e y L i n e P r o j e c t , a n d i n c l u d e t h e f o l l o w i n g : C o n t r o l L o o s R e v i e w , l o g , c o o r d i n a t e a n d r e s p o n d t o R F I ' s , R F C ' s , P C O ' s , N C R ' s , N P C ' s a n d o t h e r p r o j e c t r e l a t e d i n q u i r i e s . I n q u i r i e s w i l l b e t r a c k e d a s t h e y a r e s u b m i t t e d . R e v i e w a n d r e s e a r c h e a c h R F I a n d p r o v i d e a r e c o m m e n d e d r e s p o n s e . S h o u l d i n p u t f r o m d e s i g n , t h e R C T C o r o t h e r a g e n c i e s b e r e q u i r e d , c o o r d i n a t e o b t a i n i n g t h e n e c e s s a r y r e s p o n s e s . D a i l y D i a r i e s & P h o t o C o n t r o l - K e e p C a l t r a n s - s t y l e d a i l y d i a r i e s . P r o j e c t i n s p e c t i o n s t a f f w i l l s u b m i t d a i l y d i a r i e s d o c u m e n t i n g c o n s t r u c t i o n a c t i v i t i e s , w e a t h e r c o n d i t i o n s , m a n p o w e r , e q u i p m e n t a n d m a t e r i a l s u s e d i n t h e w o r k , w o r k s t a t u s , l o c a t i o n a n d t y p e o f w o r k p e r f o r m e d , n u m b e r a n d c l a s s i f i c a t i o n o f t r a d e l a b o r , s u p e r v i s i o n , q u a n t i t y a n d t y p e o f m a t e r i a l s u s e d , p r o d u c t i o n , a n d c o n f l i c t s o r c o n v e r s a t i o n s t h a t o c c u r r e d d u r i n g t h e d a y . A d d i t i o n a l l y e a c h i n s p e c t o r s h a l l k e e p a d a i l y p h o t o g r a p h i c a n d v i d e o l o g o f w o r k a c t i v i t i e s . T h e p h o t o g r a p h s w i l l b e c a t e g o r i z e d b y m o n t h , t y p e o f w o r k a n d t h e i n d i v i d u a l t h a t t o o k t h e p h o t o . P . 2 3 2 2 5 Weekly Diaries and Progress Reports - Prepare weekly RE Diaries that will document pertinent conversations with the • contractor and any local agencies or 30 parties. Prepare progress reports detailing the weekly construction progress this will include the progress in time, any weather days or CCO days for the week and financial payments to date. These reports will roll up to the monthly and quarterly reports. Change Documentation - Change Orders will include the scope of the change, what items are being changed, how it is being paid, the percent increase/decrease of the items being changed and if an adjustment is warranted, any schedule impacts, the total cost of the change, and the associated funding splits. Provide a letter of transmittal indicating the scope of the change, why the change is necessary, method of compensation, the total cost of the change, who the change was discussed with and concurred by, if contract time is impacted by the change, funding splits, and the remaining contingency balance. Monthly Reporting - Compile the monthly project costs, including engineering and management costs, change summaries and their effects on contingencies, contract work completed vs. time expended and other pertinent data. The monthly reporting will be formatted such that it will be able to be incorporated into RCTC's quarterly FTA reports. Quarterly FTA reports — Will assist RCTC in preparation of the Quarterly FTA reports. 10. Railroad Force Account Write a speck railroad diary that includes all railroad specific activity. The information includes the normal workday information, weather and location as well as specific documentation of rail road workers, items worked on, flagman for the day, equipment on the job and durations. For Force Account work, this separate daily report or "railroad diary" will be matched with specific invoiced daily reports and activities to corroborate work done and verify the accuracy of charges. C. Quality Assurance 1. Quality Assurance Review the contractor's Quality Control Plan to verify that it meets all requirements of the FTA "Quality Assurance and Quality Control Guidelines, FTA-MA-06-0189-92-1 ", as well as Caltrans-Local Assistance Procedures Manual (LAPM), Chapter 16 — Administer Construction Contracts, Section 14 — Quality Assurance Program for FHWA funded local agency projects. 2. Utility Coordination Initial Field Review —Copies of the master list will be distributed by RCTC to all members of the Project Team and filtered copies provided to each agency representative for review/comment. Relocation/Mitigation/Installation Planning • Attend meetings, on an as -needed basis, which will include representatives of each relevant entity as well as the Design/CM team. These meetings will be used to identify specific utilities in need of P. 24 • 226 modification as well as any new facilities required under the project scope or changes. Also, monitor utilities that will not be able to be located until after construction begins. We assumed this to be the case in no more than 10 utility locations. Construction Phase - Once the construction phase commences, assume the lead role in inspecting the relocation of utilities that were not relocated during the pre -construction phase, as well as the mitigation of any unknown utility issues identified during construction. Coordinate between the designer, contractor and utility agencies to develop small-scale workarounds and serve as a liaison between the utility and project design teams should larger mitigation efforts be required. Any unknown utilities will be incorporated into the master list immediately upon discovery. 3. Coordinate Flagging Once the construction contract is underway, the BNSF will relinquish dispatching and control to SCRRA. Meet with the contractor and SCRRA in the beginning of the project to discuss flagging, railroad requirements and make sure both parties know each other and agree on communication protocols for flagging and other issues. For every operation that will be within railroad right of way, a safety briefing will be held immediately prior to beginning work. Require that the contractor's EIC will inform all team members of the expected train traffic, any specific issues for the location and the safety for the day. HDR Team members will check in with the EIC and check out when leaving the project location within railroad right of way. 4. Storm Water Pollution Prevention (SWPPP) The Contractor will be required to deveop, submit for approval, and implement a Storm Water Pollution Prevention Plan (SWPPP) for the project. This submittal will include guidelines for the handling of storm water, how the contractor will control any potential contamination of water leaving the project site and list all Best Management Practices required by the project. These are generally shown on the contract plans and discussed in the contract special provisions. Once the SWPPP plan is approved, the contractor will be required to follow the provisions of the plan for all instances on the project. The contractor will be responsible for implementing the Best Management Practices (BMPs) as shown on the plans and as required by the SWPPP. It is assumed that this project will comply with the Statewide Construction General Permit Order 2009-0009-DWQ which will take effect on July 1, 2010. Review the project site on an on -going basis to verify that the proper BMPs are being utilized and Rain Event Action Plans are in place. Field inspectors and the Resident Engineer will be responsible for daily monitoring of BMPs and implementation and notifying the contractor of any upkeep, revisions and monitoring of the effectiveness of BMPs installed. 5. Review of Traffic Plans Traffic plans submitted by the Contractor will be reviewed for conformance with any lane closure details and traffic handling requirements provided in the contract documents and for conformance with the applicable standards. Traffic plans will be submitted to the appropriate local agency for review and acceptance prior to the start of construction. Periodically verify that Contractor properly installs and maintains detours and prosecutes the work in the phases shown on the drawings, or as approved. Once a detour has been installed, monitor its effects and assist with resolution of any issues arising from the detour. Provide advance notice to agencies, emergency services, businesses, residents, and the general public prior to P. 25 227 traffic detours and road or lane closures through the public outreach task. 6. Survey Support (QA) Services Verify the accuracy of the contractor's supplemental control points and our surveyors will spot check layouts from those control points. Where layout is critical, such as wall construction along the ROW and bridge piles and abutments, spot check the Contractor's layout as requested by RE. 7. Systems Inspection, Testing, Commissioning, and Start-up P. 26 Work identified in this section will be performed with SCRRA and Designer participation. Commissioning and Startup - Support RCTC with the performance of the following major operations and start-up tasks: • Safety and Security Certification • Integrated Testing • Rail Activation and System Acceptance Systems Inspection and Testing Signal Inspection and Test Witnessing —Monitor inspection, maintenance and installation of railroad crossings, wayside signal, bungalow wiring, traffic signals, remotely operated power switches and cutover testing. Verify the QC measures are followed and submitted. Assist the Engineer of Record in reviewing signal design submittals as required. Coordinate with BNSF and SCRRA and the contractor to verify compliance with the negotiated construction agreements to minimize operational impacts. Monitor and verify that permits are in place, submittals are made and materials procurements are performed to meet the signal installation schedule. Communications Inspection -Monitor inspection, maintenance and installation of communications systems, review the planned systems and make recommendations to the Engineer of Record. Coordinate similarly to the Signal Inspection as outlined above. Monitor, in conjunction with SCRRA, the integration of CCTV into existing SCCRA system. Systems Testing: Coordinate execution of the various systems integration testing activities including the generation and review of testing procedures and reports, track access control and coordination and the organization of personnel and equipment, test witnessing. 228 " " A s c e r t i f i a b l e i t e m s a r e r e a d y f o r w i t n e s s i n g , t e s t i n g o r p l a c i n g i n t o s e r v i c e , i d e n t i f y s y s t e m i t e m s t o b e v e r g e d a n d - i n c o r p o r a t e d i n t o t h e S a f e t y C e r t i f i c a t i o n C h e c k l i s t . S a f e t y a n d S e c u r i t y C e r t i f i c a t i o n - T h e P e r r i s V a l l e y P r o j e c t a n d R C T C , u n d e r m a n d a t e f r o m t h e F T A a n d F R A , i s r e q u i r e d t o i m p l e m e n t a S y s t e m S a f e t y P r o g r a m P l a n ( S S P P ) . O n e e l e m e n t o f t h e S S P P i s a S a f e t y a n d S e c u r i t y C e r t i f i c a t i o n P r o g r a m ( S S C P ) t o v e r i f y t h a t r a i l p r o j e c t s a n d m a j o r c a p i t a l p r o j e c t s h a v e b e e n d e s i g n e d a n d c o n s t r u c t e d i n a c c o r d a n c e w i t h s a f e t y a n d s e c u r i t y r e l a t e d c r i t e r i a a n d s p e c i f i c a t i o n r e q u i r e m e n t s . S u p p o r t R C T C w i t h m a i n t a i n i n g o v e r s i g h t o f t h e s a f e t y a n d s e c u r i t y i s s u e s . A s s i s t R C T C i n i t s c o o r d i n a t i o n w i t h t h e F R A , C P U C a n d F T A a s n e e d e d . T h i s o v e r s i g h t w i l l a l s o i n c l u d e i d e n t i f y i n g s a f e t y i t e m r e q u i r e m e n t s f o r o p e r a t i o n s , i n c l u d i n g c o n t r a c t o r p r o v i d e d . t r a i n i n g , r u l e s a n d p r o c e d u r e s , a n d e m e r g e n c y d r i l l s . U s i n g a n e l e c t r o n i c a n d h a r d c o p y f i l i n g s y s t e m , s a f e t y a n d s e c u r i t y c e r t i f i c a t i o n i t e m s i d e n t i f i e d i n t h e d o c u m e n t a t i o n r e v i e w , c h e c k l i s t s , a n d a n a l y s e s w i l l b e l o g g e d , t r a c k e d a n d v e r i f i e d . S u p p o r t R C T C t h r o u g h o u t t h e e n t i r e s a f e t y a n d s e c u r i t y c e r t i f i c a t i o n p r o c e s s , c u l m i n a t i n g i n a F i n a l S a f e t y a n d S e c u r i t y C e r t i f i c a t i o n V e r i f i c a t i o n R e p o r t t h a t s u m m a r i z e s t h e r e a d i n e s s o f t h e p r o j e c t f o r r e v e n u e s e r v i c e . F o l l o w t h e w o r k p l a n r e g a r d i n g t h e b e l o w t w e l v e m a j o r t a s k s : " S u p p o r t t h e P r e p a r a t i o n o f a S a f e t y a n d S e c u r i t y M a n a g e m e n t P l a n ( S M P P ) " S u p p o r t t h e p r e p a r a t i o n o f a S a f e t y a n d S e c u r i t y C e r t i f i c a t i o n P r o g r a m P l a n " D e v e l o p M a s t e r C e r t i f i a b l e I t e m s L i s t ( C I L ) " P r e p a r e P r e l i m i n a r y H a z a r d A n a l y s i s " D e v e l o p S a f e t y / S e c u r i t y F i l e S y s t e m " R e v i e w T e s t i n g a n d S a f e t y C e r t i f i c a t i o n A c t i v i t i e s " I m p l e m e n t a t i o n o f t h e S a f e t y a n d S e c u r i t y C e r t i f i c a t i o n P r o g r a m " D e v e l o p S a f e t y C r i t i c a l I t e m s L i s t t o t r a c k o p e n i t e m s " S u p p o r t t h e p r e p a r a t i o n o f F i n a l P r o j e c t S a f e t y a n d S e c u r i t y C e r t i f i c a t e s I n t e g r a t e d T e s t i n g - T h e c o n s t r u c t i o n c o n t r a c t o r w i l l b e r e q u i r e d t o s u b m i t a n d a d h e r e t o a n I n t e g r a t e d T e s t P l a n t h a t w i l l i d e n t i f y t h e t e s t s r e q u i r e d , a n d t h e r o l e s , r e s p o n s i b i l i t i e s , a n d s c h e d u l e s . V e r i f y t h a t t h e P l a n p r o v i d e s t h e n e c e s s a r y i n s t r u c t i o n s a n d p r e r e q u i s i t e t r a i n i n g f o r c o n t r a c t o r s a n d s t a f f p r i o r t o a c c e s s i n g t h e m a i n l i n e f o r t e s t i n g . V e r i f y t h e P l a n i n c l u d e s t h e n e c e s s a r y f o r m s a n d i n s t r u c t i o n s t o r e q u e s t t r a c k a l l o c a t i o n p r o c e d u r e s , r e d t a g p r o c e d u r e s , v e h i c l e m a i n l i n e t e s t i n g , w a y s i d e a c c e s s , a n d f l a g m a n p r o t e c t i o n . R e q u i r e m e n t s f o r t h i s P l a n w i l l b e c l e a r l y s p e l l e d o u t a s a c o n t r a c t d e l i v e r a b l e i n t h e c o n s t r u c t i o n c o n t r a c t d o c u m e n t s . A l t h o u g h t h e c o n t r a c t o r w i l l b e r e s p o n s i b l e f o r d e v e l o p i n g a n d i m p l e m e n t i n g t h e T e s t P l a n , d e v e l o p a T e s t M a n a g e m e n t O v e r s i g h t P l a n w h i c h w i l l p r o v i d e t h e f r a m e w o r k f o r o v e r s e e i n g a n d c o o r d i n a t i n g t h e c o n t r a c t o r ' s i n t e g r a t e d a n d p r e - r e v e n u e t e s t i n g . P r o v i d e a T e s t O v e r s i g h t M a n a g e r w h o w i l l i m p l e m e n t t h e p l a n a n d p r o v i d e l i a i s o n w i t h t h e c o n t r a c t o r . T h e T e s t O v e r s i g h t M a n a g e r w i l l a l s o p r o v i d e c o o r d i n a t i o n w i t h c i t y a n d t r a f f i c e n g i n e e r s t o v e r i f y g r a d e c r o s s i n g s a r e a d e q u a t e l y p r o t e c t e d p r i o r t o v e h i c l e t e s t i n g . P . 2 7 2 2 9 Rail Activation Plan - Prepare a Rail Activation Plan. This Plan will identify and schedule all of the critical rail start- • up tasks and assign responsibility for each of them. Work closely with the FRA to verify tasks are defined and assigned in accordance with their policies and practices. Categorize each activation task under one of the following ten functions: • Staffing • Transportation • Maintenance/Engineering • Training • Safety • Security 8. Materials Testing and Support Services • Finance • Service Integration • Fare Collection • Public Information Provide Quality Assurance (QA) geotechnical and materials testing services for the Perris Valley Line project. Test all materials in accordance with the most current and appropriate ASTM and/or Caltrans Test Methods. Create a table of all materials that require testing. The table will address testing frequencies, generally following the frequencies identified in the Caftans Construction Manual. Daily Field Reports (DFRs)- DFRs will be written by the field materials tester and submitted to the project office. Earthwork Observation and Testing - Provide certified soils technicians for observation and testing of backfill placement, as fill thickness and the earthwork contractor's schedule requires. Foundation Observation - Observe foundation excavations before reinforcing steel is placed, to verify that foundations will bear on and within suitable soil. Concrete Sampling and Testing • Field special and batch plant inspection will be performed by a certified technician, both on site and at a batch plant within 50 miles of this alignment. Hot Mix Asphalt (HMA) Sampling and Testing - Field special and batch plant inspection will be performed by a certified technician. Materials Laboratory Testing - Perform all materials laboratory testing for this project at the Leighton Caltrans certified Temecula laboratory. Perform geotechnical laboratory testing of representative on -site and imported soils, and aggregate base materials to determine the laboratory maximum dry density and optimum moisture content ("compaction curves"), and corresponding P. 28 • • 230 Di • grain size distribution to match these earth materials with the appropriate compaction curve. Additional geotechnical laboratory testing such as corrosion potential, sand equivalent and/or R-value testing, may also be required. Perform concrete compressive strength and shrinkage testing, and asphalt extraction, gradation and density testing as specified. It is anticipated that the QA effort will be approximately 10-20% of QC testing frequencies, depending on material performance and material risks. Testing frequencies will largely be established as shown in the Caltrans Construction Manual for similar materials. • • Quality Control —Laboratory results are reviewed by a Califomia licensed Civil Engineer before final results are transmitted. In support of all of these field services, provide project management, supervision and internal quality control. 9. As -Built Drawings Coordinate with the Contractor to verify they are keeping up to date and accurate as -built plans and coordinate with the Engineer of Record for any design changes and changed plans. Work with the Engineer of Record to review the final as - built drawings for accuracy. D. Environmental 1. Environmental Services Implement the Construction Environmental Control Plan. Coordinate the monitoring (e.g., biological, cultural, paleontological) that would be required during portions of project construction. Advise the resident engineer on which requirements will need to be included in the contractor's schedule. Verify that key team players are aware of environmental constraints and any schedule implications for sensitive environmental resources. TASK 1 Construction Monitoring Task 1.1 Biological Resource (During Construction) Task 1.1.1 Biological Construction Monitoring through project durations Per mitigation measure (BR-5) of the Draft EIR, biological construction monitors will be available to monitor all areas required. This scope assumes that when work is conducted in environmentally sensitive areas (ESA), the monitor will be onsite 5 days per week. If substantial construction activity is planned for the project site within/adjacent to ESA areas, there may be a need for up to one additional monitor. If an additional monitor is perceived necessary between HDR and RCTC, a cost amendment would be required.- For work irrnon- environmental sensitive areas, a monitor will be onsite approximately 3 days per week. Each monitoring day is assumed to be 10 hours to allow for monitoring a full construction day and providing the necessary travel and reporting throughout the site. We have budgeted a total of 2,500 biological monitoring hours for this cost estimate. Please see the attached budget spreadsheet for the cost to conduct the biological monitoring preconstruction survey. P.29 231 P. 30 The Draft EIR (ES.4.0) identifies that construction would occur outside the bird breeding season for the southwestem willow flycatcher, least Bell's vireo, and Califomia gnatcatcher. If project construction is proposed during the breeding season, near suitable habitat for these species and surveys per U.S. Fish & Wildlife Service protocol are required, an amended scope of work would be required to perform this work. In addition, noise monitoring at nest locations would require an amended scope of work prior to initiating the additional work. Task 1.1.2Spadefoot Toad Preconstruction survey Spade foot toads are only apparent during a small window of 4-8 weeks every year. Surveys for the two sites (San Jacinto River Bridge and Overflow Channel Bridge areas) where they may occur are recommended to be done at the time of year when the toads may be visible rather than the 30 days before construction. Surveying at other times of year will not be effective. Surveys will be conducted by a qualified biologist a survey report prepared. Please see the attached budget spreadsheet for the cost to conduct the preconstruction survey. At the time this scope of work was prepared, the project is in the Draft EIR stage and the specific mitigation plan has not yet been prepared and it is uncertain how many spade foot toads (if any) exist in the project area. Typically mitigation for toads requires exclusion fencing around the project area and daily monitoring to ensure toads are not entering the area, the exclusion fencing is intact, and removing any found in the project area. HDR has included an additional 100 biologist hours (beyond those identified for the survey above) to support spade foot toad mitigation efforts as needed. If additional mitigation support beyond the 100 hours is needed, an amended scope of work would be needed prior to initiating the addition mitigation support. Task 1.2 Cultural Resources (During Construction) Task 1.2.1 Archaeological Monitoring — Bedrock Milling Site (Between MP 3.50 and 4.50) Under this task, conduct archaeological monitoring between MP 3.50 and 4.50. The monitor will be present during all construction activities in this area, per the mitigation measure (CR-1) identified in the Draft EIR (April 5, 2010). We have assumed up to 10 hours per day for the monitor. This would include monitoring as well as monitoring report preparation. As required in CR-1 in the PVL DEIR, "archaeological monitors will have the authority to temporarily halt or diverl construction equipment to examine potential resources, assess significance, and offer recommendations for the procedures deemed appropriate to either further investigate or mitigate any adverse impacts." Cultural resource discoveries will first be reported to Project Manager who will determine, in conjunction with the monitor, the degree to which the discovery should be assessed. General monitoring methods consist of taking daily field notes and documenting daily construction activities. Provide weekly progress reports. All archaeological monitors will have passed the appropriate rail safety training. Please see note #1, at end of scope, regarding procedures in the event that archaeological resources are identified on the project site. Task 1.2.2 Archaeological Monitoring • Bedrock Milling Site (Between MP 5.60 and 6.50) , Under this task, conduct archaeological monitoring between MP 5.60 and 6.50. The monitor will be present during all construction activities in this area, per the mitigation measure (CR-2) identified in the Draft EIR (April 5, 2010). We have assumed up to 10 hours per day for the monitor. This would include monitoring as well as monitoring report preparation. As required in CR-2 in the Draft EIR "archaeological monitors will have the authority to 232 " t e m p o r a r i l y h a l t o r d i v e r t c o n s t r u c t i o n e q u i p m e n t t o e x a m i n e p o t e n t i a l r e s o u r c e s , a s s e s s s i g n i f i c a n c e , a n d o f f e r r e c o m m e n d a t i o n s f o r t h e p r o c e d u r e s d e e m e d a p p r o p r i a t e t o e i t h e r f u r t h e r i n v e s t i g a t e o r m i t i g a t e a n y a d v e r s e i m p a c t s . ' C u l t u r a l r e s o u r c e d i s c o v e r i e s w i l l f i r s t b e r e p o r t e d t o t h e P r o j e c t M a n a g e r w h o w i l l d e t e r m i n e , i n c o n j u n c t i o n w i t h t h e m o n i t o r , t h e d e g r e e t o w h i c h t h e d i s c o v e r y s h o u l d b e a s s e s s e d . G e n e r a l m o n i t o r i n g m e t h o d s c o n s i s t o f t a k i n g d a i l y f i e l d n o t e s a n d d o c u m e n t i n g d a i l y c o n s t r u c t i o n a c t i v i t i e s . T h e P r o j e c t M a n a g e r w i l l p r o v i d e w e e k l y p r o g r e s s r e p o r t s . A l l a r c h a e o l o g i c a l m o n i t o r s w i l l h a v e p a s s e d t h e a p p r o p r i a t e r a i l s a f e t y t r a i n i n g . P l e a s e s e e n o t e # 1 , a t e n d o f s c o p e , r e g a r d i n g p r o c e d u r e s i n t h e e v e n t t h a t a r c h a e o l o g i c a l r e s o u r c e s a r e i d e n t i f i e d o n t h e p r o j e c t s i t e . T a s k 1 . 2 . 3 P a l e o n t o l o g i c a l M o n i t o r i n g U n d e r t h i s t a s k , s t a f f f r o m t h e S a n D i e g o N a t u r a l H i s t o r y M u s e u m w i l l c o n d u c t p a l e o n t o l o g i c a l m o n i t o r i n g o n t h e p r o j e c t s i t e p e r t h e r e q u i r e m e n t s o f m i t i g a t i o n m e a s u r e s C R - 3 i d e n t i f i e d i n t h e D r a f t E I R ( A p r i l 5 , 2 0 1 0 ) . H D R h a s a s s u m e d 1 4 0 m a n - d a y s ( 1 0 h o u r p e r d a y ) f o r a t o t a l o f 1 , 4 0 0 h o u r s o f p a l e o n t o l o g i c a l m o n i t o r i n g . S i n c e p r o j e c t c o n s t r u c t i o n m a y o c c u r i n d i f f e r e n t a r e a s s i m u l t a n e o u s l y , t h e r e m a y b e i n s t a n c e s w h e r e t w o m o n i t o r s a r e r e q u i r e d . A n a m e n d e d s c o p e o f w o r k w o u l d b e n e e d e d p r i o r t o i n i t i a t i n g t h e a d d i t i o n a l m o n i t o r i n g e f f o r t . T h e m i t i g a t i o n m e a s u r e n o t e s t h a t p a l e o n t o l o g i c a l m o n i t o r i n g i s r e q u i r e d f o r a l l a r e a s o f t h e p r o j e c t s i t e w h e r e g r a d i n g o f d e p t h s o f m o r e t h a n 4 f e e t w i l l b e r e q u i r e d , w i t h t h e e x c e p t i o n o f t h e f o l l o w i n g , w h i c h w i l l r e q u i r e m o n i t o r i n g r e g a r d l e s s o f d e p t h : 1 ) M o n i t o r i n g c o n s t r u c t i o n a s s o c i a t e d w i t h t h e C i t r u s C o n n e c t i o n , S o u t h P e r r i s S t a t i o n a n d L a y o v e r F a c i l i t y a n d 2 ) i f P a l m y r i t a o r C o l u m b i a s t a t i o n o p t i o n a r e s e l e c t e d , c o n s t r u c t i o n w i l l b e m o n i t o r e d . A l l p a l e o n t o l o g i c a l m o n i t o r s w i l l h a v e p a s s e d t h e a p p r o p r i a t e r a i l s a f e t y t r a i n i n g . P l e a s e s e e n o t e # 1 , a t e n d o f s c o p e , r e g a r d i n g p r o c e d u r e s i n t h e e v e n t t h a t p a l e o n t o l o g i c a l r e s o u r c e s a r e i d e n t i f i e d o n t h e p r o j e c t s i t e . C o n s t r u c t i o n w i t h i n t h e S a n J a c i n t o R i v e r w i l l b e m o n i t o r e d t o v e r i f y t h a t t h e w o r k i s d o n e i n c o m p l i a n c e w i t h t h e j u r i s d i c t i o n a l i m p a c t a r e a c o n d i t i o n s . I f h a b i t a t r e m o v a l i s t o o c c u r w i t h i n t h e n e s t i n g s e a s o n , r e s t r i c t i o n s a s o u t l i n e d i n t h e M B T A w i l l b e m o n i t o r e d b y t h e p r o j e c t b i o l o g i s t . V e r i f y a d h e r e n c e t o e n v i r o n m e n t a l a n d e n c r o a c h m e n t p e r m i t s ' . P e r m i t t i n g r e q u i r e m e n t s w i l l b e a l i n e i t e m t o b e d i s c u s s e d a t t h e w e e k l y p r o g r e s s m e e t i n g b e t w e e n t h e C M t e a m a n d t h e c o n t r a c t o r . O u r E n v i r o n m e n t a l s t a f f w i l l a s s i s t t h e R E i f n e e d e d o n a n y e n v i r o n m e n t a l i s s u e s o u t l i n e d i n t h e e n v i r o n m e n t a l c o n t r o l p l a n a s w e l l a s n e w i s s u e s t h a t p r e s e n t t h e m s e l v e s i n t h e f i e l d . A i r q u a l i t y , S t o r m W a t e r P o l l u t i o n P r e v e n t i o n , n o i s e r e g u l a t i o n s a n d h a z a r d o u s m a t e r i a l s l o c a t i o n s w i l l b e p e r i o d i c a l l y r e v i e w e d a n d m o n i t o r e d t o v e r i f y c o m p l i a n c e b y t h e c o n t r a c t o r w i t h t h e v a r i o u s l a w s a n d r e q u i r e m e n t s a s s e t f o r t h i n t h e s p e c i a l p r o v i s i o n s a n d a n y p e r m i t s r e q u i r e d f o r t h e p r o j e c t . P h a s e 2 A : P o s t C o n s t r u c t i o n P h a s e S e r v i c e s 1 . C o n t r a c t C l o s e o u t T h e s e a c t i v i t i e s w i l l i n c l u d e t h e f o l l o w i n g s t e p s : " V e r i f i c a t i o n o f w o r k c o m p l e t i o n f o r e a c h r e s p e c t i v e c o n t r a c t . P . 3 1 2 3 3 " F i n a l p a y m e n t p r o c e s s i n g . " R e s o l u t i o n o f o p e n c h a n g e o r d e r s . F o r w a r d i n g o f e x e c u t e d c h a n g e o r d e r s t o s t o r a g e . " R e v i e w f i n a l i n s p e c t i o n , c e r t i f i c a t i o n , a n d w a r r a n t y d o c u m e n t a t i o n . T r a n s f e r o f d o c u m e n t s a n d r e c o r d s t o s t o r a g e . " R e v i e w o f a s - b u i l t s a n d t r a n s f e r o f a s - b u i l t c o n t r a c t d r a w i n g s f o r s t o r a g e a n d p r o t e c t i o n . " R e v i e w 0 & M M a n u a l s " R e v i e w o f f i n a l D B E / E E O d o c u m e n t a t i o n f o r c o m p l i a n c e . " R e v i e w o f p a y r o l l c e r t i f i c a t i o n r e c o r d s . " R e s o l u t i o n o f l i e n s . F o r w a r d i n g o f l i e n r e l e a s e s t o s t o r a g e . " L i q u i d a t e d d a m a g e s a s s e s s m e n t . " B a c k c h a r g e ( s ) r e s o l u t i o n . " C o n f i r m t h i r d - p a r t y a c c e p t a n c e , i f r e q u i r e d . 2 . W a r r a n t i e s : M o n i t o r a n d T r a c k W a r r a n t i e s I n c l u d e w a r r a n t y a n d g u a r a n t e e p r o c e d u r e s i n t h e f i n a l v e r s i o n o f R C T C ' s C o n s t r u c t i o n M a n a g e m e n t P r o c e d u r e s M a n u a l . M e t r o l i n k a n d B N S F r e q u i r e m e n t s m u s t b e c l e a r l y c o n s i d e r e d i n f u t u r e w a r r a n t y m o n i t o r i n g . T h e s e p r o c e d u r e s a r e g e n e r a l l y a s f o l l o w s : " F o r w a r r a n t i e s a n d g u a r a n t e e s , w h e n w o r k i s f o r m a l l y a c c e p t e d , a d v i s e t h e c o n t r a c t o r i n w r i t i n g o f t h e s t a r t o f t h e w a r r a n t y , p e r i o d , t h e e f f e c t i v e e n d d a t e o f t h e w a r r a n t y p e r i o d a n d t h e s t a t u s o f r e t e n t i o n r e l e a s e d e p e n d e n t o n t h e w a r r a n t e d w o r k . 3 . P l a n t E s t a b l i s h m e n t M o n i t o r c o n t r a c t o r e f f o r t s f o r t h e p l a n t e s t a b l i s h m e n t t h r o u g h o u t t h e p r o j e c t i n c l u d i n g i n t e r m i t t e n t i n s p e c t i o n o f p l a n t s a n d v e r i f y i n g t h a t i r r i g a t i o n s y s t e m s w o r k p r o p e r l y a n d t h a t a l l p l a n t s a r e e s t a b l i s h e d o r r e p l a c e d . 4 . T u r n O v e r t o R C T C & S C R R A P r e p a r e a l l p r o j e c t d o c u m e n t a t i o n , f i l e s , e l e c t r o n i c f i l e s , b r o c h u r e s , m a t e r i a l s r e c o r d s , a n d f i n a l a s - b u i l t p l a n s f r o m c o n t r a c t o r , w a r r a n t i e s a n d m a n u a l s f o r t u r n o v e r t o R C T C a n d S C R R A a s n e e d e d . T h i s w o u l d i n c l u d e p u n c h l i s t f i n a l w a l k t h r o u g h . C o o r d i n a t e S t a t i o n T u m O v e r t o R C T C . P . 3 2 2 3 4 " " E X H I B I T " B " S C H E D U L E O F S E R V I C E S E x h i b i t B 2 3 5 " " 1 . P r e - C o n s t r u c t i o n S t a r t A u g u s t 2 0 1 0 a . C M M a n u a l 1 0 W e e k s a f t e r R e c e i p t o f D e s i g n D o c u m e n t s b . C o n s t r u c t a b i l i t y R e v i e w 4 w e e k s a f t e r R e c e i p t o f D e s i g n D o c u m e n t s c . Q A / Q C P l a n 1 6 w e e k s a f t e r R e c e i p t o f D e s i g n D o c u m e n t s d . U t i l i t y R e l o c a t i o n I n s p e c t i o n s t a r t w i t h i n 4 w e e k s o f s t a r t 2 . C o n s t r u c t i o n S t a r t A p r i l 1 , 2 0 1 1 a . B i d A s s i s t a n c e M a y 1 , 2 0 1 1 b . C o n s t r u c t i o n I n s p e c t i o n s t a r t M a y 1 , 2 0 1 1 c . T r a i n T e s t i n g a n d S t a r t U p M a y 3 0 , 2 0 1 2 d . R e v e n u e S e r v i c e D e c e m b e r 2 0 1 2 3 . P o s t C o n s t r u c t i o n S t a r t N o v e m b e r 2 0 1 2 a . P r o j e c t A s - B u i l t p l a n s A p r i l 3 0 , 2 0 1 3 b . H a n d o v e r a l l D o c u m e n t s A p r i l 3 0 , 2 0 1 3 2 3 7 " E X H I B I T " C " P A R T C O M P E N S A T I O N A N D P A Y M E N T P A R T I I A P P R O V E D S U B C O N S U L T A N T S A N D A P P R O V E D B I L L I N G R A T E S E x h i b i t C 2 3 9 EXHIBIT "C" PART 1 COMPENSATION AND PAYMENT For the satisfactory performance and completion of the Services under this Agreement, the Commission will pay the Consultant compensation as set forth herein. 1) ELEMENTS OF COMPENSATION. Compensation for the Services will be comprised of the following elements: 1.1 Direct Labor Costs; 1.2 Fixed Fee; and 1.3 Additional Direct Costs. a) 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: i) DIRECT SALARY COSTS Direct Salary Costs are the base salaries and wages actually paid to the Consultant's personnel directly engaged in performance of the Services under the Agreement. (The range of hourly rates paid to the Consultant's personnel appears in Section 2 below.) ii) MULTIPLIER * The Office and (Field) Multipliers to be applied to the Direct Salary Costs to determine the Direct Labor Costs is 1.4909 Office & 1.3534 Field respectively, and are the sum of the following components: (1) Direct Salary Costs (2) Payroll Additives 1.00 .4909 Office .3534 Field 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 and retirement benefits, all federal and state payroll taxes, premiums for insurance which are measured by payroll costs, and other contributions and benefits imposed by applicable laws and regulations. Exhibit C-1 241 (3) Overhead Costs 1.1860 Office & .9688 Field The decimal ratio of allowable Overhead Costs to the Consultant firm's tota� direct salary costs. Allowable Overhead Costs include general, administrative and overhead costs of maintaining and operating established offices, and consistent with established firm policies, and as defined in the Federal Acquisitions Regulations, Part 31.2. (4) Profit 8% 1.1.2.4 Multiplier 2.8911 Office & 2.5080 Field (Sum of 1.1.2.1, 1.1.2.2, and 1.1.2.3) * The Payroll Additives and Overhead Costs, as those terms are defined above, shall be adjusted annually to equal Consultant's audited overhead costs for the preceding year. The adjustment shall occur when Consultant has published its audited overhead rate and shall apply to Direct Salary Cost, as defined above, incurred thereafter until the rate for the following year is available upon completion of an independent audit of Consultant's indirect cost rate. b) FIXED FEE. A Fixed Fee of $1,077,897.00 shall be paid to Consultant for Consultant's complete and satisfactory performance of this Agreement and all Services required hereunder. Commission shall pay the Fixed Fee in monthly installments based upon the• percentage of the Services completed at the end of each billing period, as determined in the sole discretion of the Commission's Representative, or his or her designee. Consultant shall not be entitled to and shall forfeit any portion of the Fixed Fee not earned as provided herein. c) ADDITIONAL DIRECT COSTS. Additional Direct Costs directly identifiable to the performance of the services of this Agreement shall be reimbursed at the rates below, or at actual invoiced cost. Exhibit C-2 242 " " R a t e s f o r i d e n t i f i e d A d d i t i o n a l D i r e c t C o s t s a r e a s f o l l o w s : I T E M R E I M B U R S E M E N T R A T E S u b C o n s u l t a n t M a r k U p P e r D i e m C a r m i l e a g e R e n t a l C a r T r a v e l " H o t e l " M e a l s V e h i c l e s P h o t o c o p i e s ( B l a c k & W h i t e ) P h o t o c o p i e s ( C o l o r ) P h o t o g r a p h s / o t h e r r e p r o g r a p h i c S e r v i c e s P o s t a g e / S h i p p i n g C o u r i e r S e r v i c e O t h e r R e n t a l s , s u p p l i e s , p u r c h a s e s $ 3 2 7 , 4 3 8 . 0 0 A c t u a l C o s t 0 . 5 0 o r c u r r e n t I R S r a t e A c t u a l C o s t A c t u a l C o s t $ 1 5 0 / p e r n i g h t $ 3 0 / p e r d a y $ 1 4 0 0 / p e r m o n t h m a x i m u m A c t u a l C o s t A c t u a l C o s t A c t u a l C o s t A c t u a l C o s t A c t u a l C o s t A c t u a l C o s t T r a v e l b y a i r a n d t r a v e l i n e x c e s s o f 1 0 0 m i l e s f r o m t h e t h e C o m m i s s i o n ' s o f f i c e m u s t h a v e t h e C o m m i s s i o n ' s r e i m b u r s e d u n d e r t h i s A g r e e m e n t . 2 ) D I R E C T S A L A R Y R A T E S C o n s u l t a n t ' s o f f i c e n e a r e s t t o p r i o r w r i t t e n a p p r o v a l t o b e D i r e c t S a l a r y R a t e s , w h i c h a r e t h e r a n g e o f h o u r l y r a t e s t o b e u s e d i n d e t e r m i n i n g D i r e c t S a l a r y C o s t s i n S e c t i o n 1 . 1 . 1 a b o v e , a r e g i v e n b e l o w a n d a r e s u b j e c t t o t h e f o l l o w i n g : a ) D i r e c t S a l a r y R a t e s s h a l l b e a p p l i c a b l e t o b o t h s t r a i g h t t i m e a n d o v e r t i m e w o r k , u n l e s s p a y m e n t o f a p r e m i u m f o r o v e r t i m e w o r k i s r e q u i r e d b y l a w , r e g u l a t i o n o r c r a f t a g r e e m e n t , o r i s o t h e r w i s e s p e c i f i e d i n t h i s A g r e e m e n t . I n s u c h e v e n t , t h e p r e m i u m p o r t i o n o f D i r e c t S a l a r y C o s t s w i l l n o t b e s u b j e c t t o t h e M u l t i p l i e r d e f i n e d i n P a r a g r a p h 1 . 1 . 2 a b o v e . D i r e c t S a l a r y R a t e s s h o w n h e r e i n a r e i n e f f e c t f o r o n e y e a r f o l l o w i n g t h e e f f e c t i v e d a t e o f t h e A g r e e m e n t . T h e r e a f t e r , t h e y m a y b e a d j u s t e d a n n u a l l y t o r e f l e c t t h e C o n s u l t a n t ' s a d j u s t m e n t s t o i n d i v i d u a l c o m p e n s a t i o n . T h e C o n s u l t a n t s h a l l n o t i f y t h e C o m m i s s i o n i n w r i t i n g p r i o r t o a c h a n g e i n t h e r a n g e o f r a t e s i n c l u d e d h e r e i n , a n d p r i o r t o e a c h s u b s e q u e n t c h a n g e . E x h i b i t C - 3 2 4 3 HDR CCC FIELD RATES: POSITION OR CLASSIFICATION Project Director Structure Specialist/Proj Advisor Signal Preemption Coordinator Resident Engineer Inspector Admin Assistant/Field Office Mgr Admin Assistant — Office RANGE OF RAW HOURLY RATES $111.11 - $133.33/hour $83.81 - $100.57/hour $75.00 - $90.00/hour $68.00 — 81.60/hour $46.76 - $90.00/hour $30.00 - $36.00/hour $23.77 - $28.52/hour c) The above rates are for the Consultant only. All rates for subconsultants to the Consultant will be in accordance with the Consultant's cost proposal. 3) INVOICING. a) Each month the Consultant shall submit an invoice for Services performed during the preceding month. The original invoice shall be submitted to the Commission's Executive Director with two (2) copies to the Commission's Project Coordinator. b) Charges shall be billed in accordance with the terms and rates included herein, unless otherwise agreed in writing by the Commission's Representative. c) Base Work shall be charged separately, and the charges for each task and Milestone listed in the Scope of Services, shall be listed separately. The charges for each individual assigned by the Consultant under this Agreement shall be listed separately onisk an attachment to the invoice. d) A charge of $500 or more for any one item of Additional Direct Costs shall be accompanied by substantiating documentation satisfactory to the Commission such as invoices, telephone logs, etc. Consultant shall maintain files and documentation, for auditing purposes, substantiating all Additional Direct Costs charged to the Commission. Each copy of each invoice shall be accompanied by a Monthly Progress Report and spreadsheets showing hours expended by task for each month and total project to date. Each invoice shall indicate payments to DBE subconsultants or supplies by dollar amount and as a percentage of the total invoice. Each invoice shall include a certification signed by the Consultant's Representative or an officer of the firm which reads as follows: I hereby certify that the hours and salary rates charged in this invoice are the actual hours and rates worked and paid to the employees listed. Signed Title Date Invoice No. Exhibit C-4 244 " 4 ) P A Y M E N T a ) T h e C o m m i s s i o n s h a l t p a y t h e C o n s u l t a n t w i t h i n f o u r t o s i x w e e k s a f t e r r e c e i p t b y t h e C o m m i s s i o n o f a n o r i g i n a l i n v o i c e . S h o u l d t h e C o m m i s s i o n c o n t e s t a n y p o r t i o n o f a n i n v o i c e , t h a t p o r t i o n s h a l l b e h e l d f o r r e s o l u t i o n , w i t h o u t i n t e r e s t , b u t t h e u n c o n t e s t e d b a l a n c e s h a l l b e p a i d . b ) T h e f i n a l p a y m e n t f o r S e r v i c e s u n d e r t h i s A g r e e m e n t w i l l b e m a d e o n l y a f t e r t h e C o n s u l t a n t h a s e x e c u t e d a R e l e a s e a n d C e r t i f i c a t e o f F i n a l P a y m e n t . 5 ) S A V I N G S B O N U S D e f i n i t i o n s " S a v i n g s B o n u s " s h a l l m e a n c o m p e n s a t i o n t o b e p r o v i d e d t o C o n s u l t a n t , i n a d d i t i o n a l t o a n y o t h e r c o m p e n s a t i o n u n d e r t h i s A g r e e m e n t , f o r A c t u a l S a v i n g s r e a l i z e d b y t h e C o m m i s s i o n , i n a n a m o u n t n o t t o e x c e e d $ 1 , 6 0 0 , 0 0 0 ( a p p r o x i m a t e l y 1 0 % o f t o t a l f e e p e r p h a s e , $ 2 0 0 , 0 0 0 i n P h a s e 1 , $ 1 , 3 0 0 , 0 0 0 i n P h a s e 2 a n d $ 1 0 0 , 0 0 0 i n P h a s e 3 ) . " P h a s e o f W o r k " f o r t h i s a g r e e m e n t s h a l l m e a n P r e - C o n s t r u c t i o n , C o n s t r u c t i o n , a n d P o s t C o n s t r u c t i o n . " A c t u a l C o s t " s h a l l m e a n t h e a c t u a l c o s t o f p r o v i d i n g t h e S e r v i c e s , a s d e t e r m i n e d a t c o m p l e t i o n o f P h a s e 1 , P h a s e 2 a n d P h a s e 3 l e s s O t h e r D i r e c t C o s t s . T h e A c t u a l C o s t s h a l l b e c a l c u l a t e d f o l l o w i n g s u b m i s s i o n o f t h e f i n a l i n v o i c e f o r e a c h o f t h e p h a s e s b y C o n s u l t a n t a n d f i n a l a c c e p t a n c e s o f e a c h p h a s e ' s S e r v i c e s b y C o m m i s s i o n . " A c t u a l S a v i n g s " s h a l l m e a n t h e s a v i n g s a c h i e v e d b y C o n s u l t a n t a s d e t e r m i n e d a t t h e c o m p l e t i o n o f e a c h p h a s e b a s e d o n t h e M e t r i c s . " M e t r i c s " s h a l l m e a n t h e s e t o f m e t r i c s t o b e m u t u a l l y e s t a b l i s h e d a n d a g r e e d u p o n b y t h e P a r t i e s w i t h i n n i n e t y ( 9 0 ) d a y s o f t h e e f f e c t i v e d a t e o f t h i s A g r e e m e n t t o b e u s e d i n d e t e r m i n i n g t h e A c t u a l S a v i n g s . T h e M e t r i c s , i f e s t a b l i s h e d a s s e t f o r t h h e r e i n a n d a p p r o v e d i n w r i t i n g b y t h e C o m m i s s i o n ' s E x e c u t i v e D i r e c t o r , s h a l l b e i n c o r p o r a t e d i n t o t h e t e r m s a n d t h i s S e c t i o n 5 a s t h o u g h f u l l y s e t f o r t h h e r e i n . T h e C o m m i s s i o n d e s i r e s t o e n c o u r a g e a n d r e g a r d C o n s u l t a n t f o r P r o j e c t d e l i v e r y t h a t i s o f e x c e l l e n t q u a l i t y a n d a l s o t i m e l y , e f f i c i e n t a n d e c o n o m i c a l . I n a d d i t i o n t o a n y o t h e r c o m p e n s a t i o n p r o v i d e d f o r i n t h i s A g r e e m e n t , C o n s u l t a n t s h a l l b e e n t i t l e d t o a S a v i n g s B o n u s e q u a l t o t w e n t y f i v e p e r c e n t ( 2 5 % ) o f A c t u a l S a v i n g s r e a l i z e d b y t h e C o m m i s s i o n , u p t o t h e n o t t o e x c e e d a m o u n t s h o w n a b o v e f o r e a c h p h a s e . I f t h e P a r t i e s a r e u n a b l e t o s u c c e s s f u l l y e s t a b l i s h t h e M e t r i c s , t h e P a r t i e s a g r e e t h a t C o n s u l t a n t s h a l l n o t b e e n t i t l e d t o a n y S a v i n g s B o n u s . I f t h e M e t r i c s a r e a d o p t e d , t h e C o m m i s s i o n m a y a d j u s t t h i s S a v i n g s B o n u s p r o g r a m , p u r s u a n t t o a w r i t t e n a m e n d m e n t , a s r e q u i r e d t o e q u i t a b l y a c c o u n t f o r c h a n g e s i n w o r k a s s i g n e d t o t h e C o n s u l t a n t . E x h i b i t C - 5 2 4 5 The Consultant acknowledges that it is under a pre-existing legal obligation to deliver the Project at the lowest cost to the Commission. The Savings Bonus is being offered as an• incentive to Consultant. Any dispute arising out of the administration, calculation or meaning of this Section 5 shall be resolved at the sole discretion of the Executive Director. The exclusive remedy for any claim under this Section 5 shall be a written appeal to the Commission, and such claim shall not be subject to litigation or any other remedy either at law or in equity. Exhibit C-6 246 EXHIBIT "C' PART 2 APPROVED SUBCONSULTANTS AND APPROVED BILLING RATES HDR Engineering, Inc. Office Rates POSITION OR CLASSIFICATION MULTIPLIER SUBJECT TO (enter "x") RANGE OF DIRECT SALARY RATES g 2 3 - ; >.v E. a. y O U r H °: 1 2 - 0. ToG F1 m PrOTemium PrevailWageing $/ Hr $/ Hr Systems Management Lead 1.0 0.4909 1.186 2.6769 .08 2.8911 $104.57 $125.48 Vehicle Specialist 1.0 0.4909 1.186 2.6769 .08 2.8911 103.41 124.10 QA Manager 1.0 0.4909 1.186 2.6769 .08 2.8911 92.04 $110.48 PM Manager 1.0 0.4909 1.186 2.6769 .08 2.8911 88.25 $105.90 Railroad Agreement Advisor 1.0 0.4909 1.186 2.6769 .08 2.8911 $82.50 $99.00 Transit Advisor 1.0 0.4909 1.186 2.6769 .08 2.8911 $81.89 $98.27 Rail Operations Specialist 1.0 0.4909 1.186 2.6769 .08 2.8911 $72.80 $87.36 Positive Training Control Advisor 1.0 0.4909 1.186 2.6769 .08 2.8911 $70.00 $84.00 Sr. Signals Engineer 1.0 0.4909 1.186 2.6769 .08 2.8911 $67.66 $81.19 Funding Specialist 1.0 0.4909 1.186 2.6769 .08 2.8911 $67.25 $80.70 Estimator 1.0 0.4909 1.186 2.6769 .08 2.8911 $60.56 $86.85 CPUC Specialist 1.0 0.4909 1.186 2.6769 .08 .2.8911 $54.50 $65.40 Inspector 1.0 0.4909 1.186 2.6769 .08 2.8911 x $48.30 $57.96 Track Reviewer 1.0 0.4909 1.186 2.6769 .08 2.8911 $44.51 $131.67 Accountant 1.0 0.4909 1.186 2.6769 .08 2.8911 $44.47 $53.36 Structural Engineer 1.0 0.4909 1.186 2.6769 .08 2.8911 $43.86 $67.20 Communications Engineer 1.0 0.4909 1.186 2.6769 .08 2.8911 $36.54 $43.85 Reviewer 1.0 0.4909 1.186 2.6769 .08 2.8911 $36.49 $102.56 Systems EIT 1.0 0.4909 1.186 2.6769 .08 2.8911 $33.30 $39.96 Safety Oversight 1.0 0.4909 1.186 2.6769 .08 2.8911 $33.00 $41.04 Project Coordinator/Admin 1.0 0.4909 1.186 2.6769 .08 2.8911 $24.00 $38.92 Biologist 1.0 0.4909 1.186 2.6769 .08 2.8911 $21.03 $67.31 Environmental Lead 1.0 0.4909 1.186 2.6769 .08 2.8911 $48 95 $86.54 Environmental Planner 1.0 0.4909 1.186 2.6769 .08 2.8911 $35.00 $42.00 Exhibit C 7 247 HDR Engineering, Inc. (continued) Nor MULTIPLIER RANGE OF POSITION OR CLASSIFICATION o _ , °-' .P: m a SUBJECT TO (enter "x") DIRECT SALARY RATES 1ti W G .� m v a ¢ = o O U Y o i- m aim u. ¢ r o i- � OT premium Prevailing Wage $ / Hr $ / Hr Environmental Document Prep 1.0 0.4909 1.186 2.6769 .08 2.8911 $30.45 $36.54 Environmental GIS Analyst 1.0 0.4909 1.186 2.6769 .08 2.8911 $27.83 $33.39 Environmental Analyst 1.0 0.4909 1.186 2.6769 .08 2.8911 $21.92 $26.30 Cultural/Paleo 1.0 0.4909 1.186 2.6769 .08 2.8911 Principle Investigator 1.0 0.4909 1.186 2.6769 .08 2.8911 $43.33 $52.00 Manager 1.0 0.4909 1.186 2.6769 .08 2.8911 $33.36 $40.03 Cultural Coordinator 1.0 0.4909 1.186 2.6769 .08 2.8911 $32.03 $38.43 Project Archaeologist 1.0 0.4909 1.186 2.6769 .08 2.8911 $29.83 $35.79 Paleo Monitor 1.0 0.4909 1.186 2.6769 .08 2.8911 $20.00 $24.00 Cultural Monitor 1.0 0.4909 1.186 2.6769 .08 2.8911 $19.00 $24.00 • ARCADIS MULTIPLIER SUBJECT TO RANGE OF POSITION OR CLASSIFICATION - o a (enter "x") DIRECT SALARY RATES 3 _1 a. a O ig U r a ¢ 4-8 M OT Premium Prevailing Wage $ / Hr $ / Hr Project Controls Manager 1.0 0.7261 0.5782 2.3043 .08 2.4886 58.89 60.07 Senior Scheduler 1.0 0.7261 0.9740 2.7001 .08 2.9161 54.48 55.57 Claims Mitigation 1.0 0.7261 0.9740 2.7001 .08 2.9161 62.78 64.04 Claims Analysis 1.0 0.7261 0.9740 2.7001 .08 2.9161 75.44 76.95 Arellano Associates POSITION OR CLASSIFICATION MULTIPLIER SUBJECT TO (enter "x") RANGE OF DIRECT SALARY RATES G � d a a s y O U F a 2 � I. Fm .2 OTPremium WaPrevageiling $/ Hr $/ Hr Outreach Manager 1.0 N/A 0.6 1.6 .08 1.7280 90.00 91.80 Outreach Specialist 1.0 N/A 0.6 1.6 .08 1.7280 61.00 62.22 1 Exhibit C 7 248 Outreach Specialist 1.0 N/A 0.6 1.6 .08 1.7280 51.00 52.02 Note 1: Payroll additives included in overhead costs. C- David Evans and Associates, Inc. POSITION OR CLASSIFICATION MULTIPLIER SUBJECT TO (enter "x") RANGE OF DIRECT SALARY RATES ` a i7 3 _ mo - - a a y O U r P. :: LL ¢ d T° a H m PremiZi um PrevailWageing $ / Hr $ / Hr Survey Manager 1.0 0.6551 1.2424 2.8975 .08 3.1293 $80.00 $90.00 PLS/Survey Analyst 1.0 0.6551 1.2424 2.8975 .08 3.1293 $42.00 $52.00 PLS Party Chief 1.0 0.6551 1.2424 2.8975 .08 3.1293 x x $45.56 $49.56 Chainman 1.0 0.6551 1.2424 2.8975 .08 3.1293 x x $39.73 $43.73 Survey Admin/Clerical 1.0 0.6551 1.2424 2.8975 .08 3.1293 x $25.00 $30.00 Ghirardelli Associates POSITION OR CLASSIFICATION MULTIPLIER SUBJECT TO (enter "x") RANGE OF DIRECT SALARY RATES 1-)8 a D 3 a o � ). v a a E ° = O o 12 e 12 u_ 0 Q c 12 3 OT Premium Prevailing Wage $ / Hr $ / Hr Office Engineer 1.0 0.83 0.48 2.31 .08 2.4948 48.00 60.00 Gonzalez -White Consu ting Services POSITION OR CLASSIFICATION MULTIPLIER SUBJECT TO (enter "x") RANGE OF DIRECT SALARY RATES c o 3 _ d o -' a s „ O U y F u- ¢ d *a E OT Premium Prevailing Wage $/ Hr $ /Nr Labor Compliance Officer 1.0 Small Strs.ness no audited rate 1.7068 .08 1.8433 45.00 45.90 Note 1: Rate includes costs for mileage, photocopying, postage and shipping. Griego and Associates POSITION OR CLASSIFICATION MULTIPLIER SUBJECT TO (enter "x") RANGE OF DIRECT SALARY RATES ° $ a 3 - m �.s a s O U T. 12 tv 4 ri a v 42 a F OT Premium Prevailing Wage $/ Hr $/ Hr Commissioning/Start-up Manager 1.0 Small Business - No Audited Rate 1.3374 .08 1.4444 90.00 115.00 Safety/Security Certification Manager 1 D Small Business- No Audited Rate 1.7196 .08 1.8572 70.00 92.00 Exhibit C 7 249 Systems Testing and Activation Manager 1 0 Small Business - No Audited Rate 1.6049 .08 1.7333 75.00 110.00 C- Leighton Consulting, Inc. POSITION OR CLASSIFICATION MULTIPLIER SUBJECT TO (enter "x") RANGE OF DIRECT SALARY RATES d 2 a 3 a. -a a s y O U 14 H 0!4 a¢ 0Ti. pe Ti um Premi PrevailingWage $/ Hr $/ Hr Senior Principal (PE, GE, REA I) 1.0 0.284 1.549 2.833 .08 3.0596 85.34 95.99 Principal Geologist (PG, CEG) 1.0 0.284 1.549 2.833 .08 3.0596 74.64 83.96 Geologist 1.0 0.284 1.549 2.833 .08 3.0596 52.88 59.48 Geotechnical Project Manager (GE) 1.0 0.284 1.549 2.833 OS 3.0596 49.50 55.68 Associate Geologist (PG) 1.0 0.284 1.549 2.833 .08 3.0596 46.34 52.13 Senior Project Scientist 1.0 0.284 1.549 2.833 OS 3.0596 33.32 37.48 Staff Geologist/Scientist 1.0 0.284 1.549 2.833 .08 3.0596 25.96 29.20 Administrative 1.0 0.284 1.549 2.833 .08 3.0596 X 20.18 22.70 Prevailing Wage Group I (soillasphalt) 1.0 0.284 1.549 2.833 .08 3.0596 X X 42.21 46.81 Prevailing Wage Group II (concrete/masonry) 1.0 0.284 1.549 2.833 .08 3.0596 X X 43.99 48.59 ! Prevailing Wage Group II (CWI/bolting) 1.0 0.284 1.549 2.833 .08 3.0596 X X 43.99 48.59 Prevailing Wage Group III (NDT) 1.0 0.284 1.549 2.833 .08 3.0596 X X 45.99 50.59 SIMON WONG ENGINEERING (2010/2011 Rates) POSITION OR CLASSIFICATION MULTIPLIER SUBJECT TO (enter "x") RANGE OF DIRECT SALARY RATES e o d m a 3 o - m i5 a ¢ "' = o O U o 12 a°'i LL =. _. o 1- OT Premium Prevailing Wage $ / Hr $ / Hr Project Manager 1.0 N/A 1.5256 2.5256 08 2.7276 69.67 92.86 Assistant R.E. 1.0 N/A 1.5256 2.5256 08 2.7276 x , 46.34 62.06 Safety/Rail Coordinator 1.0 N/A 1.5256 2.5256 .08 2.7276 x x 50.00 60.00 Inspector (Prey. Wage) 1.0 N/A 1.5256 2.5256 .08 2.7276 x x 47.44 55.90 Doc. Control / Admin. 1.0 N/A 1.5256 2.5256 08 2.7276 x 27.58 35.23 Note 1: Payroll additives included in overhead costs. Note 2: Prevailing wage rates based on California DIR Prevailing Wage Determination SC-23-63-2-2009-1D. Exhibit C 7 250 " C - X o r a i l , I n c . P O S I T I O N O R C L A S S I F I C A T I O N M U L T I P L I E R S U B J E C T T O ( e n t e r " x " ) R A N G E O F D I R E R A T S C T S A L A R Y o 0 C 2 , 0 a 2 � 4 a O U H L L � i � - O T P r e m i u m P r e v a i l i n g W a g e $ / H f $ 1 H r L e a d S y s t e m s E n g i n e e r 1 . 0 N / A 1 . 2 0 6 4 2 . 2 0 6 4 . 0 8 2 . 3 8 2 9 7 2 . 1 2 9 6 . 1 6 S i g n a l i z a t i o n P r i n c i p l e I n s p e c t o r 1 . 0 N / A 1 . 2 0 6 4 2 ' 2 0 6 4 O S 2 . 3 8 2 9 4 3 . 2 7 6 2 . 5 0 C o m m u n i c a t i o n I n s p e c t o r 1 . 0 N / A 1 . 2 0 6 4 2 ' 2 0 6 4 . 0 8 2 . 3 8 2 9 4 3 . 2 7 6 2 . 5 0 T e s t E n g i n e e r 1 . 0 N / A 1 . 2 0 6 4 2 ' 2 0 6 4 . 0 8 2 . 3 8 2 9 4 3 . 2 7 6 2 . 5 0 T e s t T e c h n i c i a n 1 . 0 N / A 1 . 2 0 6 4 2 ' 2 0 6 4 . 0 8 2 . 3 8 2 9 2 4 . 0 4 3 8 . 4 7 S i g n a l D e s i g n E n g i n e e r 1 . 0 N / A 1 . 2 0 6 4 2 . 2 0 6 4 . 0 8 2 . 3 8 2 9 3 8 . 4 7 5 2 . 8 9 S r . S i g n a l E n g i n e e r 1 . 0 N / A 1 . 2 0 6 4 2 . 2 0 6 4 . 0 8 2 . 3 8 2 9 4 8 . 0 8 7 2 . 1 2 C A D T e c h n i c i a n 1 . 0 N / A 1 . 2 0 6 4 2 . 2 0 6 4 . 0 8 2 . 3 8 2 9 X 1 8 . 0 0 3 8 . 4 7 P r o j e c t M a n a g e r 1 . 0 N / A 1 . 2 0 6 4 2 ' 2 6 6 4 . 0 8 2 . 3 8 2 9 4 3 . 2 7 6 2 . 5 0 A d m i n i s t r a t i v e A s s i s t a n t 1 . 0 N / A 1 . 2 0 6 4 2 ' 2 0 M . 0 8 2 . 3 8 2 9 X 1 8 . 0 0 3 8 . 4 7 " N o t e 1 : P a y r o l l a d d i t i v e s i n c l u d e d i n o v e r h e a d c o s t s . I T E M P e r D i e m V e h i c l e C a r m i l e a g e R e n t a l C a r T r a v e l " H o t e l " M e a l s P h o t o c o p i e s ( B l a c k & W h i t e ) P h o t o c o p i e s ( C o l o r ) P h o t o g r a p h s / o t h e r r e p r o g r a p h i c S e r v i c e s P o s t a g e / S h i p p i n g C o u r i e r S e r v i c e O t h e r R e n t a l s , s u p p l i e s , p u r c h a s e s A d v e r t i s i n g G r a p h i c D e s i g n S e r v i c e s T r a n s l a t i o n S e r v i c e s S u b - C o n s u l t a n t R e i m b u r s a b l e O t h e r D i r e c t C o s t s R E I M B U R S E M E N T R A T E A c t u a l C o s t $ 1 , 4 0 0 m a x p e r m o n t h 0 . 5 0 o r c u r r e n t I R S r a t e A c t u a l C o s t $ 1 5 0 / p e r n i g h t $ 3 0 / p e r n i g h t A c t u a l C o s t A c t u a l C o s t A c t u a l C o s t A c t u a l C o s t A c t u a l C o s t A c t u a l C o s t A c t u a l C o s t A c t u a l C o s t A c t u a l C o s t E x h i b i t C 7 2 5 1 Toll -Free Helpline Services Actual Cost Agency Fees (recording fee, etc) Actual Cost Mobile Laser Scanning Equipment (TITAN) $15,000.00 per day C- Sub-Consultant Reimbursable Other Direct Costs (continued) ITEM Nuclear density gauge Photo -Ionization Detector (PID) Standard Block Weld Test CONCRETE, MASONRY & ASPHALT LAB TESTING Pick-up and Delivery of Test Specimens Concrete Cylinders Compressive Strength (ASTM C 39) Mix Design, Review of Existing Data -Concrete, Asphalt Asphalt Concrete Maximum Density — Hveem Mortar Cylinders (2 by 4 inches) Grout Prisms (3 by 6 inches) CMU Grouted Prisms (Comp Test < 8 by 8 by 16) Bolt Tensile Test Bolt, Nut or Washer Hardness Test Rebar Tensile Strength, <_No. 10 Bars Rebar Bend Test, <_No. 8 Bars SOIL & AGGREGATE LAB TESTING Maximum Density/Optimum Moisture ASTM D1557-07 Sand Equivalent (SE) R-value Sieve Analysis D 422 Expansion Index (El) Corrosion Testing (pH, resistivity soluble sulfate & chloride) REIMBURSEMENT RATE $88.00 per day $200.00 per day Actual Cost $ 80.00 per trip $ 25.00 per each $150.00 per each $125.00 per each $ 25.00 per each $ 25.00 per each $180.00 per each $ 50.00 per each $ 50.00 per each $ 45.00 per each $ 45.00 per each $220.00 per each $105.00 per each $310.00 per each $110.00 per each $131.00 per each $245.00 per each Other Direct Cost Permitted under the FAR and not listed above are reimbursed at Cost Travel by air and travel in excess of 100 miles from the Consultant's office nearest to the Commission's office must have the Commission's prior written approval to be reimbursed under this Agreement. Exhibit C 7 252 RIVERSIDE COUNTY TRANSPORTATION COMMISSION - RFO No. 10-12 058 00 DOLLAR COSTWILLLONLY HDR CONSTRUCTION CONTROL CORPORATION DISPLAY AT END OF EACH - • PERRIS VALLEY LINE METROLINK IMPROVEMENT PROJECT Project Start 1-Aug-104A ROW, NOT UNDER EACH COST PROPOSAL for HOURLY ENTRY, TOTAL TASK COST Construction Management Services, Materials Testing, and Construction Surveying SUMMARY Project End: 30: r33 July 2, 2010 Duration (months): 33 EFFECTIVE DATES OF LABOR RATES »» _ August 1, 2010 to April 30, 2013 TOTAL COST SUMMARY LABOR/EXPENSE ALLOCATION BY Phase FIRM HDR-CCC HDR-ENGR SIMON WONG ARCADIS ARELLANO DAVID EVANS - oaw rwdm GONZALEZ- WHITE GRIECO LEIGHTON XO RAIL Total Total HOURS HOURS HOURS HOURS HOURS HOURS HOURS HOURS HOURS HOURS HOURS Labor Labor Travel E Direct Grant Total - _ COSTS COSTS COSTS COSTS COSTS COSTS COSTS COSTS COSTS COSTS COSTS Hours Dollars Expenses Pre - Construction Phase - 3208 2,846 3,49@ 960 294 424 168 - 104 436 294 984 13217 $ 2.132,088 . $ 554212 $ 397,949 $ 538,581 $ 148,122 $ 38,463 $ 126,609 $ 21,555 $ 8,720 -$ 57,179 $ 52,180 $ 188,518 Xorail Labor $ 188518 $ 134,915 5 2267003 ODOs pp 'her $,. 56.380 `` $,. 17,8660 ^�, $- 23950 •,.7.: .. $ 4704 $ 18,550 $ .. T,000 .5 .. $ ,$ 1150 $ 9,625 $ 300 = Subs OlLabor= $ HDR5%FEE $ 9,426 y Jy dia, 5n:r - r 1 'e3 `�^ C�,.. u' {. •f'.0 T�n%�-f°, YXr • .3 3 Z E, y 1 -�-ryy . ;,�k�yik, �f ..:+"' f.,"", 991,409 HDR3%FEE $ 29,742 3' ,f ai.: a %rf'f rt b., . , ..:: ..- _ ..;.... ... ... ': -.. - $ - TOTAL PHASE $ 2,306,171 Constl71Ct1OR,P11aj ;; ... .. .. .. . '- 2273a „5,934„ ,` : x3A2$ , 4,492 1,197 ': 940 - �31102 . ' 712 5.080 5:720 - - 10,395- 83,423 $ 11,642.607 $ 867,193 3208174 $ 451,511 3366,852 710,127 144,046 331206 413,844 60,919 , .:'. 684,004 817,619 1,454,305 Xorail Labor. $ 1,454,305 HDR5%FEE $ 12,509,801 b z �;EaE� -- 244625 't. . ' 7.100 .:. .60$ S 33.140 $ 41950 _ $ _ 8, , e - $ -. $. $ . -. 29.900 $'.. ' 216,940, $ - 41,538 Ober Subs labor. $ 6.528.617 3 72,715 ,.,, ,• 1 •:._, +-y 'i-L''�"" Sit �` T'#r2' Y", �-i n,S '+' 'hfi S `� �' .r .nos' `'r 1Yi i�' "A[t 'IE-Y{'TJSr ,r£, ^vvt^'4 3 HDR3%FEE $ t• :. .•. .. 3y" .{?`." -X 4N.'. k g4 9'.�+y i _ .. P�,;; ° :.. Z.h3� tFJ t es'+ 5,165 $ 776,915 $ 40,361 $ 817,276 iL. -n-•x«e- <': a`•+°+s r 153A22 121,826 45628 77077 4.633 103.331 2635 48986 Xor4il latxtra $ 48.986 MDR :' v .a+ (- �^ #�-+.4"•e. c ..iya,-y-4i,yam Y3c:5Tfi`�STF YFi3l�� a �.h s c�"e 't 4 :�, *'=z ez�s+ ,� •c sli •'�'L }s g�Y { Y , 5: - Other sibs $ 2, 449 ,.i°.€ '�,.j �' �N°s ,L. i- Labor $ 574 7 HDR 3 %FEE - ; 7 .s`- :.._ k i f + .. - j r..�K- ,'. 1.€. +r .90 ¢... ��� �.e.. $ 17 47 -..; x w .ram,. �'I'� -:._ m....,., '^BM=3 "tx:,.n.� _,.a1E. .,. xa¢.,„c:', :]ems -. ;r•'+'� ?',SG` .,.. } .. a+�:ta rt-' 6 , ... :�::, ••-z'-. ''`... .+ .a`n2'`.,s.+. ,..,, ^e. tv7.i�r„`i �S-=.t".+.'IkN'r ru, �� .. -:u:C '1�'1 'tiiri S'W MiiMiSBNES- $ - TOTAL PHASE $ 836,973 gFm,.,y P 1� a •$1 •. .04-Mg _��a I0ICib X447{Ail:_, Total Hours Total Labor Total ODC's Totals 1e't780',-v�'•g(1g4"' y,r t" ,S,>�T2i r r - Hi99t .•"r� y ..L ._ f , <-�, , it S` :. ��,. 6plf"2' � 11.739: . 101,805 14,551,610 1,042,469 TOTAL LABOR COSTS R { $ 3 15,403 $ 843460 $ 4125 ;= $ 980,076 $ 1 509 $ 503 $ 51 477 $ 74472 ,':'G;280, $ 844,514 $ 872434 $ 1 91 ,: Xorail Labor $ $ 1691,8013 $ HDR5%FEE $ 15,599,080 s 'E� v'11` p.,•`ry�t£iY n Fr%X 1�,. °1F `eY'.;lx °A 'u °°y 1 -.. `.` :. 2 r"�.a. #•4 .. '. :.: r, Cr Subs $ 84590 ': M h• r+ ,. 1E0,'S4Ds °x'+f4+S6, ).`1'C•''rS`-. �,.. :"k^a"• f•$''38t91'S S R Tom. S ::�4k046: Labor= $ $ HDR3%FEE $ 242,848 t ys, ,r. ,. F ^ij .+' e!s ' - - P 5•,i .1�p s,+( s$. a t=r + 1 4-''a'4.. �i£ 2 e$ � JrYA 44X�1u s' . �$ '88:1,429 $. 1; 01190 $� 'Iji35,018 ,094,933 SUBTOTAL $ 15,921,s1s 3 -. .T, ri. :L- f> -ram -h,-.. ^4?,,•Y'P s ^Y=3, Railroad Liability Maur - SY R r a =taf } :� rx-+�� s$ rxn sz. ate- TOTAL PROPOSAL 15,950,146 SI ry i'a�`�•" a �,„�:5 ,. x�y '`"�s."`,7,' x+` y tK .„ ^2t - S i 1 ''t.t�1i. � ,+1"i d� -•a. � '-.. l.F. . N ' ..- .. a .'.. SPY � "�`'+° .� t r Y - w ( ° %-x a� �H yr t�,'�' X ,.- j:' '� yY #, �u+A �, S-=, " T" 1 �ts% ECkiWf ,} M' x 4 DAY1D,sVll,f�5 ".a�"xs x2, ..: A �, s �^F' `r s n v tom' ,�.. s "dx•_ s 1 , :; ial HDR-,ma�rWrS - . v q- 45r � y� e F -fH1 1 '•E;R1E�0 e 1EIGH71N4 XO RAIC on:su6s. Cro/� , S13j'ST4-.'u 5124Z: �3i `1`t' ' S, s57� $64;625 $125,319 .. .$327.438 $1,077,497 -. .. :$r- :?u Y..ts ^, ✓,y. sd+ r 3 "::i•.p,Ewla�iNF, •3 t , iT'a 'tt Page l d l 253 RIVERSIDE COUNTY TRANSPORTATION COMMISSION RFO No. 10-13058-00 PERRIS VALLEY LINE METROLINK IMPROVEMENT PROJECT Project Sari: 1-Au9-10' HDR CONSTRUCTION CONTROL CORPORATION COST PROPOSAL for ^S,UMMARY OF '. Construction Management Services, Materials Testing, and Construction Surveying ' PREcoNSTRucnoN � - PHASE COSTS PHASE: PRE -CONSTRUCTION TASKS" Project End: 31/7APr-1$ Duration (months): 33 No. EFFECTIVE DATES OF LABOR RATES »» - - - &mast 1, 2010 to March 31, 2011 - - -TOTAIL psi: SUMMARY . - =_ LABOR/IXPENSE ALLOCATION BY TASK PRE -CONSTRUCTION TASKS Task Description FIRM HDR-CCC - HDR-ENGR SIMON'' WON( - ARCADIS ARELLANO DAVID EVANS - slR4rnsul. GON2ALEZ- WHfTE GRIECO LEIGHTON XO RAIL. Total Labor Hours Total Labor Dollars Travel $Direct Expenses Grand Total... HOURS ' HOURS HOURS : _.. HOURS HOURS HOURS ;' HOURS HOURS - HOURS': HOURS, ;. HOURS; -:; ... ' .CASTS COSTS- . CiGETs � . C05T5... COSTS COSTS.: C05T5 + COSTS. •,. 'COSTS :'. ^ .`C(iSTS.!;% , . COSTS': ^ • 01 02 07 10 13 17 18 19 00 05 06 15 03 08 12 16 00 11 t rr. 6"tabi li ' MANAGEMENT a ADMINISTRATION R� m. :'-r „ .,V .., 5.; ._„ YS„1 ..,' .�.. krti >_ a ..M v __ .,.x _ -188 32 454 - - - 8 - 682 $ 125,857 ae. �* C Am "arvR "sn.tix�rc.. $ 125,857 $ 32,315 $ 5,656 $ 86,859 $ 1,026 - amka'aVi a"v „Sd.S .JI m., +.x Y15E.2 �. ��'a c"X: (+z''X' 348 ;20 -.:260 - _ ....- 8 ..18 24 _.,44 n 40': 832 $ 134,868 tt. v; -..a�.,°�i' S 134,868 $ 62.563 E 2,853 $ 38,660 $ 2,128 $ 2,053 $ 1,991 $ 5,782 $ 11213 $ 7,625 "» yV`1S'bS y r, ash^. 4, r, 1.. = zP ,o=. ix..: st u, t��iar .,�..... ..... 1.1,_- "�Y,. n .1 z� -, -�'�12 - 40 _ '..20B .250. -: . _ . �3E. �,58' .. , CAA... ._ - Ml. , '¢P 918 $ 154.433 l'�` °e $ 154,454 $ 39,881 $ 7,860 $ 34,146 $ 40,009 S 4,106 $ 4,738 $ 5,304 $ 10,612 $ 7,778 'V .2'.iy o-iYn�m..--s, n ..0 �'w.7i 1 � - ,:'�60 _.._. 200 ^8 . ., .� .�@ '� _ .4r 49 8 $ 418 79. �', �,Q.,` w`5,`%R,`4h.'«' S 7941 , 8 $ 25.057 $ $ 34,030 $ 1026 $ 11648 $ 76�56]� LSRa$`aLt - R{ tit 4x ; s i _ I 4 - 25 144- t& 24 14: A -002 $ 147,890 e16a,>a� $ 147,890 $ $ $ 31319 $ 2/,682 $ 2053 $ 1991 $ 3,671 2142 $ 7656 - y _....., ..'`' A. 40 $ 8.492 �rt�,i_2 a-*�„a" S 8,49277,376 $ 5498 $ $ 2,995 ,_,, :.r -tr '. c 80 " 00, - - _ .5i.2' .8 •. Y ; ` " .. 360= 960 $ 179,606 s�,'s % 'b $ 179,606 $ 4- E 14,001 $ 30,905 E 18,685 $ 1,026 $ 88,894 �"X„- ., ,..,.-,.�....I:.w&...,-.: ,,... .. ,!. -.._ _.. =�. - c'96' - o -28'4 - - --,. 430 $ 62,061 kkn.BBe'�'a:$ 62,061 $ 15,144 $ - $ 8,454 $ 38,463 c c"remep . 6 m o m-yg PROJECT CONTROLS �� ..,.a,., ,&.....,t a .,.1�,£.,., . r s r ._ � . , ^ z xEf 3 .: . - .. � 262 � .. ... .. - _. - - 262 $ 46.603 'a'L a v ab� m $ 45 `,.,03 $ 45,503 k 1,2 ' ..» G, „ ,?'d xl. 1 .. -< ,. _.�„ "sl. �,; ��a = - '`, 120 - .., 1Sb 't 248 - - - - 32 • .'40' 596 $ 104,46E '* 'Y` °�°r''°. S 104,468 $ 21 920 $ - $ 31,643 $ 39,089 $ 4,160 1 7,658 -q;q'y,q. ;a:- ::*4 Mr sw v,-„„:L...^.uti.r.-.. a"A:, ...: ,. n .: z ...a.t^�., , ,' ,:T32- 320 --12 .. -..._ - :i, . ., _-,. - � - 184 $ 87,515 mn 1L� °"m $ 87.616 $ 25,225 $ 59,590 $ 2.700 3.,7kuia..^:2k14,-J152 .::100 -.. - .. , - -f. �:24 ..r.. _. .... ..- . 480 $ 72,928 a s_¢ Ik...-lis, 4A $ 72,928 $ 35,372 $ - $ 19,821 $ 14,656 $ 3,079 - - Vartei'M'rett v a.7! al" :3,a.,e;I '^' ,-.%x.,,1 ^ .a � .�,!l. �1s.., s, ±. -224 ,217 --'174 40� .$ .j4' 679 $ 90,492 �aSq,,pi $ 90,492 $ 28.923 $ - $ 26,141 $ 25,660 $ 5,132 4,636 CestWitailei DUALITY ASSURANCE - xa Zkyi>m Ais ii,, nl�a .,`p-(::rS l'`S.:.14";1¢'-Slbi�(�w�Sk�at a`.,as,s^E,+k:� .. '2&1. - 132 16 ao 126 200. 838 $ 143921 CVvnHa,5\S�°ss. $ 143,921 46451 $ - $ 22.n2 $ 4256 $ 10,400 $ 21,764 $ 38,279 q °o._-. v�m is ,M aSssv?.1 ,`', a,. ; - .Y4. " ,,�"„+ t 1a �3 'x - .24 1,224 '24 - _ - - _ - - 4Q 1,312 $ 193,353 L o° d $ 193,353 $ 4,955 $ 175,375 $ 5,364 $' 7,656 # �m_° .;Wiaa:,,_�',,,,y- "= % -:na .+ki�1�'-` 'I`�•�''`µ,iw^ t'`'^ 48 - 80 336 - 40 512 $ 126,840 'm"a501'_L'k-;§"a' $ 126,840 $ 7,298 $ - $ 13538 $ 98,348 $ 7,656' m sus a cep £"sCS� trip Q.y�„1, y, e s 47'mitq%' 4 #1't;+t9s �`j`e 284 - 192 44 12 - 16 - 124 42 120' 834 $ 130,189 .:ti: a®s ': $ 130,189 $ 45247 $ - $ 26,980 $ 7,026 $ 3,192 $ 2,053 $ 16,214 $ 6,449 $ 23,028 y i ,:�?�..x ].; b�"i�� .•Lr ,.... J"{�iP:"4�.',�. -. - 112 - - 800 912 $ 124.263 � '�'yy � � $ 124,263 $ 17030 $ - $ 106,433 - no¢°c c la`s d a"n'a"'a ENVIRONMENTAL :aw ds�...za, Rd.,..+k..�.,'`��-�'^'� �. 104' 400 16. _ , . - - .-- ._- - 520 $ 81,951 S oai't'tk== . $ 61,951 $ 17,060 $ 41279 $ 3,612 Sw°:a .uT`.-'�+r? r"^ 's b,Yy� d(j�4�„b»"a aAFa$ - 468 80 ma $ 50,041 ,°,tdf.r.:" o°»L,"r $ 58,041 $ - $ 45,831 $ 12210 ` <1,5.', o-�`".:xb3.4 $ TOTAL LABOR- HOURS 3,208 2,846 3,499 960 294 424 168 104 436 294 984. 13,217 2,132,088 �{=� k�>c:-zL' 2,130,088 TOTAL LABOR COSTS $ 554,212 $ 397,949 $ 538,581 $ 148,122 $ 38,463 $ 126,609 $ 21,555 $ 8,720 $ 57,179' t 52;100 $ 100518 �'-_.+_ _ "_.:_.a"_��=t'--;»;='i„^. ,: T=s++'•.-+5�',�',;-"v a� °4y'+ia_e.mE.»„ TOTAL ODC's $ 58,380 $ 17,2_60 $ 23,950 $ 4,700 $ 18,550 $ 1000 $ • $ - • $ 1,150 $ 9,625. $ 300 S.', YakNNka a. 4'i. 'p- $ 134,915 $ 134,915 4 3ewr�5%'Saao-xR_n'a _z_a'x�s x`a nik_Sa SUMMARY OF PRECONSTRUCTION PHASE COSTS $ 612,592 $ 415,209 $ 562,511 $ $ 1552.822 $ 57,013 $ 127,609 $ 21,555 $ 8,720 $ 58,329 $ 61,805 $ 188,818 13,217 $ 2,132,088 $ 134,915 $ 2,267,003 Pape 1 W I 254 " " " R I V E R S I D E C O U N T Y 1 1 0 4 S P g R A i I I X I 4 V 1 # M I S S M N I R F D N o . 1 1 3 1 3 0 5 6 0 0 P E R R I S V A L L E Y L I N E - M E T R O L I N K I M P R O V E M E N T P R O J E C T P , y e c t E M : t - A a g # 8 P r o j e c t E N : 3 . ; = o u a l e , ( m o n m s t �� E F F E C T I V E D A T E S O F L A B O R R A T E S > I A I N M / E X P E N S E A L L O C A T I O N B Y T A S K C O N S T R U C T I O N T A S K S i a s k D e s e r i p 8 a n N O M A G E M E H T f A D M I M S T M T O N H E I R C O N S T R U C T I O N C O N T R O L C O R P O R A T I O N C O S T P R O P O S A L f o r C o n s t r u c t i o n M a n a g e m e n t S e r v i c e s , M a t e r i a l s T e s t i n g , a n d C o n s t r u c t i o n S u r v e y i n g P h a s e : C O N S T R U C T I O N S U M M A R Y S u m m a r y o f C o n s t r u c t i o n P h a s e C o s t s R P M H D R - C C C N O R - E K O N S W E A R C A M S A R E L L A N O A p r i l 1 , 2 0 1 1 U 1 r u O c t o b e r 3 1 , 2 0 1 2 D A V I D E V A N S 6 / O R A D E L L ! G O N Z A L E Z - G R I E C O L E I G H T O N X O R A I L H O U R S H O U R S H O U R S P O U R S R W Y S I g U R S H O U R S H O U R S T O U R S ! O U R S H O U R S C O S T C O S T S C O S T S C O S T S C O S T S C O S T S C O S T S C O S T S C O S T S C O S T S C O S T S 6 6 . 2 4 - i . 1 0 7 b 7 9 a s $ 1 8 # 0 7 T T Y 9 ' i 1 3 5 . 1 5 6 - I N O I M M f 5 3 / 8 P i 1 a x } B a s : 3 . 7 5 3 i 1 9 Y ��1 8 T S I - 7 0 8 1 1 1 1 1 1 1 1 1 1 6 1 1 1 1 1 1 1 1 1 t T B 8 3 9 } A r a r l N M = 2 5 , 3 6 7 1 1 1 S 3 3 8 H i . 3 T . # H 1 3 2 P S . H T 4 w ' t ��C y . n A ' t e . . , r J i r . n : . _ r � m o w m g m a s s a y n a g u _ s i s z e t z s z s z e n t e m a s i m m e n e w i n t a m e m i s i x i m s a w a m i l a s s i a l a s m a m a i a 3 s 1 # E t A a R o n i m l T x T O T A L L A B O R s 4 . 5 1 2 3 5 3 8 . 6 1 1 - i - . 2 $ 3 3 , 7 I 5 2 ' 8 ; = Y H 2 6 T i : . . 1 8 $ . 4 V 8 : i : . . 1 1 7 A 9 6 f - 4 1 3 8 4 4 P a r i s 1 a r 2 5 5 0 0 . 9 1 9 3 ' S a n i - 1 . 0 3 6 $ 9 f . . 1 , 4 9 5 , 8 0 Y t ' ` e G r a f f T a d T O T A L C O S T S U M M A R Y T o t a l L a b o r T r a v e l 6 D i r e c l D o l l a r s E x p e n s e s 1 9 . 7 0 7 - S 1 9 . I 0 7 S 3 . 1 9 6 . 1 4 4 RIVERSIDE COUNTY TRANSPORTATION COMMISSION RFO No. 1043-058-00 PERRIS VALLEY LINE METROLINK IMPROVEMENT PROJECT Project End: 1-Aug-10 Project End: 30-Apr-13 Duration (months): 33 DOLLAR COST WILL ONLY DISPLAY AT ENO OF EACH ROW, NOT UNDER EACH HOURLY ENTRY, HDR CONSTRUCTION CONTROL CORPORATION COST PROPOSAL for Construction Management Services, Materials Testing, and Construction Surveying PHASE: POST- CONSTRUCTION TASKS- Summary of Post' Construction Costs, EFFECTIVE DATES OF LABOR RATES »» November.1, 2012 thru April. 30 2013'` 'TOTALCOST SUMMARY: LABOR/EXPENSE ALLOCATION BY TASK POST -CONSTRUCTION TASK Task Description FIRM HDR-CCC' HDR=ENGR` SWE,' - ARCADIS • ARELLANO DAVID. EVANS GHIRARDELLI GONZALEZ- WHITE GRIEGO LEIGHTON XO'RAIL HOURS HOURS HOURS. HOURS HOURS HOURS HOURS HOURS.': COSTS COSTS COSTS COSTS COSTS. COSTS • COSTS Total Labor Hours Tout Labor Dollars Travel A Direct Expenses Grand Total MANAGEMENT d, ADMINISTRATION $ 513,896.36 1,032'' $ 153.922 380 60,913 252' $ 33,304 56 $ 4,833 764 $ 103,331 28 E 2,635 $ 48,986 3,204 $ 466,820 l $ E 466,820 52 $ 9.339.92 $ 84,785.77 OUAITTY ASSURANCE 106; 5 17,318 t: $ 40,502 $ 60,913 115 $ 45,628 90' E 5,235 292 $ 38,539 198 1,715 $ 31,893 $ 270,368 S 1. E 31,893 270,368 E $ $ 7,834 a 48 7,834 $ 7,834 zz s s $ s $ a s a a $ s s a $ s s s s $ $ S a s s $ $ s a s a s a s $ s s s TOTAL LABOR HOURS TOTAL LABOR COSTS .TOTAL ODC•3 1,076 $ 153,022 $ 9,226 1,422 $ 219 576 $ 10,600 760 $ 121,826 $ - 4,300 115 $ 45,628 $ 6,600 584 $ 77,077 $ 56 $ 4,833 764 $ 103,331 $ 7,865 28 $ 2,635 $ 200 360 $ 48,986 $ 2,170 Sub Total 5,165 $ 776,915 $ 40261 E 776,915 $ 40,361 TOTAL COSTS $ 162248 $ 229,576 $ 126,126 $ - $ 52,228 $ 77,077 $ 4,833 $ 111096 $ 2,15 $ 51,156 Grand Total 5,165 $ 776,915 $ 40,361 $ 817,276 Page 1 al 1 256 " " " E X H I B r r " D " F E D E R A L T R A N S I T A D M I N I S T R A T I O N R E Q U I R E M E N T S N o t w i t h s t a n d i n g a n y t h i n g t o t h e c o n t r a r y c o n t a i n e d i n t h e A g r e e m e n t , i n c l u d i n g t h e o t h e r E x h i b i t s a t t a c h e d t h e r e t o , t h e f o l l o w i n g p r o v i s i o n s s h a l l a p p l y i f f u n d i n g f o r t h e S e r v i c e s i s p r o v i d e d , i n w h o l e o r i n p a r t , f r o m t h e F e d e r a l T r a n s i t A d m i n i s t r a t i o n ( " F T A " ) . I n a d d i t i o n , E x h i b i t s " H " a n d " I " a t t a c h e d t o t h i s A g r e e m e n t , m a y b e r e p l a c e d a n d s u b s t i t u t e d w i t h s i m i l a r f o r m s r e q u i r e d b y F T A . C o n s u l t a n t a g r e e s t o c o m p l e t e a n y s u c h s u b s t i t u t e f o r m s . 1 . N O F E D E R A L G O V E R N M E N T O B L I G A T I O N S T O T H I R D - P A R T I E S B Y U S E O F A D I S C L A I M E R ( M a s t e r A g r e e m e n t s � 2 . f ) ( 1 ) T h e C o m m i s s i o n a n d C o n s u l t a n t a c k n o w l e d g e a n d a g r e e t h a t , n o t w i t h s t a n d i n g a n y c o n c u r r e n c e b y t h e F e d e r a l G o v e r n m e n t i n o r a p p r o v a l o f t h e s o l i c i t a t i o n o r a w a r d o f t h e u n d e r l y i n g c o n t r a c t , a b s e n t t h e e x p r e s s w r i t t e n c o n s e n t b y t h e F e d e r a l G o v e r n m e n t ( " G o v e r n m e n t " ) , t h e F e d e r a l G o v e r n m e n t i s n o t a p a r t y t o t h i s c o n t r a c t a n d s h a l l n o t b e s u b j e c t t o a n y o b l i g a t i o n s o r l i a b i l i t i e s t o t h e C o m m i s s i o n , C o n s u l t a n t , o r a n y o t h e r p a r t y ( w h e t h e r o r n o t a p a r t y t o t h a t c o n t r a c t ) p e r t a i n i n g t o a n y m a t t e r r e s u l t i n g f r o m t h e u n d e r l y i n g c o n t r a c t . ( 2 ) T h e C o n s u l t a n t a g r e e s t o i n c l u d e t h e a b o v e c l a u s e i n e a c h s u b c o n t r a c t f i n a n c e d i n w h o l e o r i n p a r t w i t h F e d e r a l a s s i s t a n c e p r o v i d e d b y F T A . I t i s f u r t h e r a g r e e d t h a t t h e c l a u s e s h a l l n o t b e m o d i f i e d , e x c e p t t o i d e n t i f y t h e s u b c o n s u l t a n t w h o w i l l b e s u b j e c t t o i t s p r o v i s i o n s . 2 . P R O G R A M F R A U D A N D F A L S E O R F R A U D U L E N T S T A T E M E N T S A N D R E L A T E D A C T S ( M a s t e r A g r e e m e n t � 3 . f ) ( 1 ) T h e C o n s u l t a n t a c k n o w l e d g e s t h a t t h e p r o v i s i o n s o f t h e P r o g r a m F r a u d C i v i l R e m e d i e s A c t o f 1 9 8 6 , a s a m e n d e d , 3 1 U . S . C . � � 3 8 0 1 e t s e q . a n d U . S . D O T r e g u l a t i o n s , " P r o g r a m F r a u d C i v i l R e m e d i e s , " 4 9 C . F . R . P a r t 3 1 , a p p l y t o i t s a c t i o n s p e r t a i n i n g t o t h i s P r o j e c t . U p o n e x e c u t i o n o f t h e u n d e r l y i n g c o n t r a c t , t h e C o n s u l t a n t U N I T E D S T A T E S O F A M E R I C A D E P A R T M E N T O F T R A N S P O R T A T I O N F E D E R A L T R A N S I T A D M I N I S T R A T I O N M A S T E R A G R E E M E N T F o r F e d e r a l T r a n s i t A d m i n i s t r a t i o n A g r e e m e n t s a u t h o r i z e d b y 4 9 U . S . C . c h a p t e r 5 3 , T i t l e 2 3 , U . S . C . ( H i g h w a y s ) , S a f e , A c c o u n t a b l e , F l e x i b l e , E f f i c i e n t T r a n s p o r t a t i o n E q u i t y A c t : A L e g a c y f o r U s e r s , t h e N a t i o n a l C a p i t a l T r a n s p o r t a t i o n A c t o f 1 9 6 9 , a s a m e n d e d , t h e T r a n s p o r t a t i o n E q u i t y A c t f o r t h e 2 1 s t C e n t u r y , a s a m e n d e d , 2 3 U . S . C . � 1 0 1 n o t e , o r o t h e r F e d e r a l e n a b l i n g l e g i s l a t i o n ; F T A M A ( 1 4 ) ; O c t o b e r 1 , 2 0 0 7 ; I h t t p : / / w w w . f t a . d o t . g o v / d o c u m e n t s / 1 4 - M a s t e r . p d f l . R V P U B \ H S H A N E \ 7 7 2 6 4 1 . 1 E x h i b i t D - 1 2 5 7 certifies or affirms the truthfulness and accuracy of any statement it has made, it makes, it may make, or causes to be made, pertaining to the underlying contract or the FTA assisted project for which this contract work is being performed. In addition to other penalties that may be applicable, the Consultant further acknowledges that if it makes,. or causes to be made, a false, fictitious, or fraudulent claim, statement, submission, or certification, the Federal Government reserves the right to impose the penalties of the Program Fraud Civil Remedies Act of 1986 on the Consultant to the extent the Federal Government deems appropriate. (2) The Consultant also acknowledges that if it makes, or causes to be made, a false, fictitious, or fraudulent claim, statement, submission, certification, assurance, or representation to the Federal Government under a contract connected with a project that is financed in whole or in part with Federal assistance originally awarded by FTA under the authority of 49 U.S.C. chapter 53 or any other Federal law, the Government reserves the right to impose the penalties of 18 U.S.C. § 1001 and 49 U.S.C. § 5323 on the Consultant, to the extent the Federal Government deems appropriate. (3) The Consultant agrees to include the above two clauses in each subcontract financed in whole or in part with Federal assistance provided by FTA. It is further agreed that the clauses shall not be modified, except to identify the subconsultant who will be subject to the provisions. 3. ACCESS TO RECORDS (Master Agreement §§ 8.c, d, t) 1. Consultant agrees to provide the Commission, the FTA Administrator, the U.S. Secretary of Transportation, the Comptroller General of the United States or any of their authorized representatives access to all Project work, materials, payrolls, and other data of the Consultant which are directly pertinent to this contract as required by 49 U.S.C. § 5325(g). 2. The Consultant agrees to permit any of the foregoing parties to reproduce by any means whatsoever or to copy excerpts and transcriptions as reasonably needed. 3. The Consultant agrees to maintain all books, records, accounts and reports required under this contract for a period of not less than three years after the date of transmission of the final expenditure report, except in the event of litigation or settlement of claims arising from the performance of this contract, in which case Consultant agrees to maintain same until the Commission, the FTA Administrator, the Comptroller General, or any of their duly authorized representatives, have disposed of all such litigation, appeals, claims or exceptions related thereto. Reference 49 CFR 18.39(i)(11). 4. FTA does not require the inclusion of these requirements in subcontracts. 4. FEDERAL CHANGES RVPUB\HSHANE\772641.1 Exhibit D-2 258 • • " " " ( M a s t e r A g r e e m e n t � 2 . c ( 1 ) ) C o n s u l t a n t s h a l l a t a l l t i m e s c o m p l y w i t h a l l a p p l i c a b l e F T A r e g u l a t i o n s , p o l i c i e s , p r o c e d u r e s a n d d i r e c t i v e s , i n c l u d i n g w i t h o u t l i m i t a t i o n t h o s e l i s t e d d i r e c t l y o r b y r e f e r e n c e i n t h e G r a n t A g r e e m e n t o r C o o p e r a t i v e A g r e e m e n t b e t w e e n t h e C o m m i s s i o n o r t h e R i v e r s i d e T r a n s i t A g e n c y a n d t h e F e d e r a l G o v e r n m e n t ( " G r a n t A g r e e m e n t o r C o o p e r a t i v e A g r e e m e n t " ) , a s t h e y m a y b e a m e n d e d o r p r o m u l g a t e d f r o m t i m e t o t i m e d u r i n g t h e t e r m o f t h i s c o n t r a c t . C o n s u l t a n t ' s f a i l u r e t o s o c o m p l y s h a l l c o n s t i t u t e a m a t e r i a l b r e a c h o f t h i s c o n t r a c t . 5 . C I V I L R I G H T S R E Q U I R E M E N T S ( M a s t e r A g r e e m e n t � 1 2 ) ( 1 ) N o n d i s c r i m i n a t i o n - I n a c c o r d a n c e w i t h T i t l e V I o f t h e C i v i l R i g h t s A c t o f 1 9 6 4 , a s a m e n d e d , 4 2 U . S . C . � � 2 0 0 0 d e t s e q . , U . S . D O T r e g u l a t i o n s , " N o n d i s c r i m i n a t i o n i n F e d e r a l l y A s s i s t e d P r o g r a m s o f t h e D e p a r t m e n t o f T r a n s p o r t a t i o n E f f e c t u a t i o n o f T i t l e V I o f t h e C i v i l R i g h t s A c t , " 4 9 C . F . R . P a r t 2 1 , F T A C i r c u l a r 4 7 0 2 . 1 A , " T i t l e V I a n d T i v l e V I D e p e n d e n t G u i d e l i n e s f o r F e d e r a l T r a n s i t A d m i n i s t r a t i o n R e c e i p t s , " M a y 1 3 , 2 0 0 7 , F e d e r a l t r a n s i t l a w a t 4 9 U . S . C . � 5 3 3 2 , t h e C o n s u l t a n t a g r e e s t h a t i t w i l l n o t d i s c r i m i n a t e a g a i n s t a n y e m p l o y e e o r a p p l i c a n t f o r e m p l o y m e n t b e c a u s e o f r a c e , c o l o r , c r e e d , n a t i o n a l o r i g i n , s e x , a g e , o r d i s a b i l i t y . I n a d d i t i o n , t h e C o n s u l t a n t a g r e e s t o c o m p l y w i t h a p p l i c a b l e F e d e r a l i m p l e m e n t i n g r e g u l a t i o n s a n d o t h e r i m p l e m e n t i n g r e q u i r e m e n t s F T A m a y i s s u e . ( 2 ) E q u a l E m p l o y m e n t O p p o r t u n i t y - T h e f o l l o w i n g e q u a l e m p l o y m e n t o p p o r t u n i t y r e q u i r e m e n t s a p p l y t o t h e u n d e r l y i n g c o n t r a c t : ( a ) R a c e , C o l o r , C r e e d , N a t i o n a l O r i g i n , S e x - T h e C o n s u l t a n t a g r e e s t o c o m p l y w i t h T i t l e V I I o f t h e C i v i l R i g h t s A c t , a s a m e n d e d , 4 2 U . S . C . � 2 0 0 0 e , a n d e q u a l e m p l o y m e n t o p p o r t u n i t y p r o v i s i o n s o f 4 9 U . S . C . � 5 3 3 2 , a l l a p p l i c a b l e e q u a l e m p l o y m e n t o p p o r t u n i t y r e q u i r e m e n t s o f U . S . D e p a r t m e n t o f L a b o r ( U . S . D O L ) r e g u l a t i o n s , " O f f i c e o f F e d e r a l C o n t r a c t C o m p l i a n c e P r o g r a m s , E q u a l E m p l o y m e n t O p p o r t u n i t y , D e p a r t m e n t o f L a b o r , " 4 1 C . F . R . P a r t s 6 0 e t s e q . , ( w h i c h i m p l e m e n t E x e c u t i v e O r d e r N o . 1 1 2 4 6 , " E q u a l E m p l o y m e n t O p p o r t u n i t y , " a s a m e n d e d b y E x e c u t i v e O r d e r N o . 1 1 3 7 5 , " A m e n d i n g E x e c u t i v e O r d e r 1 1 2 4 6 R e l a t i n g t o E q u a l E m p l o y m e n t O p p o r t u n i t y , " 4 2 U . S . C . � 2 0 0 0 e n o t e ) , a n d w i t h a n y a p p l i c a b l e F e d e r a l s t a t u t e s , e x e c u t i v e o r d e r s , r e g u l a t i o n s , a n d F e d e r a l p o l i c i e s t h a t m a y i n t h e f u t u r e a f f e c t c o n s t r u c t i o n a c t i v i t i e s u n d e r t a k e n i n t h e c o u r s e o f t h e P r o j e c t . T h e C o n s u l t a n t a g r e e s t o t a k e a f f i r m a t i v e a c t i o n t o e n s u r e t h a t a p p l i c a n t s a r e e m p l o y e d , a n d t h a t e m p l o y e e s a r e t r e a t e d d u r i n g e m p l o y m e n t , w i t h o u t r e g a r d t o t h e i r r a c e , c o l o r , c r e e d , n a t i o n a l o r i g i n , s e x , o r a g e . S u c h a c t i o n s h a l l i n c l u d e , b u t n o t b e l i m i t e d t o , t h e f o l l o w i n g : e m p l o y m e n t , u p g r a d i n g , d e m o t i o n o r t r a n s f e r , r e c r u i t m e n t o r r e c r u i t m e n t a d v e r t i s i n g , l a y o f f o r t e r m i n a t i o n ; r a t e s o f p a y o r o t h e r f o r m s o f c o m p e n s a t i o n ; a n d s e l e c t i o n f o r t r a i n i n g , i n c l u d i n g a p p r e n t i c e s h i p . I n a d d i t i o n , t h e C o n s u l t a n t a g r e e s t o c o m p l y w i t h a n y i m p l e m e n t i n g r e q u i r e m e n t s F T A m a y i s s u e . R V P U D \ H S H A N E \ 7 7 2 6 9 1 - 1 E x h i b i t D - 3 2 5 9 (b) Age - In accordance with the Age Discrimination in Employment Act, as amended, 29 U.S.C. §§ 621 through 634 and Federal transit law at 49 U.S.C. § 5332, the Consultant agrees to refrain from discrimination against present and prospective employees for reason of age. In addition, the Consultant agrees to comply with any implementing requirements FTA may issue. (c) Disabilities - In accordance with section 102 of the Americans with Disabilities Act, as amended, 42 U.S.C. § 12112, the Consultant agrees that it will comply with the requirements of U.S. Equal Employment Opportunity Commission, "Regulations to Implement the Equal Employment Provisions of the Americans with Disabilities Act," 29 C.F.R. Part 1630, pertaining to employment of persons with disabilities. In addition, the Consultant agrees to comply with any implementing requirements FTA may issue. (3) DBE Program Compliance - The Commission has established a DBE Program pursuant to 49 C.F.R. Part 26, which applies to FTA funded agreements. The requirements and procedures of the Commission's DBE Program are hereby incorporated by reference into this Agreement. Consultant shall complete Exhibits "H" through "I" of this Agreement, or similar forms to be provided by the Commission, in compliance with the Commission's DBE Program for FTA funded agreements. Failure by Consultant or its subcontractor(s) to carry out the Commission's DBE Program procedures and requirements, or the applicable requirements of 49 C.F.R. Part 26, section 1101(b) of SAFETEA-LU, 23 U.S.C. § 101 note, and U.S. DOT regulations, "Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs," 49 C.F.R. Part 26, shall be considered a material breach of this Agreement. Such a material breach may be grounds for termination of this Agreement or such other appropriate administrative remedy as the Commission deems appropriate. The Consultant shall ensure that a provision mandating compliance with the Commission's DBE Program for FTA funded agreements is included in any and all sub -agreements entered into which arise out of or are related to this Agreement. Consultant shall also promptly provide the Commission with all necessary information related to the DBE status of its subcontractors. Should the DBE status of any of its subcontractors change in any way, Consultant shall promptly inform the Commission of this change. (4) The Consultant also agrees to include these requirements in each subcontract financed in whole or in part with Federal assistance provided by FTA, modified only if necessary to identify the affected parties. 6. TERMINATION PROVISIONS (Master Agreement §11) The termination provisions found at Section 3.14 of this Agreement are consistent with the termination provisions suggested by FTA for the protection of the Federal RVPUH\HSHANE\772641.1 Exhibit D-4 260 • • • " G o v e m m e n t . T h e t e r m i n a t i o n p r o v i s i o n s f o u n d a t S e c t i o n 3 . 1 4 o f t h i s A g r e e m e n t c o n t r o l t e r m i n a t i o n u n d e r t h i s A g r e e m e n t . 7 . D E B A R M E N T A N D S U S P E N S I O N ( M a s t e r A g r e e m e n t � 3 . b ) I n s t r u c t i o n s f o r C e r t i f i c a t i o n 1 . B y s i g n i n g a n d s u b m i t t i n g t h i s A g r e e m e n t , t h e C o n s u l t a n t i s p r o v i d i n g t h e s i g n e d c e r t i f i c a t i o n s e t o u t b e l o w . 2 . T h e c e r t i f i c a t i o n i n t h i s c l a u s e i s a m a t e r i a l r e p r e s e n t a t i o n o f f a c t u p o n w h i c h r e l i a n c e w a s p l a c e d w h e n t h i s t r a n s a c t i o n w a s e n t e r e d i n t o . I f i t i s l a t e r d e t e r m i n e d t h a t t h e C o n s u l t a n t k n o w i n g l y r e n d e r e d a n e r r o n e o u s c e r t i f i c a t i o n , i n a d d i t i o n t o o t h e r r e m e d i e s a v a i l a b l e t o t h e F e d e r a l G o v e r n m e n t , C o m m i s s i o n m a y p u r s u e a v a i l a b l e r e m e d i e s , i n c l u d i n g s u s p e n s i o n a n d / o r d e b a r m e n t . 3 . T h e C o n s u l t a n t s h a l l p r o v i d e i m m e d i a t e w r i t t e n n o t i c e t o C o m m i s s i o n i f a t a n y t i m e t h e C o n s u l t a n t l e a r n s t h a t i t s c e r t i f i c a t i o n w a s e r r o n e o u s w h e n s u b m i t t e d o r h a s b e c o m e e r r o n e o u s b y r e a s o n o f c h a n g e d c i r c u m s t a n c e s . 4 . T h e t e r m s " c o v e r e d t r a n s a c t i o n , " " d e b a r r e d , " " s u s p e n d e d , " " i n e l i g i b l e , " " l o w e r t i e r c o v e r e d t r a n s a c t i o n , " " p a r t i c i p a n t , " " p e r s o n s , " " l o w e r t i e r c o v e r e d t r a n s a c t i o n , " " p r i n c i p a l , " " p r o p o s a l , " a n d " v o l u n t a r i l y e x c l u d e d , " a s u s e d i n t h i s c l a u s e , h a v e t h e m e a n i n g s s e t o u t i n t h e D e f i n i t i o n s a n d C o v e r a g e s e c t i o n s o f r u l e s i m p l e m e n t i n g E x e c u t i v e O r d e r 1 2 5 4 9 [ 4 9 C F R P a r t 2 9 ] . Y o u m a y c o n t a c t C o m m i s s i o n f o r a s s i s t a n c e i n o b t a i n i n g a c o p y o f t h o s e r e g u l a t i o n s . 5 . T h e C o n s u l t a n t a g r e e s b y e x e c u t i n g t h i s A g r e e m e n t t h a t , s h o u l d t h e p r o p o s e d c o v e r e d t r a n s a c t i o n b e e n t e r e d i n t o , i t s h a l l n o t k n o w i n g l y e n t e r i n t o a n y l o w e r t i e r c o v e r e d t r a n s a c t i o n w i t h a p e r s o n w h o i s d e b a r r e d , s u s p e n d e d , d e c l a r e d i n e l i g i b l e , o r v o l u n t a r i l y e x c l u d e d f r o m p a r t i c i p a t i o n i n t h i s c o v e r e d t r a n s a c t i o n , u n l e s s a u t h o r i z e d i n w r i t i n g b y C o m m i s s i o n . 6 . T h e C o n s u l t a n t f u r t h e r a g r e e s b y e x e c u t i n g t h i s A g r e e m e n t t h a t i t w i l l i n c l u d e t h e c l a u s e t i t l e d " C e r t i f i c a t i o n R e g a r d i n g D e b a r m e n t , S u s p e n s i o n , I n e l i g i b i l i t y a n d V o l u n t a r y E x c l u s i o n - L o w e r T i e r C o v e r e d T r a n s a c t i o n " , w i t h o u t m o d i f i c a t i o n , i n a l l l o w e r t i e r c o v e r e d t r a n s a c t i o n s a n d i n a l l s o l i c i t a t i o n s f o r l o w e r t i e r c o v e r e d t r a n s a c t i o n s . 7 . A p a r t i c i p a n t i n a c o v e r e d t r a n s a c t i o n m a y r e l y u p o n a c e r t i f i c a t i o n o f a p r o s p e c t i v e p a r t i c i p a n t i n a l o w e r t i e r c o v e r e d t r a n s a c t i o n t h a t i t i s n o t d e b a r r e d , s u s p e n d e d , i n e l i g i b l e , o r v o l u n t a r i l y e x c l u d e d f r o m t h e c o v e r e d t r a n s a c t i o n , u n l e s s i t k n o w s t h a t t h e c e r t i f i c a t i o n i s e r r o n e o u s . A p a r t i c i p a n t m a y d e c i d e t h e m e t h o d a n d f r e q u e n c y b y w h i c h i t d e t e r m i n e s t h e e l i g i b i l i t y o f i t s p r i n c i p a l s . E a c h p a r t i c i p a n t m a y , b u t i s n o t r e q u i r e d t o , c h e c k t h e N o n p r o c u r e m e n t L i s t i s s u e d b y U . S . G e n e r a l S e r v i c e A d m i n i s t r a t i o n . R V P U S \ H S H A N E \ 7 7 2 6 4 1 . 1 E x h i b i t D - 5 2 6 1 8. Nothing contained in the foregoing shall be construed to require establishment of system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business. dealings. 9. Except for transactions authorized under Paragraph 5 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to all remedies available to the Federal Government, Commission may pursue available remedies including suspension and/or debarment. 10. The Consultant agrees to comply, and assures the compliance of each subconsultant, lessee, or third party contractor, with Executive Orders Nos. 12549 and 12689, "Debarment and Suspension," 31 U.S.C. § 6101 note, and U.S. DOT regulations, "Governmentwide Debarment and Suspension (Nonprocurement)," 49 C.F.R. Part 29. 11. The Consultant agrees to, and assures that its subconsultants, lessees and third party contractors will review the "Excluded Parties Listing System" at http://elps.gov/ before entering into any third subagreement, lease or third party contract. "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion" (1) The Consultant certifies, by submission of this bid or proposal, that neither it nor its "principals" [as defined at 49 C.F.R. § 29.105(p)] is presently debarred, suspended, proposed for debarment; declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department or agency. (2) When the Consultant is unable to certify to the statements in this certification, it shall attach an explanation to this proposal. RVPOB\HSHANE\772641.1 Exhibit D-6 • 262 " " " 8 . P R O V I S I O N S F O R R E S O L U T I O N O F D I S P U T E S , B R E A C H E S , O R O T H E R L I T I G A T I O N ( M a s t e r A g r e e m e n t � 5 3 ) D i s p u t e s - D i s p u t e s a r i s i n g i n t h e p e r f o r m a n c e o f t h i s C o n t r a c t w h i c h a r e n o t r e s o l v e d b y a g r e e m e n t o f t h e p a r t i e s s h a l l b e d e c i d e d i n w r i t i n g b y t h e a u t h o r i z e d r e p r e s e n t a t i v e o f C o m m i s s i o n ' s [ t i t l e o f e m p l o y e e ] . T h i s d e c i s i o n s h a l l b e f i n a l a n d c o n c l u s i v e u n l e s s w i t h i n [ t e n ( 1 0 ) ] d a y s f r o m t h e d a t e o f r e c e i p t o f i t s c o p y , t h e C o n s u l t a n t m a i l s o r o t h e r w i s e f u r n i s h e s a w r i t t e n a p p e a l t o t h e [ t i t l e o f e m p l o y e e ] . I n c o n n e c t i o n w i t h a n y s u c h a p p e a l , t h e C o n s u l t a n t s h a l l b e a f f o r d e d a n o p p o r t u n i t y t o b e h e a r d a n d t o o f f e r e v i d e n c e i n s u p p o r t o f i t s p o s i t i o n . T h e d e c i s i o n o f t h e [ t i t l e o f e m p l o y e e ] s h a l l b e b i n d i n g u p o n t h e C o n s u l t a n t a n d t h e C o n s u l t a n t s h a l l a b i d e b e t h e d e c i s i o n . P e r f o r m a n c e D u r i n g D i s p u t e - U n l e s s o t h e r w i s e d i r e c t e d b y C o m m i s s i o n , C o n s u l t a n t s h a l l c o n t i n u e p e r f o r m a n c e u n d e r t h i s C o n t r a c t w h i l e m a t t e r s i n d i s p u t e a r e b e i n g r e s o l v e d . C l a i m s f o r D a m a g e s - S h o u l d e i t h e r p a r t y t o t h e C o n t r a c t s u f f e r i n j u r y o r d a m a g e t o p e r s o n o r p r o p e r t y b e c a u s e o f a n y a c t o r o m i s s i o n o f t h e p a r t y o r o f a n y o f h i s e m p l o y e e s , a g e n t s o r o t h e r s f o r w h o s e a c t s h e i s l e g a l l y l i a b l e , a c l a i m f o r d a m a g e s t h e r e f o r s h a l l b e m a d e i n w r i t i n g t o s u c h o t h e r p a r t y w i t h i n a r e a s o n a b l e t i m e a f t e r t h e f i r s t o b s e r v a n c e o f s u c h i n j u r y o f d a m a g e . R e m e d i e s - U n l e s s t h i s c o n t r a c t p r o v i d e s o t h e r w i s e , a l l c l a i m s , c o u n t e r c l a i m s , d i s p u t e s a n d o t h e r m a t t e r s i n q u e s t i o n b e t w e e n t h e C o m m i s s i o n a n d t h e C o n s u l t a n t a r i s i n g o u t o f o r r e l a t i n g t o t h i s a g r e e m e n t o r i t s b r e a c h w i l l b e d e c i d e d b y a r b i t r a t i o n i f t h e p a r t i e s m u t u a l l y a g r e e , o r i n a c o u r t o f c o m p e t e n t j u r i s d i c t i o n w i t h i n t h e S t a t e i n w h i c h t h e C o m m i s s i o n i s l o c a t e d . R i g h t s a n d R e m e d i e s - T h e d u t i e s a n d o b l i g a t i o n s i m p o s e d b y t h e C o n t r a c t D o c u m e n t s a n d t h e r i g h t s a n d r e m e d i e s a v a i l a b l e t h e r e u n d e r s h a l l b e i n a d d i t i o n t o a n d n o t a l i m i t a t i o n o f a n y d u t i e s , o b l i g a t i o n s , r i g h t s a n d r e m e d i e s o t h e r w i s e i m p o s e d o r a v a i l a b l e b y l a w . N o a c t i o n o r f a i l u r e t o a c t b y t h e C o m m i s s i o n , ( A r c h i t e c t ) o r C o n s u l t a n t s h a l l c o n s t i t u t e a w a i v e r o f a n y r i g h t o r d u t y a f f o r d e d a n y o f t h e m u n d e r t h e C o n t r a c t , n o r s h a l l a n y s u c h a c t i o n o r f a i l u r e t o a c t c o n s t i t u t e a n a p p r o v a l o f o r a c q u i e s c e n c e i n a n y b r e a c h t h e r e u n d e r , e x c e p t a s m a y b e s p e c i f i c a l l y a g r e e d i n w r i t i n g . F T A N o t i f i c a t i o n C o n s u l t a n t s h a l l n o t i f y F T A i n w r i t i n g o f a n y c u r r e n t o r p r o s p e c t i v e m a j o r d i s p u t e , b r e a c h , d e f a u l t , o r l i t i g a t i o n t h a t m a y a f f e c t t h e F e d e r a l G o v e r n m e n t ' s i n t e r e s t s i n t h e P r o j e c t . I f t h e C o n s u l t a n t w i s h e s t o n a m e t h e F e d e r a l G o v e r n m e n t a s a p a r t y t o l i t i g a t i o n , t h e C o n s u l t a n t s h a l l i n f o r m F T A i n w r i t i n g b e f o r e d o i n g s o . 9 . L O B B Y I N G ( M a s t e r A g r e e m e n t � 3 . d ) R V P U R \ H S H A N 6 \ 7 7 2 6 4 1 . 1 E x h i b i t D - 7 2 6 3 Lobbying Restrictions. To the extent applicable, Consultant agrees to: (1) Comply, and assure the compliance of each subcontractor at any tier, with U.S. DOT regulations, "New Restrictions on Lobbying," 49 C.F.R. Part 20, modified as necessary by 31 U.S.C. § 1352. (2) Comply with Federal statutory provisions, to the extent applicable, prohibiting the use of Federal assistance funds for activities designed to influence Congress or a State legislature on legislation or appropriations, except through proper, official channels. 10. CLEAN AIR (Master Agreement §25.b) (1) The Consultant agrees to comply with all applicable standards, orders or regulations issued pursuant to the Clean Air Act, as amended, 42 U.S.C. §§ 7401 through 7671q. The Consultant agrees to report each violation to the Commission and understands and agrees that the Commission will, in turn, report each violation as required to assure notification to FTA and the appropriate EPA Regional Office. (2) The Consultant also agrees to include these requirements in each subcontract exceeding $100,000 financed in whole or in part with Federal assistance provided by FTA. 11. CLEAN WATER (Master Agreement §25.c) (1) The Consultant agrees to comply with all applicable standards, orders or regulations issued pursuant to the Federal Water Pollution Control Act, as amended, 33 U.S.C. 1251 through 1377. The Consultant agrees to report each violation to the Commission and understands and agrees that the Commission will, in turn, report each violation as required to assure notification to FTA and the appropriate EPA Regional Office. (2) The Consultant also agrees to include these requirements in each subcontract exceeding $100,000 financed in whole or in part with Federal assistance provided by FTA. 12. ENERGY CONSERVATION (Master Agreement §26) Energy Conservation. To the extent applicable, Consultant agrees to comply with the mandatory energy efficiency standards and policies within the applicable State energy conservation plans issued in compliance with the Energy Policy and Conservation Act, RVPUB\HSHANE\772691.1 Exhibit D-8 • • 264 " 4 2 U . S . C . � � 6 3 2 1 e t s e q . T o t h e e x t e n t a p p l i c a b l e , C o n s u l t a n t a g r e e s t o p e r f o r m a n e n e r g y a s s e s s m e n t f o r a n y b u i l d i n g c o n s t r u c t e d , r e c o n s t r u c t e d , o r m o d i f i e d w i t h F T A a s s i s t a n c e , a s p r o v i d e d i n F T A r e g u l a t i o n s , " R e q u i r e m e t n s f o r E n e r g y A s s e s s m e n t s , " 4 9 C . F . R . P a r t 6 2 2 , S u b p a r t C . 1 3 . C O N F O R M A N C E W I T H N A T I O N A L I T S A R C H I T E C T U R E ( M a s t e r A g r e e m e n t � 1 5 . m ) N a t i o n a l I n t e l l i g e n t T r a n s p o r t a t i o n S y s t e m s A r c h i t e c t u r e a n d S t a n d a r d s . T o t h e e x t e n t a p p l i c a b l e , C o n s u l t a n t a g r e e s t o c o n f o r m , t o t h e e x t e n t a p p l i c a b l e , t o t h e N a t i o n a l I n t e l l i g e n t T r a n s p o r t a t i o n S y s t e m s ( I T S ) A r c h i t e c t u r e a n d S t a n d a r d s a s r e q u i r e d b y s e c t i o n S A F E T E A - L U � 5 3 0 7 ( c ) , 2 3 U . S . C . � 5 1 2 n o t e , a n d w i t h F T A N o t i c e , " F T A N a t i o n a l I T S A r c h i t e c t u r e P o l i c y o n T r a n s i t P r o j e c t s " 6 6 F e d . R e g . 1 4 5 5 e t s e q . , J a n u a r y 8 , 2 0 0 1 , a n d o t h e r s u b s e q u e n t F e d e r a l d i r e c t i v e s t h a t m a y b e i s s u e d . 1 5 . I M M I G R A T I O N R E F O R M A N D C O N T R O L A C T O F 1 9 8 6 C o n s u l t a n t a s s u m e s f u l l r e s p o n s i b i l i t y f o r v e r i f y i n g t h e i d e n t i t y a n d e m p l o y m e n t a u t h o r i z a t i o n o f a l l o f i t s e m p l o y e e s p e r f o r m i n g w o r k u n d e r t h i s A g r e e m e n t i n c o m p l i a n c e w i t h t h e I m m i g r a t i o n R e f o r m a n d C o n t r o l A c t o f 1 9 8 6 , a n d r u l e s a n d r e g u l a t i o n s p r o m u l g a t e d i n c o n n e c t i o n t h e r e w i t h ( h e r e i n a f t e r " I R C A " ) . C o n s u l t a n t s h a l l i n d e m n i f y , d e f e n d a n d h o l d C o m m i s s i o n h a r m l e s s f r o m a n d a g a i n s t a n y c l a i m s , l o s s , d a m a g e , l i a b i l i t y , c o s t s o r e x p e n s e s a r i s i n g f r o m a n y n o n c o m p l i a n c e w i t h t h e p r o v i s i o n s o r I R C A . 1 6 . S P E C I A L P R O V I S I O N S ( M a s t e r A g r e e m e n t � 3 9 , 4 0 , 4 1 , 4 2 , 4 3 , 4 8 ) T o t h e e x t e n t a p p l i c a b l e , C o n s u l t a n t a g r e e s t o c o m p l y w i t h t h e F e d e r a l p r o g r a m s s p e c i f i e d b e l o w a n d , w i t h r e g a r d t o s u c h p r o g r a m s , C o n s u l t a n t a g r e e s n o t t o c o m p r o m i s e t h e C o m m i s s i o n ' s c o m p l i a n c e w i t h F e d e r a l r e q u i r e m e n t s a s p e r t a i n s t o t h e P r o j e c t . T h e P r o g r a m s a r e a s f o l l o w s : ( 1 ) U r b a n i z e d A r e a F o r m u l a P r o g r a m a u t h o r i z e d u n d e r 4 9 U . S . C . � 4 3 0 7 . ( 2 ) E l d e r l y I n d i v i d u a l s a n d I n d i v i d u a l s w i t h D i s a b i l i t i e s F o r m u l a P r o g r a m a u t h o r i z e d u n d e r 4 9 U . S . C . � 5 3 1 0 a s a m e n d e d b y S A F E T E A - L U a n d s u b s e c t i o n 3 0 1 2 ( b ) o f S A F E T E A - L U , 4 9 U . S . C . � 5 3 1 0 n o t e , r e s p e c t i v e l y . ( 3 ) N e w F r e e d o m P r o g r a m a u t h o r i z e d u n d e r 4 9 U . S . C . � 5 3 1 7 . R V P U B \ H S H A N E \ 7 7 2 6 9 1 . 1 E x h i b i t D - 9 2 6 5 (4) Nonurbanized Area Formula Program authorized under 49 U.S.C. § 5311(b). (5) Clean Fuels Grant Program authorized under 49 U.S.C. § 5308. (6) Job Access and Reverse Commute Formula Grant Program authorized under 49 U.S.C. § 5316. 17. RELEASE OF RETAINAGE (49 CFR 26.29) The Commission may hold retainage from the prime contractor and, if it does so, shall make prompt and regular incremental acceptances of of portions, as determined by the Commission of the contract work and pay retainage to prime contractors based on these acceptances. The prime contractor or subcontractor shall return all monies withheld in retention from a subcontractor within 30 days after receiving payment for work satisfactorily completed and accepted including incremental acceptances of portions of the contract work by the Commission. Federal regulations (49 CFR 26.29) require that any delay or postponement of payment over 30 days may take place only for good cause and with the Commission's prior written approval. Any violation of this provision shall subject the violating prime contractor or subcontractor to the penalties, sancions, and other remedies specified in Section 7108.5 of the California Business and Professions Code. These requirements shall not be construed to limit or impair any contractual, administrative, or judicial remedies otherwise available to the prime contractor or subcontractor in the event of a dispute involving late payment or nonpayment by the prime contractor, deficient subconract performance, or noncompliance by a subcontractor. This provision applies to both DBE and non -DBE prime contractors and subcontractors. 18. INCORPORATION OF FEDERAL TRANSIT ADMINISTRATION (FTA) TERMS The preceding provisions include, in part, certain Standard Terms and Conditions required by the Federal Transit Authority, whether or not expressly set forth in the preceding contract provisions. All contractual provisions required by the Federal Transit Authority, as set forth in FTA Circular 4220.1 E, are hereby incorporated by reference. Anything to the contrary herein notwithstanding, all FTA mandated terms shall be deemed to control in the event of a conflict with other provisions contained in this Agreement. The Contractor shall not perform any act, fail to perform any act, or refuse to comply with any Commission requests which would cause the Commission to be in violation of the FTA terms and conditions. RVPUB\HSHANE\772641.1 Exhibit D-10 • 266 " " E X H I B I T " E " C E R T I F I C A T E O F C O N S U L T A N T I H E R E B Y C E R T I F Y t h a t I a m t h e a n d d u l y a u t h o r i z e d r e p r e s e n t a t i v e o f t h e f i r m o f w h o s e a d d r e s s i s a n d t h a t , e x c e p t a s h e r e b y e x p r e s s l y s t a t e d , n e i t h e r I n o r t h e a b o v e f i r m t h a t I r e p r e s e n t h a v e : ( a ) e m p l o y e d o r r e t a i n e d f o r a c o m m i s s i o n , p e r c e n t a g e , b r o k e r a g e , c o n t i n g e n t f e e , o r o t h e r c o n s i d e r a t i o n , a n y f i r m o r p e r s o n ( o t h e r t h a n a b o n a f i d e e m p l o y e e w o r k i n g s o l e l y f o r m e o r t h e a b o v e c o n s u l t a n t ) t o s o l i c i t o r s e c u r e t h i s a g r e e m e n t ; n o r ( b ) a g r e e d , a s a n e x p r e s s o r i m p l i e d c o n d i t i o n f o r o b t a i n i n g t h i s c o n t r a c t , t o e m p l o y o r r e t a i n t h e s e r v i c e s o f a n y f i r m o r p e r s o n i n c o n n e c t i o n w i t h c a r r y i n g o u t t h e a g r e e m e n t ; n o r ( c ) p a i d , o r a g r e e d t o p a y , t o a n y f i r m , o r g a n i z a t i o n o r p e r s o n ( o t h e r t h a n a b o n a f i d e e m p l o y e e w o r k i n g s o l e l y f o r m e o r t h e a b o v e c o n s u l t a n t ) a n y f e e , c o n t r i b u t i o n , d o n a t i o n , o r c o n s i d e r a t i o n o f a n y k i n d f o r , o r i n c o n n e c t i o n w i t h , p r o c u r i n g o r c a r r y i n g o u t t h i s a g r e e m e n t . R V P U B \ H S H A N E \ 7 7 2 6 4 1 . 1 B y : S i g n a t u r e N a m e T i t l e D a t e E x h i b i t E 2 6 7 ExHlelr "F" CERTIFICATE OF COMMISSION I HEREBY CERTIFY that I am the of the RIVERSIDE COUNTY TRANSPORTATION COMMISSION, and that the consulting firm of or its representative has not been required (except as herein expressly stated), directly or indirectly, as an express or implied condition in connection with obtaining or carrying out this Agreement to: (a) employ, retain, agree to employ or retain, any firm or person; or (b) pay or agree to pay, to any firm, person or organization, any fee, contribution, donation, or consideration of any kind. By: RVPUB\HSHANE\772641.1 Signature Name Title Date Exhibit F 269 " " " E X H I B I T " G " D I S A D V A N T A G E D B U S I N E S S E N T E R P R I S E ( D B E ) C O N S U L T A N T C O N T R A C T R E Q U I R E M E N T S T h e p r o v i s i o n s o f T i t l e 4 9 , P a r t 2 6 , C o d e o f F e d e r a l R e g u l a t i o n s ( 4 9 C F R 2 6 ) a n d t h e R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N ' S a d o p t e d D B E P r o g r a m r e q u i r e t h a t D i s a d v a n t a g e d B u s i n e s s E n t e r p r i s e s ( D B E s ) h a v e t h e o p p o r t u n i t y t o p a r t i c i p a t e i n f e d e r a l l y - f u n d e d , t r a n s p o r t a t i o n p r o j e c t s . T h e C o m m i s s i o n ' s o v e r a l l a n n u a l D B E g o a l f o r p r o j e c t s f u n d e d b y F e d e r a l T r a n s i t A d m i n i s t r a t i o n ( F T A ) F u n d s f o r t h e 2 0 0 9 - 2 0 1 0 F i s c a l Y e a r i s N o t w i t h s t a n d i n g a n y t h i n g t o t h e c o n t r a r y c o n t a i n e d i n t h e A g r e e m e n t , a n d t h e e x h i b i t s a t t a c h e d h e r e t o , t h e f o l l o w i n g p r o v i s i o n s s h a l l a p p l y i f f u n d i n g f o r t h e S e r v i c e s i s p r o v i d e d , i n w h o l e o r i n p a r t , f r o m t h e U n i t e d S t a t e s D e p a r t m e n t o f T r a n s p o r t a t i o n ( D O T ) : 1 . D I S C R I M I N A T I O N T h e C o m m i s s i o n s h a l l n o t d i s c r i m i n a t e o n t h e b a s i s o f r a c e , c o l o r , n a t i o n a l o r i g i n , o r s e x i n t h e a w a r d a n d p e r f o r m a n c e o f a n y D O T - a s s i s t e d c o n t r a c t o r i n t h e i m p l e m e n t a t i o n o f i t s D B E p r o g r a m o r t h e r e q u i r e m e n t s o f 4 9 C F R P a r t 2 6 . T h e C o m m i s s i o n s h a l l t a k e a l l n e c e s s a r y a n d r e a s o n a b l e s t e p s u n d e r 4 9 C F R P a r t 2 6 t o e n s u r e n o n d i s c r i m i n a t i o n i n t h e a w a r d a n d a d m i n i s t r a t i o n o f D O T - a s s i s t e d c o n t r a c t s . C o n s u l t a n t o r s u b c o n t r a c t o r s h a l l n o t d i s c r i m i n a t e o n t h e b a s i s o f r a c e , c o l o r , n a t i o n a l o r i g i n , o f s e x i n t h e p e r f o r m a n c e o f t h i s c o n t r a c t . C o n s u l t a n t s h a l l c a r r y o u t a p p l i c a b l e r e q u i r e m e n t s o f 4 9 C F R P a r t 2 6 a n d t h e C o m m i s s i o n ' s D B E p r o g r a m i n t h e a w a r d a n d a d m i n i s t r a t i o n o f D O T - a s s i s t e d c o n t r a c t s , a s f u r t h e r s e t f o r t h b e l o w . 2 . P R O M P T P A Y M E N T C o n s u l t a n t a g r e e s t o p a y e a c h s u b c o n t r a c t o r u n d e r t h i s p r i m e c o n t r a c t f o r s a t i s f a c t o r y p e r f o r m a n c e o f i t s c o n t r a c t n o l a t e r t h a n 1 0 d a y s f r o m t h e r e c e i p t o f e a c h p a y m e n t t h e p r i m e c o n t r a c t o r r e c e i v e s f r o m t h e C o m m i s s i o n . A n y d e l a y o r p o s t p o n e m e n t o f p a y m e n t f r o m t h e a b o v e r e f e r e n c e d t i m e f r a m e m a y o c c u r o n l y f o r g o o d c a u s e f o l l o w i n g w r i t t e n a p p r o v a l o f t h e C o m m i s s i o n . T h i s c l a u s e a p p l i e s t o b o t h D B E a n d n o n - D B E s u b c o n t r a c t o r s . 3 . R E L E A S E O F R E T A I N A G E T h e C o m m i s s i o n s h a l l h o l d r e t a i n a g e f r o m t h e p r i m e c o n t r a c t o r a n d s h a l l m a k e p r o m p t a n d r e g u l a r i n c r e m e n t a l a c c e p t a n c e s o f p o r t i o n s , a s d e t e r m i n e d b y t h e C o m m i s s i o n o f t h e c o n t r a c t w o r k a n d p a y r e t a i n a g e t o p r i m e c o n t r a c t o r s b a s e d o n t h e s e a c c e p t a n c e s . T h e p r i m e c o n t r a c t o r o r s u b c o n t r a c t o r s h a l l r e t u r n a l l m o n i e s w i t h h e l d i n r e t e n t i o n f r o m R V P U H \ H S H A N E \ 7 7 2 6 4 1 . 1 E x h i b i t G 2 7 1 a subcontractor within 30 days after receiving payment for work satisfactorily completed and accepted including incremental acceptances of portions of the contract work by the Commission. Federal regulations (49 CFR 26.29) require that any delay or postponement of payment over 30 days may take place only for good cause and with the Commission's prior written approval. Any violation of this provision shall subject the violating prime contractor or subcontractor to the penalties, sanctions, and other remedies specified in Section 7108.5 of the California Business and Professions Code. These requirements shall not be construed to limit or impair any contractual, administrative, or judicial remedies otherwise available to the prime contractor or subcontractor in the event of a dispute involving late payment or nonpayment by the prime contractor, deficient subcontract performance, or noncompliance by a subcontractor. This provision applies to both DBE and non -DBE prime contractors and subcontractors. 4. LEGAL REMEDIES In addition to those contract remedies set forth under relevant provisions of California law, either party to this Agreement may, where applicable, seek legal redress for violations of this Agreement pursuant to the relevant provisions of 49 C.F.R. Part 26, to the relevant federal or state statutory provisions governing civil rights violations, and to the relevant federal and state provisions governing false claims or "whistleblower" actions, as well as any and all other applicable federal and state provisions of law. The Consultant shall include a provision to this effect in each of its agreements with its subcontractors. 5. DBE PARTICIPATION Even if no DBE participation will be reported, Consultant shall complete Exhibits "H" and "I" of this Agreement in compliance with the Commission's DBE program. A. This Agreement is subject to Title 49, Part 26, Code of Federal Regulations (49 CFR 26) entitled "Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs." In order to ensure that the Commission achieves its federally mandated overall DBE goal, the Commission encourages the participation of DBEs, as defined in 49 CFR 26, in the performance of Agreements financed in whole or in part with federal funds. The Contractor shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of subcontracts. As required by federal law, the Commission has established an overall DBE goal for projects funded by FTA funds. In order to ascertain whether that overall DBE goal is being achieved, the Commission is tracking DBE participation on all FTA funded contracts. RVPUB\HSHANE\772691.1 Exhibit G 272 " " B . T h e C o m m i s s i o n a d v i s e s t h a t p a r t i c i p a t i o n o f D B E s i n t h e s p e c i f i e d p e r c e n t a g e i s n o t a c o n d i t i o n o f a w a r d . C . C o n t r a c t o r h a s a g r e e d t o c a r r y o u t t h e a p p l i c a b l e r e q u i r e m e n t s o f T i t l e 4 9 C F R 2 6 , i n t h e a w a r d a n d a d m i n i s t r a t i o n o f f e d e r a l l y a s s i s t e d A g r e e m e n t s . T h e r e g u l a t i o n s i n t h e i r e n t i r e t y a r e i n c o r p o r a t e d h e r e i n a n d b y r e f e r e n c e . D . T h e C o n t r a c t o r s h o u l d n o t i f y C o m m i s s i o n ' s R e p r e s e n t a t i v e i n w r i t i n g , o f a n y c h a n g e s t o i t s a n t i c i p a t e d D B E p a r t i c i p a t i o n . T h i s n o t i c e s h o u l d b e p r o v i d e d p r i o r t o t h e c o m m e n c e m e n t o f t h a t p o r t i o n o f t h e w o r k . E . D B E a n d o t h e r s m a l l b u s i n e s s e s ( S B ) , a s d e f i n e d i n T i t l e 4 9 C F R 2 6 a r e e n c o u r a g e d t o p a r t i c i p a t e i n t h e p e r f o r m a n c e o f a g r e e m e n t s f i n a n c e d i n w h o l e o r i n p a r t w i t h f e d e r a l f u n d s . T h e c o n t r a c t o r , s u b r e c i p i e n t o r s u b c o n t r a c t o r s h a l l n o t d i s c r i m i n a t e o n t h e b a s i s o f r a c e , c o l o r , n a t i o n a l o r i g i n , o r s e x i n t h e p e r f o r m a n c e o f t h i s A g r e e m e n t . T h e c o n t r a c t o r s h a l l c a r r y o u t a p p l i c a b l e r e q u i r e m e n t s o f T t i t l e 4 9 C F R 2 6 i n t h e a w a r d a n d a d m i n i s t r a t i o n o f U S D O T - a s s i s t e d a g r e e m e n t s . F a i l u r e b y t h e c o n t r a c t o r t o c a r r y o u t t h e s e r e q u i r e m e n t s i s a m a t e r i a l b r e a c h o f t h i s A g r e e m e n t , w h i c h m a y r e s u l t i n t h e t e r m i n a t i o n o f t h i s A g r e e m e n t o r s u c h o t h e r r e m e d y a s t h e r e c i p i e n t d e e m s a p p r o p r i a t e . F . A n y s u b c o n t r a c t e n t e r e d i n t o a s a r e s u l t o f t h i s A g r e e m e n t s h a l l c o n t a i n a l l o f t h e p r o v i s i o n s o f t h i s s e c t i o n . 6 . D B E P A R T I C I P A T I O N G E N E R A L I N F O R M A T I O N I t i s C o n s u l t a n t ' s r e s p o n s i b i l i t y t o b e f u l l y i n f o r m e d r e g a r d i n g t h e r e q u i r e m e n t s o f 4 9 C F R , P a r t 2 6 , a n d t h e C o m m i s s i o n ' s D B E p r o g r a m . P a r t i c u l a r a t t e n t i o n i s d i r e c t e d t o t h e f o l l o w i n g : A . A D B E m u s t b e a s m a l l b u s i n e s s f i r m d e f i n e d p u r s u a n t t o 1 3 C F R 1 2 1 a n d b e c e r t i f i e d t h r o u g h t h e C a l i f o r n i a U n i f i e d C e r t i f i c a t i o n P r o g r a m ( C U C P ) . B . A c e r t i f i e d D B E m a y p a r t i c i p a t e a s a p r i m e c o n t r a c t o r , s u b c o n t r a c t o r , j o i n t v e n t u r e p a r t n e r , a s a v e n d o r o f m a t e r i a l o r s u p p l i e s , o r a s a t r u c k i n g c o m p a n y . C . A D B E j o i n t - v e n t u r e p a r t n e r m u s t b e r e s p o n s i b l e f o r s p e c i f i c c o n t r a c t i t e m s o f w o r k o r c l e a r l y d e f i n e d p o r t i o n s t h e r e o f . R e s p o n s i b i l i t y m e a n s a c t u a l l y p e r f o r m i n g , m a n a g i n g a n d s u p e r v i s i n g t h e w o r k w i t h i t s o w n f o r c e s . T h e D B E j o i n t v e n t u r e p a r t n e r m u s t s h a r e i n t h e c a p i t a l c o n t r i b u t i o n , c o n t r o l , m a n a g e m e n t , r i s k s a n d p r o f i t s _ o f . t h e j o i n t - v e n t u r e c o m m e n s u r a t e w i t h i t s o w n e r s h i p i n t e r e s t . D . A D B E m u s t p e r f o r m a c o m m e r c i a l l y u s e f u l f u n c t i o n , p u r s u a n t t o 4 9 C F R 2 6 . 5 5 t h a t i s , m u s t b e r e s p o n s i b l e f o r t h e e x e c u t i o n o f a d i s t i n c t e l e m e n t o f t h e w o r k a n d m u s t c a r r y o u t i t s r e s p o n s i b i l i t y b y a c t u a l l y p e r f o r m i n g , m a n a g i n g a n d s u p e r v i s i n g t h e w o r k , a s m o r e f u l l y d e s c r i b e d i n s e c t i o n 8 b e l o w . R V P U H \ H S H A N E \ 7 7 2 6 4 1 . 1 E x h i b i t G 2 7 3 E. The Consultant shall list only one subcontractor for each portion of work as defined in the Consultant's bid/proposal and all DBE subcontractors should be listed in the Consultant's bid/cost proposal list of subcontractors. F. A Consultant who is a certified DBE is eligible to claim all of the work in the Agreement toward the DBE participation except that portion of the work to be performed by non -DBE subcontractors. 7 . COMMERCIALLY USEFUL FUNCTION A DBE performs a commercially useful function when it is responsible for execution of the work of the Agreement and is carrying out its responsibilities by actually performing, managing, and supervising the work involved. To perform a commercially useful function, the DBE must also be responsible with respect to materials and supplies used on the Agreement, for negotiating price, determining quality and quantity, ordering the material, and installing (where applicable) and paying for the material itself. To determine whether a DBE is performing a commercially useful function, evaluate the amount of work subcontracted, industry practices; whether the amount the firm is to be paid under the Agreement is commensurate with the work it is actually performing, and other relevant factors. B. A DBE does not perform a commercially useful function if its role is limited to that of an extra participant in a transaction, Agreement, or project through which funds are passed in order to obtain the appearance of DBE participation. In determining whether a DBE is such an extra participant, examine similar transactions, particularly those in which DBEs do not participate. C. If a DBE does not perform or exercise responsibility for at least thirty percent of the total cost of its Agreement with its own work force, or the DBE subcontracts a greater portion of the work of the Agreement than would be expected on the basis of normal industry practice for the type of work involved, it will be presumed that it is not performing a commercially useful function. 8. DBE CERTIFICATION AND DE -CERTIFICATION STATUS If a DBE subcontractor is decertified during the life of the Agreement, the decertified subcontractor shall notify the Contractor in writing with the date of de -certification. If a subcontractor becomes a certified DBE during the life of the Agreement, the subcontractor shall notify the Contractor in writing with the date of certification. ,Any changes should be reported to the Commission's Representative within 30 days. RVPUB\HSHANE\772691.1 Exhibit G 274 • • " 9 . D B E R E C O R D S A . T h e C o n t r a c t o r s h a l l m a i n t a i n r e c o r d s o f m a t e r i a l s p u r c h a s e d a n d / o r s u p p l i e d f r o m a l l s u b c o n t r a c t s e n t e r e d i n t o w i t h c e r t i f i e d D B E s . T h e r e c o r d s s h a l l s h o w t h e n a m e . a n d b u s i n e s s a d d r e s s o f e a c h D B E o r v e n d o r a n d t h e t o t a l d o l l a r a m o u n t a c t u a l l y p a i d e a c h D B E o r v e n d o r , r e g a r d l e s s o f t i e r . T h e r e c o r d s s h a l l s h o w t h e d a t e o f p a y m e n t a n d t h e t o t a l d o l l a r f i g u r e p a i d t o a l l f i r m s . D B E p r i m e C o n t r a c t o r s s h a l l a l s o s h o w t h e d a t e o f w o r k p e r f o r m e d b y t h e i r o w n f o r c e s a l o n g w i t h t h e c o r r e s p o n d i n g d o l l a r v a l u e o f t h e w o r k . B . U p o n c o m p l e t i o n o f t h e A g r e e m e n t , a s u m m a r y o f t h e s e r e c o r d s s h a l l b e p r e p a r e d a n d s u b m i t t e d o n t h e f o r m e n t i t l e d , " F i n a l R e p o r t - U t i l i z a t i o n o f D i s a d v a n t a g e d B u s i n e s s E n t e r p r i s e s ( D B E ) , " C E M - 2 4 0 2 F ( E x h i b i t 1 7 - F i n C h a p t e r 1 7 o f t h e L A P ) , a t t a c h e d t o t h i s A g r e e m e n t a s E x h i b i t " H " , c e r t i f i e d c o r r e c t b y t h e C o n t r a c t o r o r t h e C o n t r a c t o r ' s a u t h o r i z e d r e p r e s e n t a t i v e a n d s h a l l b e f u r n i s h e d t o t h e C o m m i s s i o n ' s R e p r e s e n t a t i v e w i t h t h e f i n a l i n v o i c e . F a i l u r e t o p r o v i d e t h e s u m m a r y o f D B E p a y m e n t s w i t h t h e f i n a l i n v o i c e w i l l r e s u l t i n t w e n t y - f i v e p e r c e n t ( 2 5 % ) o f t h e d o l l a r v a l u e o f t h e i n v o i c e b e i n g w i t h h e l d f r o m p a y m e n t u n t i l t h e f o r m i s s u b m i t t e d . T h e a m o u n t w i l l b e r e t u r n e d t o t h e C o n t r a c t o r w h e n a s a t i s f a c t o r y " F i n a l R e p o r t U t i l i z a t i o n o f D i s a d v a n t a g e d B u s i n e s s ' E n t e r p r i s e s ( D B E ) " i s s u b m i t t e d t o t h e C o m m i s s i o n ' s R e p r e s e n t a t i v e . a . P r i o r t o t h e f i f t e e n t h o f e a c h m o n t h , t h e C o n t r a c t o r s h a l l s u b m i t d o c u m e n t a t i o n t o t h e C o m m i s s i o n ' s R e p r e s e n t a t i v e s h o w i n g t h e a m o u n t p a i d t o D B E t r u c k i n g c o m p a n i e s . T h e C o n t r a c t o r s h a l l a l s o o b t a i n a n d s u b m i t d o c u m e n t a t i o n t o t h e C o m m i s s i o n ' s R e p r e s e n t a t i v e s h o w i n g t h e a m o u n t p a i d b y D B E t r u c k i n g c o m p a n i e s t o a l l f i r m s , i n c l u d i n g o w n e r - o p e r a t o r s , f o r t h e l e a s i n g o f t r u c k s . I f t h e D B E l e a s e s t r u c k s f r o m a n o n - D B E , t h e C o n t r a c t o r m a y c o u n t o n l y t h e f e e o r c o m m i s s i o n t h e D B E r e c e i v e s a s a r e s u l t o f t h e l e a s e a r r a n g e m e n t . b . T h e C o n t r a c t o r s h a l l a l s o s u b m i t t o t h e C o m m i s s i o n ' s R e p r e s e n t a t i v e d o c u m e n t a t i o n s h o w i n g t h e t r u c k n u m b e r , n a m e o f o w n e r , C a l i f o r n i a H i g h w a y P a t r o l C A n u m b e r , a n d i f a p p l i c a b l e , t h e D B E c e r t i f i c a t i o n n u m b e r o f t h e t r u c k o w n e r f o r a l l t r u c k s u s e d d u r i n g t h a t m o n t h . T h i s d o c u m e n t a t i o n s h a l l b e s u b m i t t e d o n t h e C a ! t r a n s " M o n t h l y D B E T r u c k i n g V e r i f i c a t i o n , C E M - 2 4 0 4 ( F ) f o r m p r o v i d e d t o t h e C o n t r a c t o r b y t h e C o m m i s s i o n ' s R e p r e s e n t a t i v e , o r o n s u c h o t h e r f o r m a s m a y b e p r o v i d e d b y t h e C o m m i s s i o n ' s R e p r e s e n t a t i v e . 1 0 . R E P O R T I N G M A T E R I A L O R S U P P L I E S P U R C H A S E D F R O M D B E s W h e n R e p o r t i n g D B E P a r t i c i p a t i o n , M a t e r i a l o r S u p p l i e s p u r c h a s e d f r o m D B E s m a y c o u n t a s f o l l o w s : A . I f t h e m a t e r i a l s o r s u p p l i e s a r e o b t a i n e d f r o m a D B E m a n u f a c t u r e r , 1 0 0 % o f t h e c o s t o f t h e m a t e r i a l s o r s u p p l i e s w i l l c o u n t t o w a r d t h e D B E p a r t i c i p a t i o n . A D B E m a n u f a c t u r e r i s a f i r m t h a t o p e r a t e s o r m a i n t a i n s a f a c t o r y o r e s t a b l i s h m e n t t h a t R V P U E \ H S H A N E \ 7 7 2 6 4 1 . 1 E x h i b i t G 2 7 5 produces on the premises, the materials, supplies, articles, or equipment required under the Agreement and of the general character described by the specifications. B. If the materials or supplies purchased from a DBE regular dealer, count 60 % of, the cost of the materials or supplies toward DBE goals. A DBE regular dealer is a firm that owns, operates or maintains a store, warehouse, or other establishment in which the materials, supplies, articles or equipment of the general character described by the specifications and required under the Agreement, are bought, kept in stock, and regularly sold or leased to the public in the usual course of business. To be a DBE regular dealer, the firm must be an established, regular business that engages, as its principal business and under its own name, in the purchase and sale or lease of the products in question. A person may be a DBE regular dealer in such bulk items as petroleum products, steel, cement, gravel, stone or asphalt without owning, operating or maintaining a place of business provided in this section. C. If the person both owns and operates distribution equipment for the products, any supplementing of regular dealers' own distribution equipment, shall be by a long-term lease agreement and not an ad hoc or Agreement -by -Agreement basis. Packagers, brokers, manufacturers' representatives, or other persons who arrange or expedite transactions are not DBE regular dealers within the meaning of this section. D. Materials or supplies purchased from a DBE, which is neither a manufacturer nor a regular dealer, will be limited to the entire amount of fees or commissions charged for assistance in the procurement of the materials and supplies, or fees or transportation charges for the delivery of materials or supplies required on the job site, provided the fees are reasonable and not excessive as compared with fees charged for similar services. 11. REPORTING PARTICIPATION OF DBE TRUCKING COMPANIES When Reporting DBE Participation, Participation of DBE trucking companies may count as follows: A. The DBE must be responsible for the management and supervision of the entire trucking operation for which it is responsible. B. The DBE must itself own and operate at least one fully licensed, insure, and operational truck used on the Agreement. C. The DBE receives credit for the total value of the transportation services it provides on the Agreement using trucks it owns, insures, and operates using drivers it employs. D. The DBE may lease trucks from another DBE firm including an owner -operator who is certified as a DBE. The DBE who leases trucks from another DBE receives credit RVPUS\HSHANE\772691.1 Exhibit G 276 • " f o r t h e t o t a l v a l u e o f t h e t r a n s p o r t a t i o n s e r v i c e s t h e l e s s e e D B E p r o v i d e s o n t h e A g r e e m e n t . E . T h e D B E m a y a l s o l e a s e t r u c k s f r o m a n o n - D B E f i r m , i n c l u d i n g a n o w n e r - o p e r a t o r . T h e D B E w h o l e a s e s t r u c k s f r o m a n o n - D B E i s e n t i t l e d t o c r e d i t o n l y f o r t h e f e e o r c o m m i s s i o n i t r e c e i v e s a s a r e s u l t o f t h e l e a s e a r r a n g e m e n t . T h e D B E d o e s n o t r e c e i v e c r e d i t f o r t h e t o t a l v a l u e o f t h e t r a n s p o r t a t i o n s e r v i c e s p r o v i d e d b y t h e l e s s e e , s i n c e t h e s e s e r v i c e s a r e n o t p r o v i d e d b y t h e D B E . F . F o r t h e p u r p o s e s o f t h i s s e c t i o n , a l e a s e m u s t i n d i c a t e t h a t t h e D B E h a s e x c l u s i v e u s e a n d c o n t r o l o v e r t h e t r u c k . T h i s d o e s n o t p r e c l u d e t h e l e a s e d t r u c k f r o m w o r k i n g f o r o t h e r s d u r i n g t h e t e r m o f t h e l e a s e w i t h t h e c o n s e n t o f t h e D B E , a s l o n g a s t h e l e a s e g i v e s t h e D B E a b s o l u t e p r i o r i t y f o r u s e o f t h e l e a s e d t r u c k . L e a s e d t r u c k s m u s t d i s p l a y t h e n a m e a n d i d e n t i f i c a t i o n n u m b e r o f t h e D B E . 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N a m e a n d A d d r e s s o f R e p o r t i n g E n t i t y Q' P r i m e S u b a w a r d e e T i e r , i P k n o w n C o n g r e s s i o n a l D i s t r i c t , i f k n o w n 6 . F e d e r a l D e p a r t m e n t / A g e n c y : 8 . F e d e r a l A c t i o n N u m b e r , i f k n o w n : l e . a . N a m e a n d A d d r e s s o f L o b b y E n t i t y ( I f i n d i v i d u a l , l a s t n a m e , f a s t n a m e , M I ) 2 . S t a t u s o f F e d e r a l A c t i o n : Q' a b i d / o f f e r / a p p l i c a t i o n b . M i r k ) a w a r d c . p o s t - a w a r d 3 . R e p o r t T y p e : Q' a , i n i t i a l b . m a t e r i a l c h a n g e F o r M a t e r i a l C h a n g e O n l y : y e a r _ q u a r t e r d a t e o f l a s t r e p o r t 5 . 1 1 R e p o r t i n g E n t i t y i n N o . 4 i s S u b a w a r d e e , E n t e r N a m e a n d A d d r e s s o f P r i n c e : C o n g r e s s i o n a l D i s t r i c t , i f k n o w n 7 . 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T h i s i n f o r m a t i o n w i l l b e � p o r t e d t o C o n g r e s s s e m i a n n u a l l y a n d w i l l b e a v a i l a b l e f o r p u b l i c i n s p e c t i o n . A r r y p e r s o n w h o f a i l s t o f i l e t h e r e q u i r e d d i s c l o s u r e s h a l l b e s u b j e c t t o a c i v i l p e n a l t y o f n o t l e s s t h a n S I 0 , 0 0 0 a n d n o t m o r e t h a n S 1 0 0 , 0 0 0 f o r e a c h s u c h f a i l u r e . F e d e r a l U s e O n l y : S i g n a t u r e : P r i n t N a m e : T i t l e : T e l e p h o n e N o D a t e : A u t h o r i s e d f o r L o c a l R e p r o d u c t i o n S t a n d a r d F o r m - L I . I . S r r r d a r d F o r m I 1 . L R e v . 0 4 1 8 - 0 6 L P P 0 6 - 0 2 R V P U B \ H S H A N E \ 7 7 2 6 4 1 . 1 E x h i b i t J - 2 P a g e 1 0 - 7 7 M a y 1 , 2 0 0 6 2 8 5 EXHBIT 10-Q Local Assistance Procedures Manual Disclosure of Lobbying Activities INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES This disclosure form shall be completed by the reporting entity, whether subawardee or prime federal recipient at the initiation or receipt of covered federal action or a material change to previous filing pursuant to tale 31 U.S.C. Section 1352. The filing of a fomt is required for such payment or agreement to make payment to lobbying entity for influencing or anempting to influence an officer or employee of any agency, a Member of Congress an officer or employee of Congress or an employee of a Member of Congress in connection with a covered federal action. Attach a continuation sheet for additional information if the space on the forth is inadequate. Complete all items that apply for both the initial filing and materiel change report Refer to the implementing guidance published by the Office of Mamagemeil and Budget for additional information. I. Identify the type of covered federal action for which lobbying activity is and/or has been secured to influence, the outcome of a covered federal action. 2. Identify the status of the covered federal action. 3. Identify the appropriate classification of this report. If this is a follow-up report caused by a material change to the information previously reported, enter the year and quarter in which the charge occurred. Enter the date of the last, previously submitted report by this reporting entity for this towered federal action 4. Enter the fall name, address, city, state and zip code of the reporting entity. Include Congressional District if known. Check the appropriate classification of the reporting entity that designates if it is or expects to be a prime or sabaward recipient. Identify the tier of the subawardee, e.g., the first subawardee of the prime is the fast tier. Subawards include but are not limited to subcontracts, subgmns and contract awards under grants. 5. If the organization fling the report in Item 4. checks "Suhawardee' then enter die fun name, address, city, State and zip code of the prime federal recipient. Include Congressional District, if known. 6. Enter the name of the federal agency making the award or loan commitment Include at least one organization level below agency name, if known. For example, Department of Transportation, United Sores Coast Guard. 7. Enter the fedeal program name or description for the covered federal action (item 1). If known, enter the full Catalog of Federal Domestic Assistance (CFDA) number for grants, cooperative agreements, bans and khan commitments 8. Enter the most appropriate federal identifying number available for the federal action identification in item 1 (e.g., Regeest for Proposal (RFP) number, Invitation for Bid (IFB) number, grant announcement number, the contract tartan. or ban award member, the application/proposal control member assigned by the federal agency). Include prefixes, e.g., "REP-DE-90-001." 9. For a covered federal action when there has been an award or loan commitment by the Federal agency, enter the federal amount of the awardgoan committee -am for Ibe prime entity identified in hem 4 or 5. 10. (a) Enter the full name, address, city, state and zip code of the lobbying entity engaged by the reporting entity identified in Item 4. to influenced she covered federal action. (b) Enter the full names of the individual(s) performing services and include full address if different from 10 (a). Enter last Name, First Name and Middle Initial (MI). 11. Enter the amount of compensation paid or reasonably expected to be paid by the tepurting entity (Item 4) to the lobbying entity (item 10). Indicate whether the payment has been made (actual) or will be made (planned). Check all boxes that apply. If this is a material change repot, enter the cumulative amount of payment made or planned to be mnde. 12. Check the appropriate beiges). Check a0 boxes that apply. If payment is made through an in -kind contributiwh, specify the nature and value of the in -kind payment. 13. Check the appropriate beiges). Check a0 boxes that apply. If other, specify nature. 14.Provide a specific and detailed description of the services that the lobbyist has performed or will be expected to perform and the date(s) of any services rendered. Include all preparatory and related activity maned time spent in aced contact with federal officials. Identify the federal officer(s) or employees) contacted or the officer(s) employee(s) or Member(s) of Congress that were contacted. 15. Check whether or not a continuation sheet(s) is attached. 16. The certifying official shall sign and date the form, print his/her name title and telephoac number. Public reporting burden for this collection of information is estimated to average 30-minutes per response, including time for reviewing insauet(on, searching existing data sonars, gathering and maintaining the data needed, and completing and reviewing the collation of information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Office of Management and Budget. Papetwork Reduction Project (0348-0046), Washington, D.C. 20503. SIP-LLL-Insmutira Rey. 0604-90eENOTw -Page 10-72 May 1, 2006 RVPUB\HSHANE\772641.1 Exhibit J-3 LPP 06-02 • 286 " A G E N D A I T E M 8 K " " RIVERSIDE COUNTY TRANSPORTATION COMMISSION DATE: July 14, 2010 TO: Riverside County Transportation Commission FROM: Budget and Implementation Committee Sheldon Peterson, Rail Manager THROUGH: Anne Mayer, Executive Director SUBJECT: Commercial Advertising Policy and Content Guidelines, Use Policy, and Non -Commercial Free Speech Policy Incidental BUDGET AND IMPLEMENTATION COMMITTEE AND STAFF RECOMMENDATION: This item is for the Commission to: 1) Adopt a Commercial Advertising Policy and Content Guidelines, and Incidental Use Policy; and 2) Adopt Resolution No. 10-011, "A Resolution of the Riverside County Transportation Commission Adopting a Commercial Advertising Policy and Content Guidelines, an incidental Use Policy Covering Concession Stands, Merchandising, and Contractor Services for Commission -Owned Facilities and Property and a Revised Non -Commercial Free Speech Permit Policy". BACKGROUND INFORMATION: The Commission currently owns and operates five Metrolink stations. Contrasted against other member agencies within Metrolink, the Commission is unique in its ownership of its stations. Stations are typically owned by the municipality in which they are located. With ownership come requirements for station maintenance, safety/security, utilities, and upgrades. In a declining revenue environment and with the increasing age of the Commission's stations, the costs for station operations and maintenance have increased and become more noticeable. In its ongoing efforts to optimize revenue to offset maintenance and operating costs, staff has developed a commercial advertising policy and will consider potential strategies to develop a revenue -generating advertising program. In 2003, the Commission took action to grant authority to the Executive Director to establish policies affecting rail station operations. Given the importance and sensitivity of this subject, review and consideration of this policy by the Commission is needed and appropriate as this policy revision constitutes a Agenda Item 8K 287 significant change from the Commission's historic approach to generating commercial revenue from station properties. Any future action to implement advertising at the stations would also return to the Commission for approval and consideration. As a precursor to any such action, staff, in consultation with legal counsel, is recommending adoption of Resolution No. 10-011 and corresponding exhibits. Specifically, staff proposes a formal policy and guidelines to evaluate commercial advertising as shown in Exhibit A. Based on a review of federal regulations and guidance concerning incidental use of federally funded facilities, staff proposes a policy governing use of station properties to generate additional revenue through additional compatible uses as shown in Exhibit B. Incidental use refers to concession revenue from food sales, news racks, or other minor sources. Finally staff recommends adoption of a formal non-commercial free speech policy as shown in Exhibit C. Attachment: Resolution No. 10-011 Agenda Item 8K • 288 " R E S O L U T I O N N O . 1 0 - 0 1 1 A R E S O L U T I O N O F T H E R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N A D O P T I N G A C O M M E R C I A L A D V E R T I S I N G P O L I C Y A N D C O N T E N T G U I D E L I N E S ; A N I N C I D E N T A L U S E P O L I C Y C O V E R I N G C O N C E S S I O N S T A N D S , M E R C H A N D I S I N G A N D I N F O R M A T I O N A L M A T E R I A L S F O R C O M M I S S I O N O W N E D F A C I L I T I E S A N D P R O P E R T Y ; A N D A R E V I S E D N O N - C O M M E R C I A L F R E E S P E E C H P E R M I T P O L I C Y W H E R E A S , t h e R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n ( " C o m m i s s i o n " ) o w n s r e a l p r o p e r t y , p r o v i d e s b u s a n d c o m m u t e r r a i l s e r v i c e t h r o u g h o u t R i v e r s i d e C o u n t y a n d c u r r e n t l y o p e r a t e s t h e f o l l o w i n g f i v e c o m m u t e r r a i l s t a t i o n s : ( 1 ) D o w n t o w n R i v e r s i d e S t a t i o n ; ( 2 ) P e d l e y S t a t i o n ; ( 3 ) L a S i e r r a S t a t i o n ; ( 4 ) W e s t C o r o n a S t a t i o n ; a n d ( 5 ) N o r t h M a i n C o r o n a S t a t i o n ; a n d W H E R E A S , C o m m i s s i o n h a s d e s i g n a t e d c e r t a i n s p a c e s i n i t s c o m m u t e r r a i l s t a t i o n s f o r n o n - c o m m e r c i a l f r e e s p e e c h p u r p o s e s , w h i l e o t h e r s p a c e s a r e a p p r o p r i a t e f o r i n c i d e n t a l u s e s o f i t s r e a l p r o p e r t y i n c l u d i n g c o m m e r c i a l a d v e r t i s i n g a n d o t h e r r e v e n u e g e n e r a t i n g p u r p o s e s ; a n d W H E R E A S , f o r t h o s e s p a c e s t h a t h a v e b e e n a u t h o r i z e d a s n o n - c o m m e r c i a l f r e e s p e e c h z o n e s a l l l e a f l e t i n g , s o l i c i t a t i o n a n d p o l i t i c a l c a m p a i g n a c t i v i t i e s s h a l l b e c o n d u c t e d b y p e r m i t a n d i n a c c o r d a n c e w i t h t h i s P o l i c y ; a n d W H E R E A S , C o m m i s s i o n h a s a d o p t e d r e a s o n a b l e p e r m i t r e q u i r e m e n t s t o e n s u r e t h a t t h e n u m b e r a n d l o c a t i o n o f p e o p l e i n v o l v e d i n s u c h l e a f l e t i n g , s o l i c i t a t i o n a n d / o r p o l i t i c a l c a m p a i g n a c t i v i t i e s a t e a c h s t a t i o n d o n o t i m p e d e , l i m i t o r r e s t r i c t o p t i m u m p e d e s t r i a n t r a f f i c o r i n t e n d e d p u b l i c t r a n s p o r t a t i o n u s e s o f i t s c o m m u t e r r a i l s t a t i o n s ; a n d W H E R E A S , f o r t h o s e s p a c e s t h a t h a v e b e e n a u t h o r i z e d f o r c o m m e r c i a l a d v e r t i s i n g a n d o t h e r r e v e n u e - g e n e r a t i n g u s e s , s u c h i n c i d e n t a l u s e s s h a l l b e a l l o w e d o n l y s o l o n g a s t h e f o l l o w i n g i n t e r e s t s o f C o m m i s s i o n a r e p r e s e r v e d : ( 1 ) a s a f e , c o n v e n i e n t a n d p l e a s a n t e n v i r o n m e n t f o r u s e r s o f C o m m i s s i o n p r o p e r t y , w h i c h i n c l u d e s m a x i m i z i n g u s e o f i t s c o m m u t e r r a i l s t a t i o n s b y a t t r a c t i n g a n d m a i n t a i n i n g t h e p a t r o n a g e o f t h e p u b l i c ; ( 2 ) p r o t e c t i o n o f a n y m i n o r s w h o u s e C o m m i s s i o n s t a t i o n s ; a n d ( 3 ) t h e a v o i d a n c e o f a n y p o t e n t i a l i d e n t i f i c a t i o n o f t h e C o m m i s s i o n w i t h t h e p o i n t o f v i e w o r m e s s a g e o f t h e c o m m e r c i a l a d v e r t i s e m e n t p l a c e d b y a t h i r d p a r t y ; a n d W H E R E A S , t h e C o m m i s s i o n h a s f u r t h e r i d e n t i f i e d p o t e n t i a l a d d i t i o n a l r e v e n u e s s o u r c e s b e y o n d c o m m e r c i a l a d v e r t i s i n g s u c h a s c o n c e s s i o n s a n d C o m m i s s i o n - r e l a t e d m e r c h a n d i s i n g p r o g r a m s t o s u p p l e m e n t e x i s t i n g o p e r a t i o n a l a n d c a p i t a l f u n d s ; a n d W H E R E A S , t h e s e n e w p r o g r a m s a r e i n t e n d e d t o s u p p l e m e n t e x i s t i n g r e v e n u e s g e n e r a t e d f r o m c u r r e n t f a r e r a t e s a n d n o n - o p e r a t i n g s u b s i d i e s ; a n d 2 8 9 WHEREAS, this Policy authorizes the Executive Director to implement any reasonable time, place, manner restrictions necessary to maintain public safety, aesthetic standards and the promotion of public transportation; and WHEREAS, the Commission adopts the viewpoint neutral and content -based commercial advertising guidelines as contained herein in order to provide direction to third parties seeking to use the Commission's designated advertising spaces; and WHEREAS, by adopting these guidelines, the Commission does not intend or propose to permit advertising that individually or commercially would cause any real or personal property owned or controlled by Commission to become a public forum for the dissemination, debate, and/or discussion of public issues unless permitted under the Commission's non-commercial free speech policy; and WHEREAS, the commercial advertising policy applies to advertising placed by a third party on any Commission property and does not prohibit the Commission from placing advertisements and announcements related to its own or other governmental services, programs, or events not in violation of the viewpoint neutral content -based restrictions contained herein; and WHEREAS, the sale of newspapers, food and beverages shall be regulated under separate policies. The sale of non -Commission merchandise except for approved concession vendors is strictly prohibited at the commuter rail stations; and WHEREAS, any advertising on bus shelters and benches within the public rights -of -way shall be governed by the then -current policies of the applicable jurisdiction. This Policy shall only apply to Commission owned real property and otherwise the commuter rail stations above. WHEREAS, the following Policy and Guidelines will be reviewed biennially (every two years) to reflect the current policies of the Commission and to reflect changes in the trends of social and economic acceptance and appropriateness of various forms of advertising and concessions. NOW, THEREFORE, BE IT RESOLVED by the Board of Commissioners as follows: Section 1. The Recitals set forth above are true and correct and are incorporated into this resolution by this reference. Section 2. Commission hereby adopts a "Commercial Advertising Policy and Guidelines" attached hereto as Exhibit "A" and incorporated herein by reference. Section 3. Commission hereby adopts a "Incidental Use Policy" attached hereto as Exhibit `B" and incorporated herein by reference. Section 4. Commission hereby adopts a "Non -Commercial Free Speech Policy" attached hereto as Exhibit "C" and incorporated herein by reference. • • 290 " S e c t i o n 5 . C o m m i s s i o n r e s e r v e s t h e r i g h t t o m o d i f y b o t h E x h i b i t s A , B a n d / o r C a t a n y t i m e a s m a y b e r e q u i r e d . C o m m i s s i o n h e r e b y a u t h o r i z e s t h e E x e c u t i v e D i r e c t o r t o r e v i s e a n d e n f o r c e t h e p r o v i s i o n s o f b o t h p o l i c i e s . C o m m i s s i o n s t a f f s h a l l p o s t r e v i s i o n s t o e i t h e r P o l i c y o n C o m m i s s i o n ' s w e b s i t e a t l e a s t t h i r t y ( 3 0 ) c a l e n d a r d a y s b e f o r e i t b e c o m e s e f f e c t i v e . S e c t i o n 6 . T h e C h a i r p e r s o n o f t h e B o a r d s h a l l s i g n t h i s R e s o l u t i o n a n d t h e C l e r k o f t h e B o a r d s h a l l c e r t i f y t h e a d o p t i o n t h e r e o f . T h i s R e s o l u t i o n s h a l l b e e f f e c t i v e o n t h e d a t e o f i t s a d o p t i o n . S e c t i o n 7 . T h e B o a r d o f C o m m i s s i o n e r s h e r e b y f i n d s t h a t a d o p t i o n o f t h i s R e s o l u t i o n i s n o t s u b j e c t t o C E Q A a n d a u t h o r i z e s a n d d i r e c t s C o m m i s s i o n s t a f f a s d e s i g n a t e d b y t h e E x e c u t i v e D i r e c t o r t o f i l e a N o t i c e o f E x e m p t i o n w i t h t h e C o u n t y C l e r k o f R i v e r s i d e C o u n t y a n d t h e S t a t e C l e a r i n g h o u s e w i t h i n f i v e ( 5 ) d a y s f o l l o w i n g a d o p t i o n o f t h i s R e s o l u t i o n . A P P R O V E D A N D A D O P T E D t h i s 1 4 t h d a y o f J u l y , 2 0 1 0 . B o b B u s t e r , C h a i r R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n " A T T E S T : J e n n i f e r H a r m o n , C l e r k o f t h e B o a r d R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n 2 9 1 " E X H I B I T " A " C O M M E R C I A L A D V E R T I S I N G P O L I C Y A N D C O N T E N T G U I D E L I N E S A . P O L I C Y S T A T E M E N T T h e p u r p o s e o f t h i s C o m m e r c i a l A d v e r t i s i n g P o l i c y i s t o e s t a b l i s h v i e w p o i n t - n e u t r a l a n d c o n t e n t - b a s e d g u i d e l i n e s t h a t g o v e r n C o m m i s s i o n ' s d i s p l a y o f a c c e p t a b l e c o m m e r c i a l a d v e r t i s e m e n t s . T h e d i s p l a y o f c o m m e r c i a l a d v e r t i s i n g i s n o t i n t e n d e d t o p r o v i d e a g e n e r a l p u b l i c f o r u m f o r f r e e s p e e c h p u r p o s e s b u t r a t h e r t o r e t a i n u s e o f C o m m i s s i o n p r o p e r t y i n a p r o p r i e t a r y c a p a c i t y . A l l o w i n g c o m m e r c i a l a d v e r t i s i n g i n c e r t a i n l o c a t i o n s o n C o m m i s s i o n p r o p e r t y a s a m e a n s o f f e e g e n e r a t i o n i s a r e s p o n s i b l e i n c i d e n t a l e c o n o m i c u s e o f C o m m i s s i o n ' s c a p i t a l i n v e s t m e n t s . A d v e r t i s i n g p l a c e d b y a n y t h i r d p a r t y ( i n c l u d i n g v e n d o r s ) o n C o m m i s s i o n p r o p e r t y i s n o t a u t h o r i z e d u n l e s s p e r m i t t e d i n a c c o r d a n c e w i t h t h i s P o l i c y a n d g u i d e l i n e s a n d a c o n t r a c t a p p r o v e d b y t h e C o m m i s s i o n . I s s u a n c e o f a n y l i c e n s e a g r e e m e n t s a n d r e l a t e d c o n t r a c t s m u s t b e i n a c c o r d a n c e w i t h C o m m i s s i o n ' s p r o c u r e m e n t p o l i c i e s . C o m m i s s i o n r e s e r v e s t h e r i g h t t o r e j e c t a n y a d v e r t i s i n g b a s e d u p o n i t s g u i d e l i n e s f o r a c c e p t a b l e a d v e r t i s i n g c o n t e n t a s o u t l i n e d i n t h i s P o l i c y . L o c a t i o n s f o r c o m m e r c i a l a d v e r t i s i n g m a y i n c l u d e b u t a r e n o t l i m i t e d t o : c o m m u t e r r a i l s t a t i o n s , p a r k i n g s t r u c t u r e s , a n d f i x e d o u t d o o r d i s p l a y s o n a n y C o m m i s s i o n - o w n e d p r o p e r t y . T h i s P o l i c y a l s o p r o v i d e s g u i d e l i n e s a s t o t h e u s e o f i n f o r m a t i o n s i g n a g e s p a c e . N o t w i t h s t a n d i n g , C o m m i s s i o n r e c o g n i z e s t h a t a d v e r t i s i n g o n i t s o w n p r o p e r t i e s i s a c r i t i c a l m e a n s o f c o m m u n i c a t i o n w i t h i t s p a t r o n s a n d u s e r s i n c l u d i n g t h e a d e q u a t e d i s s e m i n a t i o n o f t r a n s i t a n d s a f e t y r e l a t e d i n f o r m a t i o n . S o m e i n f o r m a t i o n a l s i g n a g e s p a c e i s c u r r e n t l y a v a i l a b l e a t t h e s t a t i o n s a n d r e s e r v e d e x c l u s i v e l y f o r C o m m i s s i o n i n f o r m a t i o n . B . D E F I N I T I O N O F T E R M S K e y t e r m s a r e d e f i n e d a s f o l l o w s : " " A d d e d V a l u e M a t e r i a l s " - I n f o r m a t i o n a l a d v e r t i s i n g w h i c h o f f e r s a t a n g i b l e b e n e f i t t o p a t r o n s a s a m e a n s o f r e w a r d i n g a n d r e t a i n i n g c u s t o m e r s ( i . e . , a m o n e y - s a v i n g d i s c o u n t ) . " " C o m m e r c i a l a d v e r t i s e m e n t s " - A d v e r t i s e m e n t s t h a t ( 1 ) h a v e a s i t s p r i m a r y p u r p o s e t h e p r o m o t i o n o f a c o m m e r c i a l t r a n s a c t i o n , s u c h a s t h e s a l e o f r e a l o r p e r s o n a l p r o p e r t y , s e r v i c e s , e n t e r t a i n i n g a n d / o r d i n i n g , w h i c h i s o f f e r e d t o t h e p u b l i c g e n e r a l l y a n d ( 2 ) a r e n o t o t h e r w i s e p r o h i b i t e d u n d e r t h e v i e w p o i n t n e u t r a l c o n t e n t - b a s e d r e s t r i c t i o n s b e l o w . S u c h s h a l l i n c l u d e s e r v i c e s a n d m e s s a g e s o f c h a r i t a b l e , e d u c a t i o n a l , g o v e r n m e n t , a n d n o t f o r p r o f i t i n s t i t u t i o n s s u b j e c t t o c o m p l i a n c e w i t h t h e C o m m e r c i a l A d v e r t i s i n g C o n t e n t G u i d e l i n e s . " " C r o s s - P r o m o t i o n " - A c o o p e r a t i v e p a r t n e r s h i p i n w h i c h t w o o r m o r e e n t i t i e s w o r k t o g e t h e r w i t h t h e g o a l o f j o i n t l y p r o m o t i n g t h e i r r e s p e c t i v e s e r v i c e s . 2 9 2 " " G o v e r n m e n t a l E n t i t i e s " - P u b l i c e n t i t i e s s p e c i f i c a l l y c r e a t e d b y g o v e r n m e n t a c t i o n . " " M a p C a s e s " - F i x e d c a s e s i n C o m m i s s i o n R a i l s t a t i o n s . U s e d t o d i s p l a y C o m m i s s i o n R a i l S y s t e m M a p s a n d p r o v i d e i n f o r m a t i o n o n f a r e s , r o u t e s , s a f e t y , s a l e s l o c a t i o n s , s e r v i c e c h a n g e s a n d o t h e r m a t t e r s r e l e v a n t t o t h e u s e o f t h e M e t r o l i n k S y s t e m . " " N o n - C o m m e r c i a l A d v e r t i s i n g " - A p u b l i c s e r v i c e a n n o u n c e m e n t , e v e n t n o t i f i c a t i o n , p o l i t i c a l s t a t e m e n t o r o t h e r m e s s a g e w h i c h d o e s n o t h a v e a s i t s p r i m a r y p u r p o s e t o p r o p o s e a c o m m e r c i a l t r a n s a c t i o n . T h e s e t y p e s o f a d v e r t i s e m e n t s t h a t o t h e r w i s e d e v i a t e f r o m t h e C o m m e r c i a l A d v e r t i s i n g C o n t e n t G u i d e l i n e s w i l l n o t b e a c c e p t e d . C . C O M M E R C I A L A D V E R T I S I N G C O N T E N T G U I D E L I N E S 1 . R e v e n u e - G e n e r a t i n g / C o m m e r c i a l A d v e r t i s i n g I n a c c o r d a n c e w i t h t h e r e v e n u e - g e n e r a t i n g p u r p o s e o f t h i s P o l i c y , t h e C o m m i s s i o n s h a l l a c c e p t o n l y c o m m e r c i a l a d v e r t i s e m e n t s . N o n - c o m m e r c i a l a d v e r t i s e m e n t s w i l l n o t b e a c c e p t e d u n l e s s i t i s c o n s i d e r e d i n f o r m a t i o n a l m a t e r i a l a s d e s c r i b e d b e l o w . A n y p e r s o n s e e k i n g t o a d v e r t i s e , l e a f l e t o r s o l i c i t f o r p o l i t i c a l p u r p o s e s a r e n o t c o v e r e d b y t h i s P o l i c y . N o t w i t h s t a n d i n g t h e f o r e g o i n g , C o m m i s s i o n e x p r e s s l y r e s e r v e s i t s p r o p r i e t a r y r i g h t t o d i s p l a y n o t i c e s a n d a d v e r t i s e m e n t s r e l a t i n g t o C o m m i s s i o n ' s t r a n s i t o p e r a t i o n s . T h e C o m m i s s i o n m a y , b u t i s n o t r e q u i r e d , t o c o n t r a c t w i t h o u t s i d e v e n d o r s t o s e l l a n d d i s p l a y c o m m e r c i a l a d v e r t i s i n g w i t h i n t h e c o m m u t e r r a i l s t a t i o n s a n d o t h e r w i s e o n i t s p r o p e r t y f o r t h e s o l e p u r p o s e o f g e n e r a t i n g r e v e n u e . C o m m i s s i o n m a y s e l l o r p o s t a d v e r t i s i n g d i r e c t l y . A n y v e n d o r s r e s p o n s i b l e f o r s o l i c i t i n g a n d p o s t i n g c o m m e r c i a l a d v e r t i s e m e n t s t o t h i r d p a r t i e s s h a l l b e a u t h o r i z e d u n d e r c o n t r a c t s a w a r d e d b y C o m m i s s i o n t h r o u g h a c o m p e t i t i v e b i d d i n g p r o c e s s t o t h e e x t e n t r e q u i r e d u n d e r t h e C o m m i s s i o n ' s p r o c u r e m e n t p o l i c y . A l l s u c h c o n t r a c t s s h a l l c o m p l y w i t h t h e s e g u i d e l i n e s a n d f o l l o w i n g r e q u i r e m e n t s : " L o c a t i o n s f o r c o m m e r c i a l a d v e r t i s i n g o n C o m m i s s i o n p r o p e r t y o r r a i l r i g h t o f w a y m a y i n c l u d e , b u t a r e n o t l i m i t e d t o : d e d i c a t e d m a p c a s e s , b i l l b o a r d s , b a n n e r s , b i k e l o c k e r s , v e n d i n g m a c h i n e s h e l t e r s , f i x e d o u t d o o r d i s p l a y s , e l e c t r o n i c s i g n a g e , a n d a n y o t h e r l o c a t i o n s a p p r o v e d b y t h e C o m m i s s i o n . " S a f e t y , a e s t h e t i c c o n s i d e r a t i o n s , c u s t o m e r c o n v e n i e n c e , a n d C o m m i s s i o n ' s n e e d t o c o n v e y t r a n s i t - r e l a t e d a n d e m e r g e n c y i n f o r m a t i o n t o p a s s e n g e r s w i l l t a k e p r e c e d e n c e o v e r r e v e n u e g e n e r a t i o n . " Q u a n t i t y , q u a l i t y , a n d p l a c e m e n t o f a l l a d v e r t i s i n g w i l l b e c o n t r o l l e d b y a n d s u b j e c t t o t h e s p e c i f i c a p p r o v a l o f C o m m i s s i o n . 2 9 3 " " " C o m m i s s i o n r e s e r v e s t h e r i g h t t o r e v i e w a n y p r o p o s e d a d v e r t i s e m e n t i n a d v a n c e a n d r e j e c t a n y p r o p o s e d a d v e r t i s e m e n t w h i c h d o e s n o t m e e t t h e C o m m i s s i o n ' s s t a n d a r d s a s s e t f o r t h i n t h i s P o l i c y . E a c h e n t i t y w i s h i n g t o p u r c h a s e a d v e r t i s i n g s p a c e s h a l l s u b m i t a n a p p l i c a t i o n i n s u c h f o r m a s a p p r o v e d b y t h e E x e c u t i v e D i r e c t o r o r h i s / h e r d e s i g n e e , w h i c h s h a l l i n c l u d e t h e p r o p o s e d c o n t e n t o f t h e a d v e r t i s e m e n t . S u c h s h a l l n o t p r o h i b i t c o n t r a c t i n g t h e s a l e a n d m a n a g e m e n t o f s u c h a d v e r t i s i n g s p a c e t o a t h i r d p a r t y p u r s u a n t t o C o m m i s s i o n ' s p r o c u r e m e n t p o l i c i e s a n d p r o c e d u r e s . B e f o r e a n y a d v e r t i s e m e n t i s r e j e c t e d , i t s h a l l b e r e f e r r e d t o t h e E x e c u t i v e D i r e c t o r o r h i s / h e r d e s i g n e e f o r C o m m i s s i o n f o r a p p r o p r i a t e a c t i o n a n d a f i n a l d e c i s i o n . T h e f o l l o w i n g v i e w p o i n t - n e u t r a l c o n t e n t - b a s e d l i m i t a t i o n s f o r t h i r d p a r t y c o m m e r c i a l a d v e r t i s i n g a r e e s t a b l i s h e d a s f o l l o w s : 2 . A l c o h o l a n d T o b a c c o A d v e r t i s i n g A d v e r t i s i n g o f a l l a l c o h o l a n d t o b a c c o p r o d u c t s i s p r o h i b i t e d . 3 . N o n - C o m m e r c i a l A d v e r t i s i n g C o m m i s s i o n d o e s n o t a c c e p t a d v e r t i s i n g f r o m n o n - g o v e r n m e n t a l e n t i t i e s i f t h e s u b j e c t m a t t e r a n d i n t e n t o f s a i d a d v e r t i s i n g i s n o n - c o m m e r c i a l a n d d e v i a t e s f r o m t h e s e g u i d e l i n e s . G e n e r a l l y , a c c e p t a b l e a d v e r t i s i n g m u s t p r o m o t e f o r s a l e , l e a s e o r o t h e r f o r m o f f i n a n c i a l b e n e f i t a p r o d u c t , s e r v i c e , e v e n t o r o t h e r p r o p e r t y i n t e r e s t i n p r i m a r i l y a c o m m e r c i a l m a n n e r f o r p r i m a r i l y a c o m m e r c i a l p u r p o s e . E x e m p t i o n : G o v e r n m e n t a l e n t i t i e s , m e a n i n g p u b l i c e n t i t i e s s p e c i f i c a l l y c r e a t e d b y g o v e r n m e n t a c t i o n , m a y p u r c h a s e o r n e g o t i a t e a r r a n g e m e n t s f o r a d v e r t i s i n g s p a c e f o r m e s s a g e s t h a t a d v a n c e s p e c i f i c g o v e r n m e n t p u r p o s e s . I t i s C o m m i s s i o n ' s i n t e n t t h a t g o v e r n m e n t a d v e r t i s i n g w i l l n o t b e u s e d f o r c o m m e n t o n i s s u e s o f v a l i d p u b l i c d e b a t e . 4 . O t h e r S u b i e c t M a t t e r R e s t r i c t i o n s A d v e r t i s i n g m a y n o t b e d i s p l a y e d i f i t s c o n t e n t : P r o m o t e s , c o n d o n e s o r r e l a t e s t o a n i l l e g a l a c t i v i t y o r w h i c h m i g h t b e c o n s i d e r e d a s d e r o g a t o r y t o w a r d a n y a s p e c t o f t h e l a w e n f o r c e m e n t p r o f e s s i o n ; o r " C o n t a i n s l a n g u a g e w h i c h i s o b s c e n e , v u l g a r , p r o f a n e , o r o t h e r w i s e o f f e n s i v e t o g e n e r a l l y a c c e p t e d s e n s i b i l i t y a n d t a s t e ; o r " C o n t a i n s i m a g e s , c o p y o r c o n c e p t s t h a t a c t i v e l y d e n i g r a t e o r d i s c r i m i n a t e a g a i n s t a r e l i g i o u s , e t h n i c , r a c i a l , s e x u a l o r i e n t a t i o n , g e n d e r i d e n t i t y , o r p o l i t i c a l g r o u p ; " C o n t a i n s i m a g e s , c o p y o r c o n c e p t s t h a t a c t i v e l y d e n i g r a t e p u b l i c t r a n s p o r t a t i o n ; o r 2 9 4 " C o n t a i n s o b s c e n e m a t t e r a s d e f i n e d i n s t a t e l a w , o r s e x - o r i e n t e d m a t e r i a l a s d e f i n e d i n t h e R i v e r s i d e C o u n t y M u n i c i p a l C o d e , C h a p t e r 5 . 4 4 ; o r " C o n t a i n s i m a g e s , c o p y o r c o n c e p t s t h a t a p p e a r t o m a k e a p e r s o n a l a t t a c k o n a n y i n d i v i d u a l o r u p o n a n y c o m p a n y , p r o d u c t , o r i n s t i t u t i o n ; o r f a l s e l y d i s p a r a g e s a n y s e r v i c e o r p r o d u c t o r i s d e f a m a t o r y i n a n y r e s p e c t ; o r " C o n t a i n s i m a g e s , c o p y o r c o n c e p t s t h a t p o r t r a y s a c t s o f v i o l e n c e , m u r d e r , s e d i t i o n , t e r r o r , a n t i s o c i a l b e h a v i o r , v a n d a l i s m , o r o t h e r a c t s o f v i o l e n c e a g a i n s t p e r s o n s a n d / o r i n s t i t u t i o n s ; o r " C o n t a i n s i m a g e s , c o p y o r c o n c e p t s t h a t d e p i c t n u d i t y o r p o r t i o n s o f n u d i t y t h a t w o u l d b e c o n s i d e r e d a s o f f e n s i v e , d i s t a s t e f u l , p o r n o g r a p h i c , o r e r o t i c , i s o b s c e n e , o r a d v e r t i s e s a d u l t e n t e r t a i n m e n t . T h e r u l e o f " p u b l i c a c c e p t a n c e " s h o u l d b e u s e d i n s u c h c a s e s ; i . e . , i f t h e a d v e r t i s e m e n t h a s a l r e a d y g a i n e d p u b l i c a c c e p t a n c e , t h e n i t m a y b e c o n s i d e r e d a s a c c e p t a b l e t o C o m m i s s i o n ; o r " C o n t a i n s i m a g e s , c o p y o r c o n c e p t s t h a t c o n t a i n s p o l i t i c a l a d s e n d o r s i n g a c a n d i d a t e , m e a s u r e o r p r o p o s i t i o n ; o r " C o n t a i n s i m a g e s , c o p y o r c o n c e p t s t h a t c o n t a i n s a r e l i g i o u s m e s s a g e o r p r o m o t e s a n y r e l i g i o n ; o r " C o n t a i n s i m a g e s , c o p y o r c o n c e p t s t h a t i m p l i e s a n e n d o r s e m e n t b y C o m m i s s i o n f o r a n y s e r v i c e , p r o d u c t o r p o i n t o f v i e w ; o r " C o n t a i n s i m a g e s , c o p y o r c o n c e p t s t h a t a r e i n c o n f l i c t w i t h a n y a p p l i c a b l e f e d e r a l , s t a t e , o r l o c a l l a w , s t a t u t e , o r o r d i n a n c e . 5 . D i s p l a y , T r e a t m e n t a n d M a i n t e n a n c e R e q u i r e m e n t s A d v e r t i s i n g m u s t c o m p l y w i t h t h e f o l l o w i n g : " A d v e r t i s i n g p l a c e m e n t o r t r e a t m e n t s w i l l n o t i m p e d e v e h i c u l a r o r p e d e s t r i a n t r a f f i c , w i l l n o t r e s t r i c t t h e v i s i b i l i t y o f d i r e c t i o n a l / t r a f f i c s i g n s a n d i n f o r m a t i o n a l m a t e r i a l , a n d w i l l n o t e n c r o a c h o n n e c e s s a r y s i g h t l i n e s ( e . g . , d r i v e r / o p e r a t o r v i e w o f w a i t i n g p a t r o n s ) n o r p r e s e n t a n y o t h e r s a f e t y r i s k s o r h a z a r d s . " A d v e r t i s i n g i n d u s t r y s t a n d a r d s i z e s w i l l b e u s e d f o r a l l a d v e r t i s i n g t r e a t m e n t s . " A d v e r t i s i n g t r e a t m e n t s w i l l b e m a i n t a i n e d i n " l i k e - n e w " c o n d i t i o n . D a m a g e t o t h e a d v e r t i s e m e n t o r i t s h o u s i n g w i l l b e c o r r e c t e d w i t h i n f o r t y - e i g h t ( 4 8 ) h o u r s . " A d v e r t i s i n g t r e a t m e n t s ( h o u s i n g s ) w i l l c o m p l e m e n t t h e a r c h i t e c t u r e o f t h e t r a n s i t c e n t e r s / s t a t i o n s a n d t h e f l a v o r o f t h e s u r r o u n d i n g c o m m u n i t y . C o m m i s s i o n p l a n s p e c i f i c a t i o n s w i l l b e f o l l o w e d w h e r e v e r a p p l i c a b l e . A d v e r t i s i n g t r e a t m e n t s w i l l " 2 9 5 " " b e d e s i g n e d , c o n s t r u c t e d , a n d p l a c e d i n a c c o r d a n c e w i t h a l l a p p l i c a b l e l o c a l , s t a t e , a n d f e d e r a l s t a n d a r d s . " A n y u n s o l d t r a n s i t c e n t e r , m a j o r t r a n s i t p o i n t s , a n d s t a t i o n d i s p l a y a d v e r t i s i n g s p a c e w i l l b e a l l o c a t e d f o r g r a p h i c s a n d / o r n o n r e v e n u e - p r o d u c i n g f u n c t i o n s a p p r o v e d b y t h e E x e c u t i v e D i r e c t o r o r h i s / h e r d e s i g n e e . A t l e a s t o n e f u l l d i s p l a y p a n e l p e r t r a n s i t c e n t e r a n d s t a t i o n w i l l b e r e s e r v e d e x c l u s i v e l y f o r t r a n s i t - r e l a t e d i t e m s . " A d v e r t i s i n g s p a c e m a y b e a l l o w e d i n p r i n t e d m a t e r i a l s ( e . g . , t i m e t a b l e s , m a p s , a n d i n f o r m a t i o n a l b r o c h u r e s ) a t t h e d i s c r e t i o n o f t h e E x e c u t i v e D i r e c t o r o r h i s / h e r d e s i g n e e . " N o a d v e r t i s i n g s p a c e s h a l l s u p e r s e d e n e c e s s a r y t r a n s i t i n f o r m a t i o n a n d / o r r e g u l a t i o n s . " A t t h e d i s c r e t i o n o f t h e E x e c u t i v e D i r e c t o r o r h i s / h e r d e s i g n e e , C o m m i s s i o n m a y a l l o c a t e s p a c e i n p r i n t e d m a t e r i a l s t o i n f o r m t r a n s i t c u s t o m e r s a b o u t p r i v a t e e n t i t i e s a c t i v e l y p a r t i c i p a t i n g i n t r a n s s e r v i c e s , e . g . , p a s s a n d t i c k e t - s a l e s o u t l e t s . " A d v e r t i s i n g v e n d o r s s h a l l m a i n t a i n a l l c o m m e r c i a l a d v e r t i s i n g f o r w h i c h t h e y h a v e c o n t r a c t e d t o d i s p l a y o n C o m m i s s i o n p r o p e r t i e s . 6 . C o m m i s s i o n ' s R i g h t o f R e j e c t i o n T h e C o m m i s s i o n r e s e r v e s t h e r i g h t t o r e j e c t a n y a d v e r t i s e m e n t o n t h e s t a t e d g r o u n d s a s s e t f o r t h i n t h e s e G u i d e l i n e s . A n y a d v e r t i s e m e n t o r o t h e r d i s p l a y d e e m e d t o b e o b j e c t i o n a b l e w i l l b e r e m o v e d . N o r e f u n d s h a l l b e m a d e f o r t h e t i m e s u c h o b j e c t i o n a b l e m a t e r i a l w a s o n d i s p l a y . C o m m i s s i o n ' s v e n d o r s m a y r e v i e w a d v e r t i s i n g c o n t e n t a c c o r d i n g t o t h e i r o w n g u i d e l i n e s o f a c c e p t a b i l i t y a n d g e n e r a l l y C o m m i s s i o n w i l l n o t s c r e e n i n d i v i d u a l a d s s u b m i t t e d t o i t s v e n d o r s p r i o r t o p o s t i n g u n l e s s s p e c i f i c a l l y r e q u e s t e d t o d o s o b y v e n d o r s . N e v e r t h e l e s s , i n a l l a d v e r t i s i n g v e n d o r c o n t r a c t s a w a r d e d , C o m m i s s i o n r e s e r v e s t h e r i g h t t o r e j e c t a n y a d v e r t i s i n g c o n t e n t s u b m i t t e d f o r d i s p l a y o n i t s p r o p e r t i e s a n d / o r t o o r d e r t h e r e m o v a l o f a n y a d v e r t i s i n g p o s t e d o n i t s p r o p e r t i e s . D e c i s i o n s r e g a r d i n g t h e r e j e c t i o n o r r e m o v a l o f a d v e r t i s i n g s h a l l b e m a d e b y t h e E x e c u t i v e D i r e c t o r o r h i s / h e r d e s i g n e e b a s e d u p o n t h e c r i t e r i a i n t h e s e G u i d e l i n e s . 2 9 6 7. Informational Advertising Commission has several unique distribution channels at its disposal for disseminating transit information that incurs no "space" cost (no fee charged for advertising space). These distribution channels include, but are not limited to: newsletter racks at Commission stations, bulletin boards and cases at select Commission Rail stations. In addition, Commission shall have use of an allotment of advertising space at no charge by agreement with any vendor that sells all remaining advertising space under revenue generating agreements. • Acceptable information for these distribution channels is categorized as follows: a. Regular Transit Information Regular transit -oriented information is prepared by Commission and operators as well as upon request from other internal departments. Regular transit information includes, but is not limited to: service features and changes, fare information and changes, safety and security messages, maps and explanations of related transportation services. b. Cross -Promotional Information On an occasional basis and only when space is available, Commission may use its distribution channels to participate in cross -promotional opportunities that offer a direct opportunity to promote the public use of transit. Any materials distributed for this purpose must prominently include promotion of multimodal services (i.e. Rideshare, Commuterlink). Commission is prohibited by law from simply donating advertising space to any entity for purposes that are not directly transit -related. The outside organization involved must either bear the cost of producing such materials or, if approved by Commission, provide an equivalent or greater value in cross -promotional benefits (i.e. advertising space, editorial space, etc.). Any cross -promotional arrangement must be approved by the Executive Director or his/her designee based upon the criteria in these Guidelines. c. "Added Value" Materials On an occasional basis and only when space is available, Commission may use available distribution channels to provide "added value" materials to its customers. Such materials must present a specific and time -dated offer uniquely provided for station patrons (generally a money - saving discount) in which transit can be used to access the redemption point. Any materials distributed for this purpose must prominently include the Commission logo and other -wording approved by Commission to indicate that the offer is specifically designed for Commission and transit operator customers. Commission is prohibited by law from simply donating advertising space to any entity for purposes that are not directly transit -related. 297 " " T h e o u t s i d e o r g a n i z a t i o n i n v o l v e d m u s t e i t h e r b e a r t h e c o s t o f p r o d u c i n g s u c h m a t e r i a l s o r , i f a p p r o v e d b y C o m m i s s i o n , p r o v i d e a n e q u i v a l e n t o r g r e a t e r v a l u e i n c r o s s - p r o m o t i o n a l b e n e f i t s ( i . e . a d v e r t i s i n g s p a c e , e d i t o r i a l s p a c e , e t c . ) . A n y a d d e d v a l u e p r o g r a m s m u s t b e a p p r o v e d b y t h e E x e c u t i v e D i r e c t o r o r h i s / h e r d e s i g n e e b a s e d u p o n t h e c r i t e r i a i n t h e s e . G u i d e l i n e s . D . C O M M I S S I O N R E S P O N S I B I L I T I E S C o m m i s s i o n m a y e n g a g e c o n t r a c t o r ( s ) s e r v i c e s f o r t h e d e v e l o p m e n t , i m p l e m e n t a t i o n , m a n a g e m e n t , a n d m a i n t e n a n c e o f a d v e r t i s i n g , c o n c e s s i o n s , a n d / o r m e r c h a n d i s e p r o g r a m s i n c o n f o r m a n c e w i t h e x i s t i n g B o a r d p o l i c i e s a n d i n t h e b e s t i n t e r e s t s o f t h e C o m m i s s i o n . C o m m i s s i o n p r e p a r e s a l l i n f o r m a t i o n m e s s a g e s a n d m a t e r i a l s f o r d i s s e m i n a t i o n a t s t a t i o n s : a d m i n i s t e r s t h e d i s t r i b u t i o n / d i s p l a y o f t r a n s i t i n f o r m a t i o n ; t r a c k s / c o o r d i n a t e s t h e a v a i l a b i l i t y a n d u s e o f C o m m i s s i o n ' s u n i q u e i n f o r m a t i o n d i s t r i b u t i o n c h a n n e l s . E x e c u t i v e D i r e c t o r ( o r d e s i g n e e ) s h a l l r e v i e w a n d a p p r o v e / r e j e c t a l l c r o s s p r o m o t i o n s a n d a d d e d v a l u e p r o g r a m s u s i n g C o m m i s s i o n ' s u n i q u e d i s t r i b u t i o n c h a n n e l s b a s e d u p o n t h e c r i t e r i a i n t h e s e G u i d e l i n e s ; e n f o r c e s C o m m i s s i o n ' s r i g h t t o r e j e c t a n d / o r o r d e r r e m o v a l o f c o m m e r c i a l a d v e r t i s i n g b a s e d u p o n t h e c r i t e r i a i n t h e s e G u i d e l i n e s . E f f e c t i v e D a t e : D a t e o f L a s t R e v i e w : 2 9 8 " " " E X H I B I T " B " I N C I D E N T A L U S E P O L I C Y A n y i n c i d e n t a l u s e o f C o m m i s s i o n o w n e d f a c i l i t i e s a n d p r o p e r t y w i l l n o t e x c e e d t h a t p e r m i t t e d u n d e r a p p l i c a b l e F e d e r a l l a w s o r r e g u l a t i o n s i n a c c o r d a n c e w i t h a p p l i c a b l e F e d e r a l d i r e c t i v e s . T h i s P o l i c y s h a l l p e r m i t s t a f f t o u s e t h e s e f a c i l i t i e s a n d p r o p e r t y f o r i n c i d e n t a l u s e s i n c l u d i n g r e v e n u e g e n e r a t i n g p u r p o s e s s o l o n g a s t h e s e a c t i v i t i e s d o n o t i n t e r f e r e w i t h t h e C o m m i s s i o n ' s p r i m a r y p u b l i c t r a n s p o r t a t i o n o p e r a t i o n s a n d r e s p o n s i b i l i t i e s . T h e s e n e w p r o g r a m s w i l l s u p p l e m e n t e x i s t i n g r e v e n u e s g e n e r a t e d f r o m c u r r e n t f a r e r a t e s a n d n o n - o p e r a t i n g s u b s i d i e s . A . C o n c e s s i o n s C o n c e s s i o n f o r m a t s , q u a n t i t y , a n d p l a c e m e n t w i l l b e a p p r o v e d a n d c o n t r o l l e d b y t h e E x e c u t i v e D i r e c t o r o r h i s / h e r d e s i g n e e . A c c e p t a b l e c o n c e s s i o n f o r m a t s m a y i n c l u d e : s h o r t - t e r m r e n t a l s e r v i c e s ( i . e . , v i d e o s , b i c y c l e s , b e a c h o r s p o r t s e q u i p m e n t ) , a u t o m a t e d t e l l e r m a c h i n e s ( A T M s ) , S t a t e L o t t e r y v e n d i n g m a c h i n e s , p e r s o n a l s e r v i c e f a c i l i t i e s ( i . e . , l a u n d r y d r o p - o f f a n d p i c k - u p , c a r d e t a i l i n g ) , b e v e r a g e c a r t s , s n a c k o r b e v e r a g e v e n d i n g m a c h i n e s , a n d k i o s k s / s h o p s f o r t h e s a l e o f g e n e r a l m e r c h a n d i s e , n e w s p a p e r s , m a g a z i n e s , s u n d r i e s , p r e p a i d t r a n s i t f a r e s , t r a n s i t r e l a t e d m e r c h a n d i s e , a n d r i d e r c o n v e n i e n c e i t e m s a p p r o v e d b y t h e C o m m i s s i o n . A n y a d d i t i o n a l c o n c e s s i o n f o r m a t s a r e s u b j e c t t o a p p r o v a l o f t h e E x e c u t i v e D i r e c t o r o r h i s / h e r d e s i g n e e . C o n t r a c t s f o r a n y c o n c e s s i o n f o r m a t o r r e l a t e d d e v e l o p m e n t w i l l b e a w a r d e d i n a c c o r d a n c e w i t h e x i s t i n g C o m m i s s i o n p o l i c i e s . D u r i n g h o u r s o f b u s i n e s s , c o n c e s s i o n a i r e s w i l l p r o v i d e t h e p u b l i c w i t h t r a n s i t i n f o r m a t i o n m a t e r i a l s a s d i r e c t e d a n d s u p p l i e d b y C o m m i s s i o n o r i t s d e s i g n a t e d r e p r e s e n t a t i v e . C o n c e s s i o n t r e a t m e n t s / s t r u c t u r e s w i l l b e d e s i g n e d t o c o m p l e m e n t t h e a r c h i t e c t u r e o f t h e t r a n s i t c e n t e r s / s t a t i o n s a n d t h e f l a v o r o f t h e s u r r o u n d i n g c o m m u n i t y . C o m m i s s i o n p l a n s p e c i f i c a t i o n s w i l l b e f o l l o w e d w h e r e v e r a p p l i c a b l e . C o n c e s s i o n t r e a t m e n t s / s t r u c t u r e s w i l l b e d e s i g n e d , c o n s t r u c t e d , a n d p l a c e d i n a c c o r d a n c e w i t h a l l a p p l i c a b l e l o c a l , s t a t e , a n d f e d e r a l s t a n d a r d s . C o n c e s s i o n t r e a t m e n t s / s t r u c t u r e s w i l l n o t i m p e d e v e h i c u l a r o r p e d e s t r i a n t r a f f i c , w i l l n o t r e s t r i c t t h e v i s i b i l i t y o f d i r e c t i o n a l s i g n s a n d i n f o r m a t i o n a l m a t e r i a l s , a n d w i l l n o t e n c r o a c h o n n e c e s s a r y s i g h t l i n e s . C o n c e s s i o n a i r e c o n t r a c t s w i l l i n c l u d e r e m i t t a n c e t o C o m m i s s i o n o r i t s d e s i g n a t e d o p e r a t i n g v e n d o r . S a i d r e m i t t a n c e w i l l b e m a d e m o n t h l y o r q u a r t e r l y a n d i n c l u d e a f l a t r a t e o r a p e r c e n t a g e o f g r o s s r e v e n u e , a s a p p r o v e d b y t h e C o m m i s s i o n . A n y a n d a l l c o n c e s s i o n o n - s i t e s i g n i n g a n d d i s p l a y s w i l l b e i n a c c o r d a n c e w i t h e x i s t i n g C o m m i s s i o n p o l i c i e s a n d s u b j e c t t o a p p r o v a l o f t h e E x e c u t i v e D i r e c t o r o r h i s / h e r d e s i g n e e . B . M e r c h a n d i s e A n y a n d a l l s y s t e m - r e l a t e d m e r c h a n d i s e w i l l b e o f t h e q u a l i t y t h a t i s g e n e r a l l y a v a i l a b l e i n t h e s u r r o u n d i n g r e t a i l e n v i r o n m e n t a n d w i l l p r o j e c t a p o s i t i v e C o m m i s s i o n t r a n s i t i m a g e . 2 9 9 Merchandise licensing agreements and royalty payments will be made in accordance with contemporary Commission practices and in the best interests of the Commission. C. Contractor Services Commission may engage contractor(s) services for the development, implementation, management, and maintenance of advertising, concessions, and/or merchandise programs in conformance with existing Board policies and in the best interests of the Commission. Effective Date: Date of Last Review: • • • 300 " E X H I B I T " C " N O N - C O M M E R C I A L F R E E S P E E C H P O L I C Y A . R E S P O N S I B L E D E P A R T M E N T S u b j e c t t o t h e d i s c r e t i o n o f t h e E x e c u t i v e D i r e c t o r , t h e C o m m i s s i o n ' s R a i l D e p a r t m e n t w i l l b e r e s p o n s i b l e f o r o v e r s e e i n g t h i s P o l i c y . B . P R O C E D U R E 1 . A p p l i c a t i o n a n d L o t t e r y P r o c e s s f o r L e a f l e t i n g , S o l i c i t a t i o n , a n d / o r P o l i t i c a l C a m p a i g n A c t i v i t i e s I n d i v i d u a l s i n t e r e s t e d i n c o n d u c t i n g l e a f l e t i n g , s o l i c i t a t i o n , a n d / o r p o l i t i c a l c a m p a i g n a c t i v i t i e s a t a n y o f C o m m i s s i o n ' s c o m m u t e r r a i l s t a t i o n s m u s t c o m p l e t e a n d s u b m i t a " L e a f l e t i n g , S o l i c i t a t i o n a n d / o r P o l i t i c a l C a m p a i g n A c t i v i t i e s P e r m i t A p p l i c a t i o n " t o C o m m i s s i o n ' s R a i l D e p a r t m e n t . A p p l i c a n t s s h a l l s p e c i f y t h e C o m m i s s i o n c o m m u t e r r a i l s t a t i o n l o c a t i o n f o r w h i c h t h e y a r e a p p l y i n g f o r a p e r m i t . I n d i v i d u a l s m a y a p p l y f o r p e r m i t s a t m o r e t h a n o n e c o m m u t e r r a i l s t a t i o n . H o w e v e r , s h o u l d a n i n d i v i d u a l ' s a p p l i c a t i o n b e s e l e c t e d f o r a p e r m i t a t m o r e t h a n o n e c o m m u t e r r a i l s t a t i o n f o r a p a r t i c u l a r p e r m i t p e r i o d ( a c c o r d i n g t o t h e l o t t e r y p r o c e s s d e s c r i b e d b e l o w ) , t h e i n d i v i d u a l m u s t s e l e c t o n e s t a t i o n f o r w h i c h h e o r s h e m a y h a v e a p e r m i t f o r t h e p a r t i c u l a r p e r m i t p e r i o d w i t h i n t w o ( 2 ) d a y s o f t h e a p p l i c a n t ' s r e c e i p t o f C o m m i s s i o n ' s n o t i f i c a t i o n , u n l e s s t h e r e a r e n o o t h e r a p p l i c a t i o n s f o r p a r t i c u l a r s t a t i o n . F o r t h e s t a t i o n l o c a t i o n ( s ) n o t s e l e c t e d b y s u c h a p p l i c a n t , C o m m i s s i o n s h a l l s e l e c t a d i f f e r e n t a p p l i c a t i o n f o r r e c e i p t o f a p e r m i t . T w o l o c a t i o n s h a v e b e e n d e s i g n a t e d a t e a c h c o m m u t e r r a i l s t a t i o n f o r l e a f l e t i n g , s o l i c i t a t i o n , a n d / o r p o l i t i c a l c a m p a i g n a c t i v i t i e s . E a c h d e s i g n a t e d l o c a t i o n s h a l l b e f o r o n e i n d i v i d u a l . P e r m i t s s h a l l b e i s s u e d f o r t w o m o n t h p e r i o d s a s f o l l o w s ( e x c e p t i n t h e c a s e o f e l e c t i o n m o n t h s a n d t h e m o n t h i m m e d i a t e l y p r e c e d i n g e l e c t i o n d a t e s a s d i s c u s s e d i n S e c t i o n B b e l o w ) : ( 1 ) ( 2 ) ( 3 ) ( 4 ) ( 5 ) ( 6 ) J a n u a r y a n d F e b r u a r y ( P e r m i t P e r i o d # 1 ) M a r c h a n d A p r i l ( P e r m i t P e r i o d # 2 ) M a y a n d J u n e ( P e r m i t P e r i o d # 3 ) J u l y a n d A u g u s t ( P e r m i t P e r i o d # 4 ) S e p t e m b e r a n d O c t o b e r ( P e r m i t P e r i o d # 5 ) N o v e m b e r a n d D e c e m b e r ( P e r m i t P e r i o d # 6 ) A p p l i c a t i o n s f o r a p a r t i c u l a r p e r m i t p e r i o d s h a l l b e d u e b y t h e 1 9 t h d a y o f t h e c a l e n d a r m o n t h i m m e d i a t e l y p r e c e d i n g t h e p a r t i c u l a r p e r m i t p e r i o d . O n t h e 2 0 t h d a y o f t h e c a l e n d a r m o n t h i m m e d i a t e l y p r e c e d i n g t h e p a r t i c u l a r p e r m i t p e r i o d , C o m m i s s i o n s h a l l c o n d u c t a l o t t e r y w h e r e b y t w o a p p l i c a t i o n s s h a l l b e b l i n d l y s e l e c t e d f o r e a c h s t a t i o n . C o m m i s s i o n s h a l l n o t i f y s e l e c t e d a p p l i c a n t s i n w r i t i n g w i t h i n t w o ( 2 ) d a y s o f t h e l o t t e r y o f t h e i r s e l e c t i o n a n d s h a l l e n c l o s e a w r i t t e n p e r m i t w i t h s u c h n o t i f i c a t i o n i n d i c a t i n g t h e r a i l s t a t i o n a t w h i c h t h e y h a v e b e e n 3 0 1 issued a permit as well as the precise location at the rail station where they may conduct their designated advertising, leafleting and/or solicitation activity. Should a situation arise where a particular applicant is selected for more than one station and must forfeit another station location, Commission shall notify the alternate applicant(s) within two (2) days receipt of notice of the. forfeiting applicant's selection of a rail station location. Therefore, for example, for Permit Period #4 (July and August), applications would be due by June 19. Commission would then conduct a lottery on June 20 whereby two applications would be blindly selected. Selected applicants would then be notified in writing by June 22 of their selection. 2. Application and Lottery Process for Political Campaign Activities For the months of February and October and the days in March and November prior to a March or November election date, one of the two permit locations at each commuter rail station shall be reserved for political campaign activities. Individuals who wish to conduct political campaign activities at the commuter rail stations must submit a "Leafleting, Solicitation and/or Political Campaign Activities Permit Application" to Commission's Rail Department by 10:00 am, January 20 for a March election date and by 10:00 am, September 20 for a November election date. If January 20 and/or September 20 fall on a weekend, then applications will be due on the following Monday. Individuals may apply for permits at more than one commuter rail station. Commission shall conduct a blind lottery on or about the same date applications are due whereby each applicant shall be given a three (3) working -day period to conduct political campaign activities at a particular commuter rail station location. Commission shall notify all applicants in writing within two (2) days of the lottery indicating to them which dates they have been designated for their political campaign activities and shall enclose a written permit with such notification indicating the commuter rail station at which they have been issued a permit as well as the precise location at the rail station where they may conduct their designated political campaign activities. Once each applicant has had an opportunity to conduct political campaign activities at a commuter rail station for three (3) working days, then the cycle will start over beginning with the applicant who had the first three (3) working -day period. Should more applicants apply than can be accommodated for three (3) working -day periods, then the permit period shall be decreased to two (2) working -days. If no applications are submitted to conduct political campaign activities at a particular commuter rail station, then the permit location shall continue being designated for advertising, leafleting and solicitation activities. The leafleting, solicitation, and/or political campaign activities permittee who had been using the location shall be allowed to continue conducting such activities at the location until the end of the permit period (see Section A above) for which he or she was selected. 3. Permit Requirements Permit recipients shall conduct their designated leafleting, solicitation and/or political campaign activity for the permit period indicated on the permit. Permit recipients must adhere to the following policies in conducting such activities: • 302 " " " N o l e a f l e t s , p l a c a r d s , s i g n s , b a n n e r s o r o t h e r m a t e r i a l s h a l l b e a f f i x e d t o a n y C o m m i s s i o n p r o p e r t y . " N o m a t e r i a l s h a l l b e d i s t r i b u t e d b y l e a v i n g i t u n a t t e n d e d . " P e r m i s s i o n s h a l l n o t b e g i v e n b y C o m m i s s i o n f o r l e a f l e t i n g o f c a r s p a r k e d i n r a i l s t a t i o n p a r k i n g l o t s . " P e r m i t t e e s m u s t h a v e t h e o r i g i n a l o r a c o p y o f t h e p e r m i t w i t h t h e m a t a l l t i m e s w h i l e t h e y a r e c o n d u c t i n g t h e i r d e s i g n a t e d l e a f l e t i n g , s o l i c i t i n g a n d / o r p o l i t i c a l c a m p a i g n a c t i v i t i e s a t t h e c o m m u t e r r a i l s t a t i o n s . " P e r m i t t e e s m a y n o t c o n d u c t t h e i r l e a f l e t i n g , s o l i c i t i n g a n d / o r p o l i t i c a l c a m p a i g n a c t i v i t i e s o n t h e p l a t f o r m o f a c o m m u t e r r a i l s t a t i o n . " P e r m i t t e e s m a y n o t s e t u p t a b l e s o r b o o t h s a t t h e c o m m u t e r r a i l s t a t i o n s . " P e r m i t t e e s m a y n o t b l o c k a c c e s s t o t i c k e t m a c h i n e s o r o t h e r f a c i l i t i e s s u c h a s n e w s r a c k s o r b e n c h e s . " P e r m i t t e e s m a y n o t c o n d u c t t h e d e s i g n a t e d l e a f l e t i n g , s o l i c i t i n g a n d / o r p o l i t i c a l c a m p a i g n a c t i v i t i e s o n s t a i r w a y s l e a d i n g t o p l a t f o r m s , s t a i r w a y s l e a d i n g u p t o a n o v e r c r o s s i n g o r o n a n o v e r c r o s s i n g . " P e r m i t t e e s m a y n o t c r e a t e d i s t u r b a n c e s o r h a r a s s p a t r o n s . " P e r m i t t e e s m u s t f o l l o w t h e d i r e c t i o n s o f s e c u r i t y g u a r d s a n d C o m m i s s i o n o f f i c i a l s . " P e r m i t s m a y b e r e v o k e d i f n o t u s e d f o r t h r e e ( 3 ) c o n s e c u t i v e w o r k i n g d a y s ( e x c e p t i n t h e c a s e o f p e r m i t s i s s u e d f o r p o l i t i c a l c a m p a i g n a c t i v i t i e s ) . I I I . A P P E A L P R O C E D U R E C o m m i s s i o n s t a f f s h a l l m a k e a g o o d f a i t h e f f o r t t o c o m p l y w i t h t h e t i m e l i n e s s e t f o r t h h e r e i n . S h o u l d e v e n t s a r i s e s u c h a s h o l i d a y s o r w o r k - r e l a t e d e v e n t s w h e r e b y s l i g h t m o d i f i c a t i o n s m u s t b e m a d e t o t h e t i m e l i n e s , C o m m i s s i o n s t a f f s h a l l m a k e a g o o d f a i t h e f f o r t t o f o l l o w t h e t i m e l i n e s s e t f o r t h h e r e i n a s c l o s e l y a s p o s s i b l e . A n y p e r m i t r e c i p i e n t w h o d o e s n o t a d h e r e t o a l l o f t h e p o l i c i e s c o n t a i n e d h e r e i n s h a l l b e a s k e d b y a s e c u r i t y g u a r d t o l e a v e t h e p r e m i s e s i m m e d i a t e l y . F u r t h e r m o r e , v i o l a t i o n o f a n y o f t h e a b o v e p o l i c i e s s h a l l r e s u l t i n a u t o m a t i c r e v o c a t i o n o f a p e r m i t . S h o u l d a n i n d i v i d u a l ' s a p p l i c a t i o n f o r a p e r m i t b e d e n i e d , s u c h i n d i v i d u a l m a y a p p e a l t h e d e n i a l o f h i s o r h e r a p p l i c a t i o n i n w r i t i n g t o t h e E x e c u t i v e D i r e c t o r o f C o m m i s s i o n e x p l a i n i n g w h y t h e a p p l i c a t i o n s h o u l d n o t h a v e b e e n d e n i e d . T h e E x e c u t i v e D i r e c t o r s h a l l r e v i e w t h e d e n i a l 3 0 3 and shall notify the denied applicant of his or her determination in writing within ten (10) days receipt of such appeal. The Executive Director may authorize exceptions to the above -stated policies to protect applicants' free speech rights as well as the safety and mobility of patrons. Should the Executive Director uphold the denial of such individual's application, such individual may appeal his or her case to the Board of Commissioners by sending such appeal to the Board in writing explaining why the application should not have been denied. The Board shall review the appeal at its next general meeting and shall notify the denied applicant of its determination in writing within ten (10) days of such general meeting. • • 304 " A G E N D A I T E M 8 L " " " " R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N D A T E : J u l y 1 4 , 2 0 1 0 T O : R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n F R O M : W e s t e r n R i v e r s i d e C o u n t y P r o g r a m s a n d P r o j e c t s C o m m i t t e e B r i a n C u n a n a n , C o m m u t e r A s s i s t a n c e M a n a g e r R o b e r t Y a t e s , M u l t i m o d a l S e r v i c e s D i r e c t o r T H R O U G H : A n n e M a y e r , E x e c u t i v e D i r e c t o r S U B J E C T : F i s c a l Y e a r 2 0 1 0 / 1 1 A g r e e m e n t s f o r R e g i o n a l R i d e s h a r e S e r v i c e s , W E S T E R N R I V E R S I D E C O U N T Y P R O G R A M S A N D P R O J E C T S C O M M I T T E E A N D S T A F F R E C O M M E N D A T I O N : T h i s i t e m i s f o r t h e C o m m i s s i o n t o : 1 ) A w a r d A g r e e m e n t N o . 1 0 - 4 1 - 0 2 9 - 0 1 , A m e n d m e n t N o . 1 t o A g r e e m e n t N o . 1 0 - 4 1 - 0 2 9 - 0 0 , w i t h t h e S a n B e r n a r d i n o A s s o c i a t e d G o v e r n m e n t s ( S A N B A G ) a s p a r t o f t h e C o m m i s s i o n ' s c o n t i n u i n g b i - c o u n t y p a r t n e r s h i p w i t h S A N B A G t o d e l i v e r c o m m u t e r / e m p l o y e r r i d e s h a r e s e r v i c e s , r e g i o n a l r i d e m a t c h i n g s e r v i c e s , a n d o p e r a t i o n o f a n I n l a n d E m p i r e 5 1 1 s y s t e m f o r F Y 2 0 1 0 / 1 1 ; 2 ) A w a r d A g r e e m e n t N o . 0 7 - 4 1 - 1 1 5 - 0 2 , A m e n d m e n t N o . 2 t o A g r e e m e n t N o . 0 7 - 4 1 - 1 1 5 - 0 0 , w i t h O r a n g e C o u n t y T r a n s p o r t a t i o n A u t h o r i t y ( O C T A ) a n d A g r e e m e n t N o . 0 6 - 4 1 - 0 8 2 - 0 5 , A m e n d m e n t N o . 5 t o A g r e e m e n t N o . 0 6 - 4 1 - 0 8 2 - 0 0 , w i t h t h e V e n t u r a C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n ( V C T C ) f o r r e g i o n a l r i d e m a t c h i n g s e r v i c e s ; a n d 3 ) A u t h o r i z e t h e C h a i r , p u r s u a n t t o l e g a l c o u n s e l r e v i e w , t o e x e c u t e t h e a g r e e m e n t s o n b e h a l f o f t h e C o m m i s s i o n . B A C K G R O U N D I N F O R M A T I O N : S i n c e 1 9 9 3 , S A N B A G h a s c o n t r a c t e d w i t h t h e C o m m i s s i o n t o d e v e l o p , i m p l e m e n t a n d m a n a g e a c o m m u t e r a s s i s t a n c e p r o g r a m ( C A P ) f o r S a n B e r n a r d i n o C o u n t y c o m m u t e r s . T h e p r o g r a m c o n s i s t s o f s e v e r a l p r o j e c t s . " T h e f i r s t , R i d e s h a r e I n c e n t i v e s , d e v e l o p e d a s a " s i s t e r " i n c e n t i v e p r o j e c t t o t h e C o m m i s s i o n ' s M e a s u r e A c o m m u t e r i n c e n t i v e p r o j e c t , f o c u s e s o n e n c o u r a g i n g s o l o d r i v e r s t o t r y a l t e r n a t i v e c o m m u t e m o d e s . " R i d e s h a r e P l u s , m o d e l e d a f t e r t h e C o m m i s s i o n ' s r i d e s h a r e r e w a r d s p r o g r a m , p r o v i d e s d i s c o u n t s a t l o c a l m e r c h a n t s a n d e n t e r t a i n m e n t v e n u e s f o r l o n g - t e r m r i d e s h a r e r s . A g e n d a I t e m 8 L 3 0 5 " I n / a n d E m p i r e C o m m u t e r S e r v i c e s ( I E C S ) w a s j o i n t l y e s t a b l i s h e d b y S A N B A G a n d t h e C o m m i s s i o n i n F Y 1 9 9 5 / 9 6 w h e n i t w a s d e t e r m i n e d b y t h e t w o a g e n c i e s t h a t t h e I n l a n d E m p i r e w o u l d a s s u m e d i r e c t r e s p o n s i b i l i t y f o r t h e p r o v i s i o n o f l o c a l e m p l o y e r r i d e s h a r e s e r v i c e s . I E C S p r o v i d e s v a r i o u s " s e r v i c e s t o e m p l o y e r s i n t h e b i - c o u n t y a r e a i n c l u d i n g t h e p r o v i s i o n o f m a r k e t i n g p r o m o t i o n s , r i d e s h a r e s u r v e y p r o c e s s i n g , t e c h n i c a l a s s i s t a n c e , e m p l o y e r n e t w o r k m e e t i n g s a n d e l e c t r o n i c n e w s l e t t e r s . " I n F Y 2 0 0 2 / 0 3 , t h e C o m m i s s i o n a n d S A N B A G b e g a n p r o v i d i n g R i d e m a t c h i n g a n d T e % s e r v i c e s d i r e c t l y . " I n F Y 2 0 0 9 / 1 0 , I n l a n d E m p i r e 5 1 1 w a s i m p l e m e n t e d t o p r o v i d e t r a v e l e r . i n f o r m a t i o n t o R i v e r s i d e a n d S a n B e r n a r d i n o C o u n t y c o m m u t e r s . I n J u l y 2 0 0 9 , t h e C o m m i s s i o n a p p r o v e d a $ 1 , 9 0 0 , 5 0 0 a g r e e m e n t w i t h S A N B A G f o r C A P s e r v i c e s a n d t h e i m p l e m e n t a t i o n o f a n I E 5 1 1 s y s t e m . B a s e d o n S A N B A G s t a f f ' s g u i d a n c e , t h e C o m m i s s i o n h a s d e v e l o p e d a F Y 2 0 1 0 / 1 1 w o r k p l a n a n d b u d g e t f o r c o n t i n u a t i o n o f S A N B A G ' s C A P a n d t h e o n g o i n g m a i n t e n a n c e a n d o p e r a t i o n o f a 5 1 1 t r a v e l i n f o r m a t i o n s e r v i c e s s y s t e m . T h e p r o p o s e d a m e n d m e n t b e t w e e n S A N B A G a n d t h e C o m m i s s i o n w a s a p p r o v e d b y S A N B A G ' s B o a r d a t i t s J u n e 2 , 2 0 1 0 m e e t i n g . T h i s a p p r o v a l i n c l u d e s a n a l l o c a t i o n o f M e a s u r e I a n d C M A Q f u n d s f o r t h e s e s e r v i c e s . S t a f f i s s e e k i n g C o m m i s s i o n a p p r o v a l t o e n t e r i n t o a n a m e n d m e n t w i t h S A N B A G t o e x t e n d t h e c o n t r a c t t e r m t h r o u g h J u n e 3 0 , 2 0 1 1 , a n d t o i n c r e a s e t h e c o n t r a c t a m o u n t b y $ 1 , 6 0 8 , 3 3 3 f o r a t o t a l n o t t o e x c e e d a m o u n t o f $ 3 , 5 0 8 , 8 3 3 r e i m b u r s e d t o t h e C o m m i s s i o n . T h e C o m m i s s i o n ' s r o l e i n t r a n s p o r t a t i o n d e m a n d m a n a g e m e n t a l s o e x t e n d s b e y o n d t h e b o u n d a r i e s o f t h e I n l a n d E m p i r e . S i n c e 2 0 0 2 , t h e C o m m i s s i o n h a s l e d t h e w a y i n i m p l e m e n t i n g , o p e r a t i n g , a n d m a i n t a i n i n g t h e r e g i o n a l r i d e s h a r e d a t a b a s e ( r e g i o n a l d a t a b a s e ) t o s u p p o r t a c o o r d i n a t e d a n d e f f i c i e n t r i d e m a t c h i n g s e r v i c e t h r o u g h o u t a f i v e c o u n t y r e g i o n . S p e c i f i c a l l y , t h i s e n t a i l s p r o c e s s i n g c o m m u t e r s u r v e y s , d a t a r e t r i e v a l , p r o j e c t r e p o r t i n g , r i d e g u i d e g e n e r a t i o n , n e t w o r k s e c u r i t y , s y s t e m m a i n t e n a n c e a n d o p e r a t i o n . T h e L o s A n g e l e s C o u n t y M e t r o p o l i t a n T r a n s p o r t a t i o n A u t h o r i t y ( M e t r o ) , O C T A , S A N B A G , a n d V C T C h a v e c o n t r a c t e d w i t h t h e C o m m i s s i o n f o r t h e a d m i n i s t r a t i o n o f t h e r e g i o n a l d a t a b a s e f o r t h e p a s t e i g h t y e a r s . F u n d i n g o f t h e r e g i o n a l d a t a b a s e i s s p l i t a m o n g t h e f i v e c o u n t y t r a n s p o r t a t i o n c o m m i s s i o n s ( C T C ) b a s e d o n p o p u l a t i o n p e r c e n t a g e s p l i t . M e t r o ' s a g r e e m e n t f o r r e g i o n a l r i d e m a t c h i n g s e r v i c e s , a p p r o v e d b y t h e C o m m i s s i o n i n J u l y 2 0 0 9 , i s v a l i d t h r o u g h J u n e 3 0 , 2 0 1 1 . O C T A a n d V C T C a r e i n t h e p r o c e s s o f a m e n d i n g a n d s e e k i n g a p p r o v a l o f t h e i r r e s p e c t i v e a g r e e m e n t s w i t h t h e C o m m i s s i o n t o e x t e n d t h e t e r m t h r o u g h F Y 2 0 1 0 / 1 1 . S t a f f i s s e e k i n g C o m m i s s i o n a p p r o v a l t o e n t e r i n t o a g r e e m e n t s w i t h t h e C T C s f o r t h e s e s e r v i c e s i n F Y 2 0 1 0 / 1 1 f o r a n a g g r e g a t e a m o u n t n o t t o e x c e e d $ 3 2 0 , 0 0 0 r e i m b u r s e d t o t h e C o m m i s s i o n . A g e n d a I t e m 8 L " " " 3 0 6 " " F i n a n c i a l I n f o r m a t i o n I n F i s c a l Y e a r B u d g e t : Y e s Y e a r : F Y 2 0 1 0 / 1 1 A m o u n t : $ 1 , 9 2 8 , 4 0 0 S o u r c e o f F u n d s : S A N B A G M e a s u r e I - T M E E a n d C M A Q O C T A a n d V C T C f u n d s B u d g e t A d j u s t m e n t : N o G L A N o . : . 0 0 2 1 1 1 / 0 0 2 1 1 2 / 6 3 2 1 1 3 / 0 0 2 1 2 7 / 0 0 2 1 3 9 / 0 0 2 1 4 6 / 0 0 2 1 7 8 / 0 0 2 1 8 2 / 0 0 2 1 8 6 / 0 0 2 1 8 8 / 0 0 2 1 9 1 / 0 0 2 1 9 3 - 4 1 6 - 4 1 6 0 5 - 0 0 0 0 2 6 3 - 4 1 - 4 1 2 0 3 0 0 2 1 1 1 / 0 0 2 1 1 2 / 6 3 2 1 1 3 / 0 0 2 1 2 7 / 0 0 2 1 3 9 / 0 0 2 1 4 6 / 0 0 2 1 7 8 / 0 0 2 1 8 2 / 0 0 2 1 8 6 / 0 0 2 1 8 8 / 0 0 2 1 9 1 / 0 0 2 1 9 3 - 4 1 4 - 4 1 4 0 3 - 0 0 0 0 2 6 3 - 4 1 - 4 1 4 0 1 4 5 2 1 2 4 - 4 1 6 - 4 1 6 0 5 - 0 0 0 0 2 0 2 - 4 5 - 4 1 2 0 3 4 5 2 1 2 4 - 4 1 4 - 4 1 4 0 3 - 0 0 0 0 2 0 2 - 4 5 - 4 1 4 0 1 F i s c a l P r o c e d u r e s A p p r o v e d : \ 4 1 1 , . . 4 4 , D a t e : 0 6 / 1 5 / 1 0 A t t a c h m e n t s : 1 ) F Y 2 0 1 0 / 1 1 S A N B A G A g r e e m e n t a n d S c o p e o f W o r k 2 ) F Y 2 0 1 0 / 1 1 R e g i o n a l R i d e m a t c h D a t a b a s e S e r v i c e s S c o p e o f W o r k A g e n d a I t e m 8 L 3 0 7 " " " A m e n d m e n t N o . 1 t o C o n t r a c t 0 9 - 1 9 0 ( 1 0 0 0 1 5 2 ) B y a n d B e t w e e n R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N A n d S A N B E R N A R D I N O A S S O C I A T E D G O V E R N M E N T S F o r I m p l e m e n t a t i o n o f S a n B e r n a r d i n o C o u n t y E m p l o y e r a n d C o m m u t e r T r i p R e d u c t i o n / R i d e s h a r e P r o g r a m s T h i s A m e n d m e n t N o . 1 t o C o n t r a c t N o . 0 9 - 1 9 0 ( " C o n t r a c t " ) i s e n t e r e d i n t o a s o f J u n e 2 , 2 0 1 0 b y a n d b e t w e e n S a n B e r n a r d i n o A s s o c i a t e d G o v e r n m e n t s ( " S A N B A G " ) a n d t h e R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n ( " R C T C " ) . R e c i t a l s W H E R E A S , S A N B A G a n d R C T C , h a v e p r e v i o u s l y e n t e r e d i n t o t h e C o n t r a c t , w h e r e i n S A N B A G e n g a g e d R C T C t o i m p l e m e n t a n d m a n a g e t h e b i - c o u n t y I n l a n d E m p i r e E m p l o y e r a n d C o m m u t e r T r i p R e d u c t i o n / R i d e s h a r e P r o g r a m s ; a n d W H E R E A S , S A N B A G a n d R C T C d e s i r e t o a m e n d t h e C o n t r a c t t o m o d i f y t h e S c o p e o f W o r k , a d d a d d i t i o n a l f u n d i n g , a n d e x t e n d t h e t e r m f o r o n e a d d i t i o n a l y e a r . N O W , T H E R E F O R E , t h e p a r t i e s a g r e e t o a m e n d t h e C o n t r a c t i n t h e f o l l o w i n g m a n n e r : 1 . S e c t i o n A . 1 , A . 2 a n d A . 3 , s h a l l b e a m e n d e d b y r e p l a c i n g A t t a c h m e n t " A " w i t h A t t a c h m e n t " B " w h i c h i s a t t a c h e d t o t h i s A m e n d m e n t a n d b y r e f e r e n c e , i n c o r p o r a t e d i n a n d m a d e a p a r t o f t h i s C o n t r a c t . 2 . S e c t i o n B . 1 , C o m p e n s a t i o n , s h a l l b e r e p l a c e d w i t h t h e f o l l o w i n g : 1 1 i s u n d e r s t o o d t h a t S A N B A G f u n d i n g f o r t h e p r o g r a m u n d e r t h i s A g r e e m e n t w i l l n o t e x c e e d t h r e e m i l l i o n f i v e h u n d r e d e i g h t t h o u s a n d , e i g h t h u n d r e d t h i r t y - t h r e e d o l l a r s a n d n o c e n t s ( $ 3 , 5 0 8 , 8 3 3 . 0 0 ) a n d i s b e i n g p r o v i d e d f r o m t h e f o l l o w i n g s o u r c e s : ( a ) T h r e e m i l l i o n , o n e h u n d r e d s i x t h o u s a n d , t h r e e h u n d r e d s i x t y - n i n e d o l l a r s a n d e i g h t y - f i v e c e n t s ( $ 3 , 1 0 6 , 3 6 9 . 8 5 ) f r o m C M A Q f u n d s , a n d C 0 9 1 9 0 0 1 . d o c 3 0 8 (b) Four hundred two thousand, four hundred sixty-three dollars and fifteen cents ($402,463.15) from San Bernardino County local 1/2 cent sales tax, Measure I- Traffic Management Systems (TMS) funds. 3. Section 7.C.1, Term, shall be replaced with the following: This Contract shall commence on July 1, 2009 and terminate on June 30, 2011, unless it is extended by a written amendment approved by the parties. 4. All other portions of Contract 09-190 shall remain in full force and effect. IN WITNESS WHEREOF, the authorized parties have below signed and executed this Amendment to the Contract, and shall be effective on the date set forth above. SAN BERNARDINO ASSOCATED RIVERSIDE COUNTY GOVERNMENTS TRANSPORTATION COMMISSION Paul M. Eaton, President APPROVED AS TO FORM FOR SANBAG ene Basle, BAG Counsel C09190_01.doc Bob Buster, Chairman APPROVED AS TO FORM FOR RCTC Best, Best & Krieger, ROTC Counsel 309 " A t t a c h m e n t " B " S c o p e o f W o r k S a n B e r n a r d i n o E m p l o y e r a n d C o m m u t e r A s s i s t a n c e P r o g r a m s F i s c a l Y e a r 2 0 1 0 - 1 1 I n l a n d E m p i r e R i d e s h a r e S e r v i c e s P r o v i d e a v a r i e t y o f s e r v i c e s t o e m p l o y e r s a n d c o m m u t e r s , w h o p a r t i c i p a t e i n t r i p r e d u c t i o n a c t i v i t i e s . A c t i v i t i e s s h a l l i n c l u d e , b u t n o t b e l i m i t e d t o : R i d e G u i d e / s u r v e y s e r v i c e s , e m p l o y e r t e c h n i c a l a s s i s t a n c e , p r o m o t i o n s , R i d e G u i d e p r o d u c t i o n , c o o r d i n a t i o n / d i s s e m i n a t i o n o f s u r v e y s a n d r e s u l t i n g r e p o r t a n a l y s i s f o r t a r g e t m a r k e t i n g , R i d e s h a r e C o n n e c t i o n b r o a d c a s t a - m a i l s , C o m m u t e S m a r t N e w s , n e t w o r k i n g m e e t i n g s a n d c o o r d i n a t i o n w i t h o t h e r r d e s h a r e a g e n c i e s a n d s e r v i c e p r o v i d e r s . A s s i s t m u l t i - s i t e a n d m u l t i - j u r i s d i c t i o n a l h e a d q u a r t e r s e m p l o y e r s w i t h i n t h e C o u n t y a s w e l l a s r e l a t e d w o r k s i t e s o u t s i d e o f t h e C o u n t y . O v e r s e e a n d m a i n t a i n a r e g i o n a l w e b s i t e ( C o m m u t e S m a r t . i n f o ) , I E 5 1 1 . o r g w e b s i t e , s o c i a l m e d i a p l a t f o r m s , a n d o t h e r r e g i o n a l p r o d u c t s / o u t r e a c h a s a s s i g n e d . R e s p o n d t o i n q u i r i e s g e n e r a t e d f r o m 5 1 1 , 1 - 8 0 0 - C O M M U T E ; 1 - 8 6 6 - R I D E S H A R E , C o m m u t e S m a r t . i n f o , a s w e l l a s d i r e c t r e f e r r a l s . O v e r s e e a n d m a i n t a i n a r e g i o n a l d a t a b a s e o f c o m m u t e r s , w o r k i n g w i t h t h e f i v e c o u n t y t r a n s p o r t a t i o n c o m m i s s i o n ' s ( C T C s ) t h r o u g h o u t t h e r e g i o n . M a r k e t t h e r e g i o n a l G u a r a n t e e d R i d e H o m e P r o g r a m t o e m p l o y e r s i n S a n B e r n a r d i n o C o u n t y . A s s i s t i n t h e C o u n t y ' s l e a s e d P a r k ' N ' R i d e l o t p r o g r a m . O p e r a t e t h e 5 1 1 p r o g r a m t h r o u g h p h o n e a n d w e b s e r v i c e s , p r o v i d i n g e n h a n c e m e n t s , r e s o l v i n g i s s u e s , c o n d u c t i n g m a r k e t i n g a n d p e r i o d i c s u r v e y s . C o n d u c t s p e c i a l p r o j e c t s a n d s t u d i e s , a s a s s i g n e d . R e l a t e d E x p e n s e s ( $ 9 2 5 , 4 8 3 ) : I n c l u d e s l a b o r , o f f i c e e x p e n s e s , m a r k e t i n g m a t e r i a l s , o f f i c e e q u i p m e n t , c o m p u t e r p r o g r a m m i n g , t e l e p h o n e a n d o t h e r d i r e c t e x p e n s e s . G o a l s : 1 . I m p l e m e n t a t i o n o f c o m m u t e r a s s i s t a n c e p r o g r a m s t o a p p r o x i m a t e l y 3 7 0 r e g u l a t e d a n d n o n - r e g u l a t e d e m p l o y e r w o r k s i t e s i n S a n B e r n a r d i n o C o u n t y , t o a s s i s t i n t h e d e v e l o p m e n t a n d i m p l e m e n t a t i o n o f t r i p r e d u c t i o n p r o g r a m s a n d f o r t e c h n i c a l a s s i s t a n c e . 2 . W o r k w i t h 8 2 e m p l o y e r s o n A V R / T r a n s p o r t a t i o n s u r v e y s a n d A V R c a l c u l a t i o n s . 3 . M a i n t a i n a n a c c u r a t e d a t a b a s e o f 5 5 , 0 0 0 a c t i v e S a n B e r n a r d i n o C o u n t y c o m m u t e r r e g i s t r a n t s , r e s u l t i n g f r o m c o m p l e t e d c o m m u t e r s u r v e y s a t 8 2 S a n B e r n a r d i n o C o u n t y e m p l o y e r s . C 0 9 1 9 0 _ O l . d o c 3 1 0 4. Disseminate 16,500 RideGuides to San Bernardino County commuters at 379 worksites. 5. Provide assistance to five multisite/multijurisdictional headquarters located in San Bernardino County representing 18 worksites in San Bernardino, Riverside, as well as Los Angeles and Orange counties. 6. Develop and implement three employer transportation network meetings, one promotional marketing campaign at San Bernardino employer worksites, and other events. 7. Produce and disseminate other regional marketing materials, as standalone campaigns within the Inland Empire or regional campaigns in coordination with the five CTCs. 8. Broadcast 14 Rideshare Connection a -mails to San Bernardino County employers. 9. For the two -county area, respond to 4,000 inquires/calls from commuters who work or reside in San Bernardino or Riverside counties, via 1-866- RIDESHARE, 1-800-COMMUTE, CommuteSmart.info, 511, direct referrals and other internet sources. Of these 4,000 inquiries, 450 RideGuides will be generated. In addition, 500 Inland residents will register in the database via the www.CommuteSmart.info and the www.ie511.org website. 10. Manage and operate the 511 system which will be available to commuters 24 hours a day, 7 days per week, 365 days per year. 11. The 511 phone system will provide assistance to 7,200 callers per month throughout the year. The system will have the capacity to handle 100,000 concurrent callers. 12. The www.ie511.org website will potentially receive 6,400 unique visitors per month . Website will be able to handle 100,000 concurrent users. 13. Continue 511 marketing/outreach. 14. Conduct periodic surveys to deter„Line the 511 program use, effectiveness and customer satisfaction. 15. Provide website and phone enhancements/upgrades as needed. Rideshare Incentive Programs Option Rideshare offers San Bernardino County residents who commute to work, up to $2 a day (in local merchant gift cards) for each day they participate in a rideshare mode, during a three-month period. The Vanpobt Incentive Program provides up to $1,800 over nine months in discounted vanpool fares. Team Ride provides ongoing ridesharers who reside in San Bernardino County a Rideshare Plus Rewards Book, with discount coupons from more than 135,000 merchants throughout the southland. Related Expenses ($682,850): C091 900i.doc • 311 Includes labor, office expenses, marketing materials, office equipment, computer programming, telephone, direct commuter incentives (gift cards/ subsidies) and other direct expenses. Goals: 1. The Option Rideshare program will enlist 1,400 County residents, who commute to work to 145 employers in Southern California. These participants on average have a one-way commute distance of 27.59 miles and the goal is to reduce 132,000 one way vehicle trips from the roadways. 2. Team Ride registrants will consist of 7,825 members by the end of December 2010, when the program is at its highest membership. Members will work at employment sites from 370 employers throughout Southern California. C09190 01.doc 312 ATTACHMENT Draft 3-24-10 Riverside County Transportation Commission REGIONAL RIDEMATCH DATABASE SERVICES FY 10-11 SCOPE OF WORK Manage the regional ridematch database system and parallel school database system on behalf of and in partnership with the County Transportation Commission's (OTC's). Each database will be secured from tampering yet accessible to users needs with timely and accurate software. Monitor and maintain the performance of the hardware and connectivity software of the regional ridematch wide area network, and ridematching website. Maintenance of the ridematching and school software will be coordinated with the software vendor, Trapeze, and their designated product support staff. Monitor system performance to ensure that quality and throughput are optimum and that system integrity is maintained. Task 1: Coordinate software and database maintenance and installation of enhancements. Work with CTC staffs to identify needs or program refinements on an annual basis, including AVR Program refinements as required by the SCAQMD. Work with Trapeze staff to develop programs to satisfy identified needs, and to install and test them. Install periodic updates from vendor. Monitor the system and augment security and data access controls as needed to maintain the confidentiality of information, including an annual test by an outside contractor. Task includes travel expense for four visits per year to each CTC office, if necessary, and annual license maintenance fees. Also includes cost of annual testing for web site security against a hack attack. Products: • Review RidePro error logs on a daily basis, assess error messages to determine next steps, take action with the appropriate entities (i.e., internal action, CTC's or RidePro product support staff) to secure resolution of issues. • Install product updates and enhancements including customized programming authorized by CTC's. Provide testing of new programs and enhancements to ensure that programs are functioning correctly and that any program compatibility issues are resolved. • Maintain annual Wish List of programming needs and coordinate programming, installation and testing with Trapeze staff. • Monitor performance of the servers, routers and switches to ensure system is ' operating at peak performance. • Work with selected contractor to facilitate web testing for security. • Report any system downtime to CTC's. • Up to four visits per year to each CTC location for system maintenance 1 313 Task 2: Maintain the address geo-coding database for translation of street addresses and intersections into geographic references for ridematching, mapping, and other geographic referential products. On a bi-annual basis include a zip code overlay in the update of the digital base maps. Zip code overlay will be purchased and implemented by Trapeze. Products: • Coordinate annual updates of digital base maps with CTC's and Trapeze. • Identify and resolve any discrepancies in digital base maps in response to geocoding anomalies. Task 3: Maintain computer software (i.e., RidePro administrative tracking, CommuteSmart use tracking/reporting) to accurately and concisely track rideshare database activities and services for reporting to CTC's. Product: • Quarterly rideshare database report including website activity. Task 4: Provide technical and help desk support services to CTC staffs. Provide assistance with troubleshooting of problems related to functionality of software and/or wide area network connectivity. Operate a telephone connection for direct contact with the Help Desk. Provide training or instructional materials on new programs and functions within the RidePro and AVR databases to CTC staffs. Products: • Respond daily to on-line and telephone technical inquires and trouble reports. • Assess source of reported problems, determine appropriate actions, and facilitate resolution by appropriate staff. • Prepare and distribute quarterly summary of reported problems and actions taken. • Provide "help" information as needed to all users. • Operate a special Help Desk telephone "hot line" for assistance requests. Task 5: Manage and coordinate the regional rideshare database system in partnership with the CTC's to ensure the effective delivery of ridematching services to employers, TMA's and commuters of the five county region. Products: • Facilitate collective policy decisions relating to operational and procedural ` functionality of the system. • Provide liaison between the OTC's and the SCAQMD for maintenance and required updates to the AVR functions of the databases. • Coordinate with CTC technical staffs regarding hardware specifications and conformity. • Provide liaison between CTC's and Trapeze product support staff. • Monthly Regional Services Report of regional ridematching activity. 2 314 " " " T a s k 6 : A . O p e r a t i n g E q u i p m e n t M a i n t a i n c o m p u t e r s y s t e m h a r d w a r e , c o n s i s t e n t w i t h t h e s p e c i f i c a t i o n s p r o v i d e d b y T r a p e z e S o f t w a r e a n d a g r e e d t o b y t h e C T C ' s , t o a c c o m m o d a t e t h e r e g i o n a l r i d e s h a r e d a t a b a s e , a n d t h e i m p l e m e n t a t i o n a n d o p e r a t i o n o f t h e W i d e A r e a N e t w o r k . R e p a i r o r r e p l a c e h a r d w a r e i t e m s a s n e e d e d . P r o d u c t : " P e r i o d i c h a r d w a r e a n d s o f t w a r e m a i n t e n a n c e o f D a t a b a s e S e r v e r s , S t o r a g e A r e a N e t w o r k , t w o C i t r i x T e r m i n a l S e r v i c e s S e r v e r s f o r r e m o t e a c c e s s , W e b S e r v e r , J o b P r o c e s s S e r v e r , w o r k s t a t i o n f o r n e t w o r k a d m i n i s t r a t i o n , a n d v a r i o u s r o u t e r s a n d s w i t c h e s a s n e e d e d B . N e t w o r k C o n n e c t i v i t y M a i n t a i n t h e c o n f i g u r a t i o n o f T 3 , F r a m e R e l a y , a n d o t h e r b a n d w i d t h c o n n e c t i o n t o e f f i c i e n t l y o p e r a t e t h e W i d e A r e a N e t w o r k . P r o d u c t s : " M o n i t o r a n d t r o u b l e s h o o t o p e r a t i o n o f T 3 L i n e f o r R i d e m a t c h i n g W e b s i t e a c c e s s a n d f o r a c c e s s t o T e r m i n a l S e r v i c e s S e r v e r " M o n i t o r a n d t r o u b l e s h o o t a c c e s s l i n e s t o e n s u r e o p e r a t i o n a l i n t e g r i t y a n d s e c u r i t y . O n - g o i n g a n a l y s i s o f c a p a c i t y i s s u e s a n d r e c o m m e n d a t i o n s f o r a d d i t i o n s o r i m p r o v e m e n t s . 3 3 1 5 AGENDA ITEM 8M • non -emergency calls are either routed through a remote message system (similar to e-mail) to the CHP for its information or are handled by the CAC. The Commission is still required to reimburse the CHP for its proportionate share of the CHP SAFE Coordinator position. The attached agreement is for a three-year term from July 1, 2010 through June 30, 2013, along with a one-year option to extend the agreement. The total amount of the agreement shall not exceed $15,900 with the annual amounts payable to CHP at $3,200, $3,700, and $4,200 per fiscal year. The additional one-year option through June 30, 2014, is at an amount not to exceed $4,800. For the new CHP call box coordinator agreement, $3,200 has been included in the proposed FY 2010/11 SAFE program budget. Financial Information In Fiscal Year Budget: Yes Year: FY 2010/11 FY 2011/12+ Amount: $ 3,200 $12,700 Source of Funds: SAFE DMV Fees Budget Adjustment: No GL/Project Accounting No.: 002174 81016 00000 0000 202 45 81002 Fiscal Procedures Approved: \Ate,taaatem, Date: 06/15/10 Attachment: Draft Agreement No. 10-45-109-00 Agenda Item 8M • 317 " A G R E E M E N T B E T W E E N T H E S T A T E O F C A L I F O R N I A D E P A R T M E N T O F C A L I F O R N I A H I G H W A Y P A T R O L A N D R I V E R S I D E C O U N T Y S E R V I C E A U T H O R I T Y F O R F R E E W A Y E M E R G E N C I E S T H I S A G R E E M E N T i s m a d e a n d e n t e r e d i n t o b y a n d b e t w e e n t h e S t a t e o f C a l i f o r n i a a c t i n g b y a n d t h r o u g h D e p a r t m e n t o f C a l i f o r n i a H i g h w a y P a t r o l , h e r e i n a f t e r c a l l e d C H P , a n d R i v e r s i d e C o u n t y S e r v i c e A u t h o r i t y f o r F r e e w a y E m e r g e n c i e s , h e r e i n a f t e r c a l l e d S A F E , u n d e r p r o v i s i o n s o f C a l i f o r n i a V e h i c l e C o d e S e c t i o n s 2 4 2 1 . 5 a n d 9 2 5 0 . 1 0 , a n d S t r e e t s a n d H i g h w a y C o d e S e c t i o n 1 3 1 . 1 a n d C h a p t e r 1 4 ( c o m m e n c i n g w i t h S e c t i o n 2 5 5 0 ) t o D i v i s i o n 3 . W I T N E S S E T H : B y a n d i n c o n s i d e r a t i o n o f t h e c o v e n a n t s a n d c o n d i t i o n s h e r e i n c o n t a i n e d , C H P a n d S A F E d o h e r e b y a g r e e a s f o l l o w s : 1 . T h e t e r m o f t h i s a g r e e m e n t s h a l l b e J u l y 1 , 2 0 1 0 t h r o u g h J u n e 3 0 , 2 0 1 3 . 2 . T h i s A g r e e m e n t i s f o r s e r v i c e s a n d a s s i s t a n c e p r o v i d e d b y C H P i n a c c o r d a n c e w i t h t h e " C H P / C a l t r a n s C a l l B o x a n d M o t o r i s t A i d G u i d e l i n e s , " a s t h e y m a y b e r e v i s e d f r o m t i m e t o t i m e , a t t a c h e d h e r e t o a s E x h i b i t A , i n c o r p o r a t e d h e r e i n b y r e f e r e n c e , a n d s h a l l b e r e f e r r e d t o a s t h e " G U I D E L I N E S " . 3 . T h i s A g r e e m e n t s h a l l n o t b e c o m e e f f e c t i v e u n t i l ( 1 ) S A F E h a s s u b m i t t e d t o C H P a c o p y o f t h e r e s o l u t i o n , o r d e r , m o t i o n , o r o r d i n a n c e f r o m S A F E a p p r o v i n g e x e c u t i o n o f t h i s a g r e e m e n t a n d i d e n t i f y i n g t h e i n d i v i d u a l a u t h o r i z e d t o s i g n o n b e h a l f o f S A F E , a n d ( 2 ) t h a t t h i s A g r e e m e n t i s d u l y s i g n e d b y b o t h p a r t i e s . 4 . T h a t S A F E s h a l l n o t i f y C H P i n w r i t i n g , n o l a t e r t h a n J a n u a r y 3 1 , 2 0 1 3 , t h a t S A F E w i s h e s t o e x t e n d t h e s e r v i c e s a n d a s s i s t a n c e r e n d e r e d b y C H P p u r s u a n t t o t h i s A g r e e m e n t f o r o n e ( 1 ) a d d i t i o n a l y e a r . I f C H P i s s o n o t i f i e d , t h i s A g r e e m e n t s h a l l b e i n e f f e c t - t h r o u g h J u n e 3 0 , 2 0 1 4 , a n d t h e t o t a l a m o u n t p a y a b l e t o C H P f o r t h i s a d d i t i o n a l y e a r o f s e r v i c e s h a l l n o t e x c e e d $ 4 , 8 0 0 . 0 0 , u n l e s s o t h e r w i s e d e t e r m i n e d b y C H P c o s t a n a l y s i s t o b e ' g r e a t e r . 5 . T h i s A g r e e m e n t m a y b e m o d i f i e d i n w r i t i n g a n d s i g n e d b y b o t h p a r t i e s , a n d s h a l l b e m o d i f i e d b y t h e p a r t i e s t o c o n f o r m t o a n y f u t u r e c h a n g e s t o f e d e r a l o r s t a t e l a w w h i c h a f f e c t t h e t e r m s o f t h i s A g r e e m e n t . 6 . B e c a u s e o f t h e t i m e a n d e x p e n s e e a r l y t e r m i n a t i o n w o u l d e n t a i l t o b o t h p a r t i e s , e i t h e r p a r t y m a y t e r m i n a t e t h i s a g r e e m e n t b e f o r e t h e e x p i r a t i o n o f i t s t e r m , o r a n y e x t e n s i o n , u p o n s i x ( 6 ) m o n t h s p r i o r w r i t t e n n o t i c e t o t h e o t h e r p a r t y . 7 . N o t w i t h s t a n d i n g s u b p a r a g r a p h 6 , C H P o r S A F E m a y t e r m i n a t e t h i s a g r e e m e n t u p o n t h i r t y ( 3 0 ) d a y s p r i o r w r i t t e n n o t i c e t o S A F E s h o u l d S A F E b e f i n a n c i a l l y u n a b l e t o r e i m b u r s e C H P f o r s e r v i c e s u n d e r t h i s A g r e e m e n t . 3 1 8 8. For services and assistance herein, SAFE agrees to reimburse CHP quarterly, in arrears and upon receipt of an itemized invoice, for charges identified in Section 20 Item f. Upon receipt, payment shall be made to CHP as invoiced within sixty (60) days. If payment is not submitted because of a dispute, SAFE shall submit the reasons for the dispute to CHP within sixty (60) days of receiving the invoice charges. a. Payment shall be made to: Department of California Highway Patrol Fiscal Management Section P.O. Box 942900 Sacramento, CA 94298-2900 b. Invoices shall be sent to: Riverside County SAFE P.O. Box 12008 Riverside, CA 92502-2208 9. The maintenance of the call box system (outside of CHP communications center), including telephone service and line costs, shall be the sole responsibility of SAFE. 10. The SAFE may contract with the CHP to perform duties as mutually agreed by the parties. As long as SAFE operates a private Call Answer Center that initially answers motorist aid call box calls, CHP and SAFE agree that no CHP operator positions shall be charged to SAFE during the term of this Agreement. However, if billing is necessary, Annex H of the GUIDELINES shall be used for the billing purposes if a residual workload can be substantiated. 11. The SAFE shall pay for its proportional share of the actual wage rate for one (1/2) CHP SAFE Coordinator position, and SAFE's proportional share of computer equipment costs (including software), when applicable. The SAFE Coordinator position, as well as the reimbursable computer equipment (including software), shall be used for SAFE related business. 12. Each SAFE'S proportional share billing "factor" shall be determined at the beginning of each fiscal year by comparing the number of motor vehicles registered within each SAFE's boundaries to the total number of motor vehicles registered in all counties who have entered into SAFE agreements with CHP: This proportional share shall be billed over four (4) fiscal quarters. The CHP shall include an estimation of SAFE Coordinator's personnel and computer equipment costs in the annual staffing estimation. • • 319 " " 1 3 . C a l l b o x c a l l s s h a l l b e h a n d l e d b y C H P c o m m u n i c a t i o n s c e n t e r s a s t h i r d l e v e l p r i o r i t y a f t e r 9 1 1 ( f i r s t p r i o r i t y ) a n d a l l i e d a g e n c y ( s e c o n d p r i o r i t y ) c a l l s . T h e C H P s t a t e w i d e s t a n d a r d l e v e l o f s e r v i c e f o r t h e h a n d l i n g o f c a l l b o x c a l l s i s a s f o l l o w s : a . C a l l b o x c a l l s s h a l l b e h a n d l e d a s r a p i d l y a s p o s s i b l e , h o w e v e r t h e y s h o u l d b e h a n d l e d i d e a l l y n o l o n g e r t h a n s i x t y ( 6 0 ) s e c o n d s a f t e r t h e f i r s t r i n g a t t h e c o m m u n i c a t i o n s c e n t e r . E x p e r i e n c e h a s s h o w n t h a t w h e n e m e r g e n c y c o m m u n i c a t i o n s t r a f f i c b e c o m e s u n u s u a l l y h e a v y , c a l l b o x t r a f f i c a l s o i n c r e a s e s . A t t h e s e t i m e s , m o t o r i s t s m a y b e r e q u i r e d t o w a i t s e v e r a l m i n u t e s f o r s e r v i c e . b . C a l l b o x c a l l s s h o u l d b e h a n d l e d i d e a l l y w i t h i n a 3 . 5 m i n u t e ( 2 1 0 s e c o n d s ) t o t a l c a l l h a n d l i n g t i m e . H o w e v e r , i t i s u n d e r s t o o d t h a t t h e u s e o f s u c h s e r v i c e s , a s t h e T r a n s l a t i o n S e r v i c e C o n t r a c t o r , s h a l l i n c r e a s e t o t a l c a l l h a n d l i n g t i m e t o l e v e l s a b o v e t h i s s t a n d a r d . 1 4 . T h e C H P s h a l l b e r e s p o n s i b l e f o r t h e p r o c u r e m e n t , i n s t a l l a t i o n , a n d m a i n t e n a n c e o f a l l c o m m u n i c a t i o n s c e n t e r e q u i p m e n t r e l a t e d t o t h e c a l l b o x / m o t o r i s t a i d s y s t e m . A l l s y s t e m s p r o c u r e d f o r C H P d i s p a t c h o p e r a t i o n s h a l l b e d e s i g n e d b y C H P . N o e q u i p m e n t s h a l l b e i n s t a l l e d i n a C H P f a c i l i t y w h i c h d o e s n o t m e e t a l l C H P o p e r a t i o n a l a n d t e c h n i c a l s p e c i f i c a t i o n s . 1 5 . A l l c o m m u n i c a t i o n s c e n t e r e q u i p m e n t p u r c h a s e d u n d e r t h i s a g r e e m e n t s h a l l b e c o m e t h e s o l e p r o p e r t y o f C H P . 1 6 . I f C H P c e a s e s t o p r o v i d e f r e e w a y c a l l b o x d i s p a t c h i n g s e r v i c e s , C H P s h a l l p a y t o S A F E t h a t p r o p o r t i o n o f t h e f a i r m a r k e t v a l u e o f a l l e q u i p m e n t p u r c h a s e d f o r C H P i n w h o l e o r p a r t w i t h S A F E f u n d i n g . T h e c u r r e n t f a i r m a r k e t v a l u e s h a l l b e d e t e r m i n e d b y T e l e c o m m u n i c a t i o n s D i v i s i o n , D e p a r t m e n t o f G e n e r a l S e r v i c e s , a t t h e t i m e o f c e s s a t i o n o f s e r v i c e . 1 7 . T h e C H P s h a l l r e v i e w S A F E ' S p l a n s a n d s p e c i f i c a t i o n s f o r u p g r a d i n g o r m o d i f y i n g S A F E ' S c a l l b o x s y s t e m , a n d p r o v i d e w r i t t e n c o m m e n t s w i t h i n s i x t y ( 6 0 ) d a y s o f s u b m i t t a l b y S A F E . I f t h e s i x t y ( 6 0 ) d a y t i m e f r a m e c a n n o t b e m e t , C H P s h a l l n o t i f y S A F E , i n w r i t i n g , s p e c i f y i n g t h e r e a s o n s a n d i n d i c a t i n g t h e a d d i t i o n a l t i m e r e q u i r e d . I t i s u n d e r s t o o d t h a t a l l u p g r a d e s o r m o d i f i c a t i o n s t o S A F E ' S s y s t e m s h a l l b e i n a c c o r d a n c e w i t h t h e G U I D E L I N E S . 1 8 . T h e C H P s h a l l s u b m i t a n i t e m i z e d i n v o i c e q u a r t e r l y t o S A F E w h i c h m a y i n c l u d e t h e f o l l o w i n g o n g o i n g c h a r g e s : a . T h e S A F E C o o r d i n a t o r p e r s o n n e l c o s t s s h a l l b e b a s e d o n t h e a c t u a l s t e p o f t h e w a g e s c a l e f o r S A F E C o o r d i n a t o r p o s i t i o n a t t h e t i m e o f i n v o i c i n g . T h e s e c o s t s a r e s u b j e c t t o c h a n g e a c c o r d i n g t o i n c r e a s e s a n d / o r d e c r e a s e s i n S t a t e o f C a l i f o r n i a s a l a r y a n d b e n e f i t r a t e s , w h i c h a r e b e y o n d C H P c o n t r o l . 3 2 0 b. Indirect Costs shall be applied to monthly personnel costs in accordance with California State Administrative Manual Section 8752 and 8752.1. The indirect cost rate is determined by CHP and approved by the California Department of Finance and is subject to change each state fiscal year. The re-evaluation of staffing requirements shall include an explanation of the projected upcoming fiscal year indirect cost rate. c. Computer equipment costs (including software), when applicable, associated with CHP SAFE Coordinator position. Telephone system costs (if applicable) d. The state shall provide a standard communication center telephone system which shall also be used to handle incoming call box calls. Any agreed upon changes above the standard phone system design, specifically requested by SAFE Program shall be funded by SAFE. e. The total amount of this agreement shall not exceed Fifteen Thousand Nine Hundred Dollars and no cents ($15,900.00) FY 10/11(7/1/10 through 6/30/11), not to exceed $3,200.00 FY 11/12 (7/1/11 through 6/30/12), not to exceed $3,700.00 FY 12/13 (7/1/12 through 6/30/13), not to exceed $4,200.00 19. The CHP agrees to indemnify, defend and save harmless SAFE, its elected officials, officers, employees, agents, and volunteers from any and all claims, losses, demands, causes of action, liabilities, obligations, judgments, or damages, including but not limited to property damage, bodily injury or death, or any other element of damage of any kind or nature, accruing or resulting to any and all contractors, suppliers, laborers, and any other person, firm or corporation furnishing or supplying work services, materials, or supplies in connection with the performance of this agreement, and from any and all claims, losses, demands, causes of action, liabilities, obligations, judgments, or damages, including but not limited to property damage, bodily injury or death, or any other element of damage of any kind or nature, accruing or resulting to any person, firm or corporation who may be injured or damaged by any negligent act or omission by CHP in the performance of this agreement. Indemnification by CHP includes, without limitation, the payment of all penalties, fines, judgments, awards, decrees, attorneys', fees,, and related costs or expenses, and the reimbursement of SAFE, its elected officials, officers, employees, agents, and/or volunteers for all legal expenses and costs incurred by each of them. The CHP's obligation to indemnify shall not be restricted to insurance proceeds, if any, received by SAFE, its elected officials, officers, employees, agents, or volunteers. The SAFE agrees to indemnify, defend and save harmless CHP, its elected officials, officers, employees, agents, and volunteers from any and all claims, losses, demands, causes of action, liabilities, obligations, judgments, or damages, including but not limited • • 321 " t o p r o p e r t y d a m a g e , b o d i l y i n j u r y o r d e a t h , o r a n y o t h e r e l e m e n t o f d a m a g e o f a n y k i n d o r n a t u r e , a c c r u i n g o r r e s u l t i n g t o a n y a n d a l l c o n t r a c t o r s , s u p p l i e r s , l a b o r e r s , a n d a n y o t h e r p e r s o n , f i r m o r c o r p o r a t i o n f u r n i s h i n g o r s u p p l y i n g w o r k s e r v i c e s , m a t e r i a l s , o r s u p p l i e s i n c o n n e c t i o n w i t h t h e p e r f o r m a n c e o f t h i s a g r e e m e n t , a n d f r o m a n y a n d a l l c l a i m s , l o s s e s , d e m a n d s , c a u s e s o f a c t i o n , l i a b i l i t i e s , o b l i g a t i o n s , j u d g m e n t s , o r d a m a g e s , i n c l u d i n g b u t n o t l i m i t e d t o p r o p e r t y d a m a g e , b o d i l y i n j u r y o r d e a t h , o r a n y o t h e r e l e m e n t o f d a m a g e o f a n y k i n d o r n a t u r e , a c c r u i n g o r r e s u l t i n g t o a n y p e r s o n , f i r m o r c o r p o r a t i o n w h o m a y b e i n j u r e d o r d a m a g e d b y a n y n e g l i g e n t a c t o r o m i s s i o n b y S A F E i n t h e p e r f o r m a n c e o f t h i s a g r e e m e n t . I n d e m n i f i c a t i o n b y S A F E i n c l u d e s , w i t h o u t l i m i t a t i o n , t h e p a y m e n t o f a l l p e n a l t i e s , f i n e s , j u d g m e n t s , a w a r d s , d e c r e e s , a t t o r n e y s ' f e e s , a n d r e l a t e d c o s t s o r e x p e n s e s , a n d t h e r e i m b u r s e m e n t o f C H P , i t s e l e c t e d o f f i c i a l s , o f f i c e r s , e m p l o y e e s , a g e n t s , a n d / o r v o l u n t e e r s f o r a l l l e g a l e x p e n s e s a n d c o s t s i n c u r r e d b y e a c h o f t h e m . T h e S A F E ' s o b l i g a t i o n t o i n d e m n i f y s h a l l b e r e s t r i c t e d t o i n s u r a n c e p r o c e e d s , i f a n y , r e c e i v e d b y C H P , i t s e l e c t e d o f f i c i a l s , o f f i c e r s , e m p l o y e e s , a g e n t s , o r v o l u n t e e r s . 2 0 . E x c e p t a s o t h e r w i s e p r o v i d e d i n t h i s a g r e e m e n t , a n y d i s p u t e c o n c e r n i n g a q u e s t i o n o f f a c t a r i s i n g u n d e r t h i s a g r e e m e n t w h i c h i s n o t d i s p o s e d o f b y m u t u a l a g r e e m e n t o f t h e p a r t i e s m a y b e s u b m i t t e d t o a n i n d e p e n d e n t a r b i t r a t o r m u t u a l l y a g r e e d u p o n b y C H P a n d S A F E . T h e a r b i t r a t o r ' s d e c i s i o n s s h a l l b e n o n - b i n d i n g a n d a d v i s o r y o n l y , a n d n o t h i n g h e r e i n s h a l l p r e c l u d e e i t h e r p a r t y , a t a n y t i m e , f r o m p u r s u i n g a n y o t h e r l e g a l l y a v a i l a b l e c o u r s e o f a c t i o n , i n c l u d i n g t h e f i l i n g o f a l a w s u i t . P e n d i n g a f i n a l d e c i s i o n o f a d i s p u t e h e r e u n d e r , b o t h p a r t i e s s h a l l p r o c e e d d i l i g e n t l y w i t h t h e p e r f o r m a n c e o f t h e i r d u t i e s u n d e r t h i s a g r e e m e n t , a n d s u c h c o n t i n u e d p e r f o r m a n c e s h a l l n o t c o n s t i t u t e a w a i v e r o f a n y r i g h t s , l e g a l o r e q u i t a b l e , o f e i t h e r p a r t y r e l a t i n g t o t h e d i s p u t e . 2 1 . A l l s e r v i c e s u n d e r t h i s A g r e e m e n t s h a l l b e c o o r d i n a t e d b y : C o m m u n i c a t i o n s C e n t e r s S u p p o r t S e c t i o n 6 0 1 N . 7 t h S t r e e t , B l d g . C S a c r a m e n t o , C A 9 5 8 1 1 ( 9 1 6 ) 8 4 3 - 4 2 8 0 T h e c o n t a c t p e r s o n s h a l l b e C H P S A F E C o o r d i n a t o r . S A F E a g r e e s t h a t t h e D e p a r t m e n t o f G e n e r a l S e r v i c e s , t h e B u r e a u o f S t a t e A u d i t s , o r t h e i r d e s i g n a t e d r e p r e s e n t a t i v e s h a l l h a v e t h e r i g h t t o r e v i e w a n d t o c o p y a n y r e c o r d s a n d s u p p o r t i n g d o c u m e n t a t i o n p e r t a i n i n g t o t h e p e r f o r m a n c e o f t h i s A g r e e m e n t . S A F E , a g r e e s t o m a i n t a i n s u c h r e c o r d s f o r p o s s i b l e a u d i t f o r a m i n i m u m o f t h r e e ( 3 ) y e a r s a f t e r f i n a l p a y m e n t , u n l e s s a l o n g e r p e r i o d o f r e c o r d s r e t e n t i o n i s s t i p u l a t e d . S A F E a g r e e s t o a l l o w t h e a u d i t o r ( s ) a c c e s s t o s u c h r e c o r d s d u r i n g n o r m a l b u s i n e s s h o u r s a n d t o a l l o w i n t e r v i e w s o f a n y e m p l o y e e s w h o m i g h t r e a s o n a b l y h a v e i n f o r m a t i o n r e l a t e d t o s u c h r e c o r d s . F u r t h e r , S A F E a g r e e s t o i n c l u d e a s i m i l a r r i g h t o f t h e S t a t e t o a u d i t r e c o r d s a n d i n t e r v i e w s t a f f i n a n y s u b c o n t r a c t r e l a t e d t o p e r f o r m a n c e o f t h i s 3 2 2 agreement. (Gov. Code §8546.7, Pub. Contract Code §10115 et seq., CCR Title 2, Section 1896). 22. This agreement, and any attachments or documents incorporated herein by -inclusion or reference, constitutes the complete and entire agreement between CHP and SAFE and supersede supersedes any prior representations, understandings, communications, commitments, agreements or proposals, oral or written. 23. Under no circumstances shall SAFE or its subcontractor(s) use the name California Highway Patrol or CHP to promote a product which is part of the call box system without the written consent of CHP. STATE OF CALIFORNIA RIVERSIDE COUNTY Department of California Highway Patrol Service Authority for Freeway Emergencies J. T. Uyeda Bob Buster, Chair Administrative Services Division Date Date Department of California Highway Patrol Business Services Section Contract Services Unit P.O. Box 942898 Sacramento, CA 94198-0001 Legal Counsel, Riverside County SAFE Date Riverside County SAFE P.O. Box 12008 Riverside, CA 92502-2208 323 " A G E N D A I T E M 8 N " RIVERSIDE COUNTY TRANSPORTATION COMMISSION DATE: July 14, 2010 TO: Riverside County Transportation Commission FROM: Budget and Implementation Committee Aaron Hake, Government Relations Manager THROUGH: Anne Mayer, Executive Director SUBJECT: Transportation Investment Generating Economic Recovery Transportation Infrastructure Finance and Innovation Act Program II BUDGET AND IMPLEMENTATION COMMITTEE AND STAFF RECOMMENDATION: This item is for the Commission to: 1) Authorize staff to apply for Transportation Investment Generating Economic Recovery II (TIGER II) Transportation Infrastructure Finance and Innovation Act (TIFIA) program for the State Route 91 Corridor Improvement Project (SR-91 CIP); and 2) Authorize staff to support regionally significant projects nominated for TIGER II by members of the Southern California Consensus Group (SCCG), as appropriate. BACKGROUND INFORMATION: Congress included $600 million in the Consolidated Appropriations Act, 2010 for national infrastructure investments. These funds are to be distributed on a competitive basis by the U.S. Department of Transportation (USDOT), with no more than 25% of the funds going to any one state. This discretionary grant program has been dubbed TIGER II by USDOT, taking the namesake of the original TIGER program, which was created by the American Recovery and Reinvestment Act (ARRA). However, TIGER II funds are not ARRA funds and thus do not have the same stringent time requirements that TIGER funds did. Eligibility for the program is very broad. Considering that over $32 billion in applications were submitted for TIGER, when only $1.5 billion was available; the comOetition for TIGER II is expected to be extraordinary. Law gives USDOT the authority to use up to $150 million of TIGER II funds for subsidies for the TIFIA program. TIFIA is a federal credit assistance program for projects of national and regional significance. Typically this program provides loans with favorable terms to project sponsors for infrastructure projects that have funding gaps and can provide a revenue stream to repay the loan. Generally, one Agenda Item 8N 324 dollar of TIFIA subsidy from the federal government can leverage ten dollars of TIFIA loans. TIFIA assistance also sends positive signals to the investment market for the non-TIFIA portion of a project's financing package; federal backing is looked upon favorably. Aside from TIGER II, approximately $110 million per year is available for TIFIA subsidies. The SR-91 CIP will require approximately $410 million in TIFIA assistance to complete the financing package of this $1.3 billion project. Given that Commission staff will have to prepare a TIFIA application for SR-91 CIP within the next year to meet the project's schedule, staff is recommending an expedited process that would enable the Commission to also compete for the $150 million available for TIGER II TIFIA. Despite the extremely small size of TIGER II, the Commission's consultant team and staff are confident that the SR-91 CIP is of a magnitude that would make it competitive under the criteria designated by USDOT. Primary criteria are as follows: • Long-term outcomes; • Economic competitiveness; • State of good repair; • Livability; • Sustainability; • Safety; and • Jobs and economic stimulus. Secondary criteria are innovation and partnership. TIGER II TIFIA presents an opportunity with its cornerstone project from the 1 Delivery plan, but it is also a strategic process of gaining entry into the regular for the Commission to compete nationally 0-Year Western Riverside County Highway opportunity to get a jump on the rigorous TIFIA program. Commission staff and consultants will execute a proactive legislative effort to raise awareness of the SR-91 CIP TIFIA application and seek political support; this will back-up a technically sound and merit -based application. Commission staff will also seek support from neighboring transportation agencies that are impacted by the SR-91 CIP. Unlike many other projects that will be competing from California, SR-91 CIP will be seeking to leverage local funds measuring into the billions, rather than seeking pure grant funding. Additionally, staff seeks Commission direction to lend support to regionally significant projects nominated by members of the SCCG including Trade Corridor Improvement Fund (TCIF) projects. While our regional partners are still vetting potential applications for TIGER II, it is possible that a few nominated projects will positively benefit Riverside County. It will also be in the county's best interest to Agenda Item 8N 325 • • • " " " l i m i t a p p l i c a t i o n s f o r T I G E R I I f u n d i n g g i v e n t h e p r o g r a m ' s l i m i t e d f u n d i n g a m o u n t . G i v e n C o m m i s s i o n a p p r o v a l , s t a f f w i l l i s s u e t h e a t t a c h e d l e t t e r t o l o c a l j u r i s d i c t i o n s . A t t a c h m e n t : D r a f t L e t t e r t o L o c a l J u r i s d i c t i o n s - D a t e d J u l y 2 2 , 2 0 1 0 A g e n d a I t e m 8 N 3 2 6 i July 22, 2010 [Name] City Manager City of [Address] [City], CA 9XXXX Subject: Discretionary TIGER II Program Dear City Manager and Mayor: As you may know, the fiscal year 2010 Federal Appropriations Act contains $600 million for national infrastructure investments, otherwise known as the Transportation Investment Generating Economic Recovery II program or TIGER II. No more than $150 million can go to any one state. The program sets aside $35 million for planning grants and $150 million for Transportation Infrastructure Finance and Innovation Act (TIFIA) loans. As with the first TIGER program, the focus of TIGER II is long-term national investments. Riverside County Transportation Commission (Commission) is sympathetic to the funding gap that all cities in Riverside 11,3unty are experiencing on many important infrastructure projects. The unfortunate reality is that only a few major rojects in California will compete well in TIGER II. In fact, California is not guaranteed to receive any funding from TIGER II. California received only four projects in TIGER, a program more than double the size of TIGER II. Despite our eagerness to compete for every available dollar, our region must think and act strategically in regard to nationally competitive programs. Over $32 billion in applications were submitted nationally. The Commission believes our region must be strategic and unify behind the most competitive project. Multiple applications from Riverside County may diminish the competiveness of all projects. The Commission is applying for a TIFIA loan from TIGER II for the SR-91 Corridor Improvement Project. This $1.3 billion project is the largest project the Commission has ever undertaken and will be among the largest construction jobs in the nation when it begins in 2012. The TIFIA loan we are seeking will leverage 10 private dollars for every one dollar invested by the federal government. The Commission strongly believes this is the most nationally competitive project in Riverside County for TIGER II. However, we remain realistic about our own odds of being one of the chosen few for this program. On behalf of the Commission, I respectfully request your support for the SR-91 TIGER TIFIA II application and a strategic, unified approach for this extraordinarily competitive national program. Please contact me at (951) 787-7141 if you have any questions regarding TIGER II. Sincerely, 41/nne Mayer Executive Director 327 AGENDA ITEM 80 " " " R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N D A T E : J u l y 1 4 , 2 0 1 0 T O : R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n F R O M : B u d g e t a n d I m p l e m e n t a t i o n C o m m i t t e e A a r o n H a k e , G o v e r n m e n t R e l a t i o n s M a n a g e r T H R O U G H : A n n e M a y e r , E x e c u t i v e D i r e c t o r S U B J E C T : S t a t e a n d F e d e r a l L e g i s l a t i v e U p d a t e B U D G E T A N D I M P L E M E N T A T I O N C O M M I T T E E A N D S T A F F R E C O M M E N D A T I O N : T h i s i t e m i s f o r t h e C o m m i s s i o n t o : 1 ) R e c e i v e a n d f i l e a n u p d a t e o n s t a t e a n d f e d e r a l L e g i s l a t i o n ; 2 ) A p p r o v e t h e f o l l o w i n g b i l l p o s i t i o n s : a ) A B 1 9 5 5 ( D e L a T o r r e ) - O P P O S E ; b ) H . R . 8 9 1 ( M c G o v e r n ) - S U P P O R T ; a n d c ) S . 3 2 2 ( S c h u m e r ) - S U P P O R T . B A C K G R O U N D I N F O R M A T I O N : S t a t e U p d a t e T o t h e s u r p r i s e o f n o o n e , t h e L e g i s l a t u r e h a s m i s s e d t h e c o n s t i t u t i o n a l d e a d l i n e f o r p a s s i n g a b u d g e t . T h e B u d g e t C o n f e r e n c e C o m m i t t e e h a s b e e n m e e t i n g r e g u l a r l y t o f i n d s a v i n g s a n d w o r k t h r o u g h h u n d r e d s o f r e c o m m e n d a t i o n s . N o m a j o r f u n d i n g m a n e u v e r s f o r t r a n s p o r t a t i o n a r e b e i n g c o n t e m p l a t e d a f t e r t h i s y e a r ' s t a x s w a p . H o w e v e r , C o m m i s s i o n s t a f f , i n c o n c e r t w i t h t h e S e l f - H e l p C o u n t i e s C o a l i t i o n , h a s b e e n w o r k i n g t o f i g h t a p r o p o s a l b y t h e D e p a r t m e n t o f F i n a n c e ( D O F ) a n d t h e L e g i s l a t i v e A n a l y s t O f f i c e ( L A O ) t o s h i f t t h e c o s t s o f p l a n n i n g i n i t i a t i o n d o c u m e n t s ( P I D ) f o r t r a n s p o r t a t i o n p r o j e c t s f r o m C a ! t r a n s t o l o c a l a g e n c i e s . T h e C o m m i s s i o n h a s h i s t o r i c a l l y o p p o s e d a l l a t t e m p t s b y t h e s t a t e t o s h i f t c o s t b u r d e n s t o t h e l o c a l l e v e l w i t h o u t c o m p e n s a t i o n . A t t h e t i m e t h i s r e p o r t w a s w r i t t e n , i t a p p e a r e d t h a t D O F a n d t h e L A O a g r e e d t o t a b l e t h e p r o p o s a l i n l i e u o f a s t u d y t o d e t e r m i n e t h e b e s t w a y t o m a n a g e t h e s t a t e ' s P I D w o r k l o a d f o r f u t u r e y e a r s . A s i d e f r o m m o n i t o r i n g t h e b u d g e t , t h e C o m m i s s i o n c o n t i n u e s t o w o r k w i t h l o c a l l e g i s l a t o r s a n d l e a d e r s h i p i n b o t h c h a m b e r s o n d e s i g n - b u i l d l e g i s l a t i o n f o r t h e S t a t e R o u t e 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t . A g e n d a I t e m 8 0 3 2 8 AB 1955 (De La Torre): Incompatible Offices - Staff Recommended Position: OPPOSE Current state law defines the holding of incompatible public offices and prescribes that an individual holding an incompatible office shall be removed from the first public office they hold upon assuming the second office. The intent of the law is to protect taxpayers and prevent public officials from simultaneously occupying offices that create an inherent conflict of interest. Offices are deemed incompatible in three circumstances: • Either of the offices may audit, overrule, remove members of, dismiss employees of, or exercise supervisory powers over the other office or body; • Based on the powers and jurisdiction of the offices, there is a possibility of a significant clash of duties or loyalties between the offices; or • Public policy considerations make it improper for one person to hold both offices. Existing law makes an exception when the holding of two offices is, "compelled or expressly authorized by state law." For example, Public Utilities Code Section 130053 expressly states that the Riverside County Transportation Commission shall consist of five members of the Board of Supervisors and one mayor or council member from each incorporated city within the county. Thus, a council member sitting on his/her own city council and the Commission is not deemed to be holding incompatible offices. AB 1955 (De La Torre) is a bill sponsored by the Los Angeles County District Attorney, who is prosecuting one of the first cases under the state's incompatible office law. The bill would add three additional circumstances that would create incompatible offices: • Both public entities in which the offices exist have the power of eminent domain in an area in which the geographic jurisdictions of each office or body overlap; • Either public entity in which an office exists has the power to set a fee or a rate or to impose a tax or a levy that may directly or indirectly affect the other office or body; or • Either public entity in which an office exists has the authority to investigate, monitor, or sue the other office or body. The Commission and all of the cities and the county whose membership comprise the Commission have the power of eminent domain in an overlapping geographic boundary. The Commission and each of its member jurisdictions also have the authority to sue each other. Although the protection remains for holding two offices expressly compelled by law, staff is concerned that the addition of these • • • Agenda Item 80 329 " t h r e e c i r c u m s t a n c e s c r e a t e s a m b i g u i t y i n t h e l a w t h a t c o u l d e x p o s e a l l m e m b e r s o f t h e C o m m i s s i o n t o l e g a l v u l n e r a b i l i t y . C o m m i s s i o n e r s ' s e r v i c e o n t h e C o m m i s s i o n a n d t h e i r c i t y c o u n c i l s o r t h e B o a r d o f S u p e r v i s o r s i s n o t a c o n f l i c t o f i n t e r e s t , b u t i n f a c t a n e x p r e s s l y l e g a l a n d w i d e l y a c c e p t e d p r a c t i c e t o e n s u r e t h a t a l l c o m m u n i t i e s t h r o u g h o u t R i v e r s i d e C o u n t y a r e r e p r e s e n t e d o n i n f r a s t r u c t u r e i s s u e s . F u r t h e r m o r e , A B 1 9 5 5 a d d s a n e x p r e s s e x e m p t i o n f r o m t h e n e w p r o v i s i o n s o f t h e b i l l f o r r e d e v e l o p m e n t a u t h o r i t i e s . T h e b i l l s t a t e s t h a t c i t y c o u n c i l s a n d B o a r d s o f S u p e r v i s o r s t h a t d e c l a r e t h e m s e l v e s t o b e r e d e v e l o p m e n t a u t h o r i t i e s s h a l l n o t b e d e e m e d t o h o l d a n i n c o m p a t i b l e o f f i c e . A l t h o u g h t h i s i s a l o g i c a l d e c l a r a t i o n , b y c r e a t i n g a n e x p l i c i t c a r v e - o u t f o r o n e t y p e o f a g e n c y w i t h o u t m e n t i o n i n g t h e m a n y o t h e r t y p e s o f p u b l i c a g e n c i e s t h a t s h o u l d n o t b e s u b j e c t t o t h e p r o v i s i o n s o f t h i s b i l l s u c h a s t r a n s i t b o a r d s , t r a n s p o r t a t i o n c o m m i s s i o n s , a i r q u a l i t y m a n a g e m e n t d i s t r i c t s , a n d c o u n c i l s o f g o v e r n m e n t s , o n e c o u l d q u e s t i o n w h e t h e r t h e l e g i s l a t i v e i n t e n t w a s t o o n l y e x e m p t r e d e v e l o p m e n t a u t h o r i t i e s a n d n o t t h e s e o t h e r a g e n c i e s . A B 1 9 5 5 i s o p p o s e d b y t h e L e a g u e o f C a l i f o r n i a C i t i e s , t h e C a l i f o r n i a S t a t e A s s o c i a t i o n o f C o u n t i e s , s e v e r a l w a t e r d i s t r i c t s , a n d t h e S o u t h C o a s t A i r Q u a l i t y M a n a g e m e n t D i s t r i c t . C o m m i s s i o n s t a f f i s a w a r e o f s e v e r a l o t h e r t r a n s p o r t a t i o n c o m m i s s i o n s t h a t a r e p r e p a r i n g t o r e g i s t e r o f f i c i a l o p p o s i t i o n t o t h e b i l l a s w e l l . W h i l e s t a f f i s c o n f i d e n t t h a t t h e a u t h o r d o e s n o t i n t e n d t o c r e a t e a d d i t i o n a l l e g a l r i s k f o r e n t i t i e s s u c h a s t h e C o m m i s s i o n , u n t i l s u c h t i m e t h a t t h e b i l l i s a m e n d e d t o r e m o v e t h e l e g a l a m b i g u i t y c u r r e n t l y w r i t t e n i n t h e b i l l , s t a f f r e c o m m e n d s a n o p p o s e p o s i t i o n o n A B 1 9 5 5 ( D e L a T o r r e ) . T a k i n g s u c h a p o s i t i o n w i l l n o t c o m p r o m i s e t h e C o m m i s s i o n ' s c o m m i t m e n t t o m a i n t a i n i n g t h e p u b l i c ' s t r u s t a n d t h e h i g h e s t s t a n d a r d o f p r o f e s s i o n a l e t h i c s . F e d e r a l U p d a t e M a j o r t r a n s p o r t a t i o n n e w s h a s b e e n s l o w l y e m e r g i n g f r o m W a s h i n g t o n , D . C . , i n r e c e n t w e e k s . N e a r - t e r m p r o s p e c t s f o r a l o n g - t e r m a u t h o r i z a t i o n b i l l c o n t i n u e t o d i m . T h e o i l s p i l l i n t h e G u l f o f M e x i c o w i l l l i k e l y s p u r C o n g r e s s t o a c t o n e n e r g y l e g i s l a t i o n , w h i c h m a y o r m a y n o t r o p e i n c l i m a t e c h a n g e p r o v i s i o n s . A n e n e r g y b i l l m a y h a v e i m p l i c a t i o n s f o r t h e t r a n s p o r t a t i o n s e c t o r . I f n e w r e v e n u e i s r a i s e d f r o m a n y t y p e o f f e e s o n o i l o r g a s p r o d u c t i o n o r c o n s u m p t i o n , i t w i l l b e i m p o r t a n t f o r t h e t r a n s p o r t a t i o n i n d u s t r y t o l o b b y h a r d t o e n s u r e t h a t s u c h r e v e n u e s a r e d e v o t e d t o t r a n s p o r t a t i o n p u r p o s e s , g i v e n t r a n s p o r t a t i o n ' s n e x u s t o c o n s u m p t i o n o f t h o s e p r o d u c t s . A l s o , t r a n s i t i n t e r e s t s w i l l n e e d t o r e m a i n v i g i l a n t t h a t a n y p l a n s t o r e d u c e e n e r g y c o n s u m p t i o n v i a p u b l i c t r a n s p o r t a t i o n c o m e w i t h c o m m e n s u r a t e f u n d i n g f o r o p e r a t i o n s a s w e l l a s c a p i t a l . A g e n d a I t e m 8 0 3 3 0 H.R. 891 (McGovern) and S. 322 (Schumer): Commuter Benefits Equity Act of 2009 The American Recovery and Reinvestment Act (ARRA) created temporary parity between the pre-tax benefits employers can provide for parking and for transit passes. Previously, employers could provide up to $175 per month to each employee in tax-free parking subsidies, but only $100 per month for transit passes. As an incentive to encourage the use of transit, ARRA raised the allowable transit and parking subsidy to $230 per month through December 31, 2010. The companion bills H.R. 891 and S. 322 would make permanent this equity between parking and transit subsidies from employers, and tie the subsidy limit to inflation. Neither bill has received a hearing; it may be possible that these provisions are worked into a tax extenders package that Congress may pass soon. The Commission has supported the previous versions of this legislation that have been introduced in prior sessions of Congress. The bill has been supported by many transit operators throughout the country and the Commission's support is being requested by the Riverside Transit Agency. Commission staff recommends support for both companion bills. • • Agenda Item 80 331 " A G E N D A I T E M 9 " " " " " R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N D A T E : J u l y 1 4 , 2 0 1 0 T O : R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n F R O M : J o h n S t a n d i f o r d , D e p u t y E x e c u t i v e D i r e c t o r T H R O U G H : A n n e M a y e r , E x e c u t i v e D i r e c t o r S U B J E C T : M e a s u r e A B o n d D e b t L i m i t I n c r e a s e S T A F F R E C O M M E N D A T I O N : T h i s i t e m i s f o r t h e C o m m i s s i o n t o : 1 ) A d o p t O r d i n a n c e N o . 1 0 - 0 0 2 , " A n O r d i n a n c e o f t h e R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n R e q u e s t i n g t h e C o u n t y o f R i v e r s i d e t o C o n d u c t a S p e c i a l E l e c t i o n o n N o v e m b e r 2 , 2 0 1 0 , f o r t h e P u r p o s e o f S u b m i t t i n g t o t h e E l e c t o r s o f R i v e r s i d e C o u n t y a M e a s u r e W h i c h W o u l d M o d i f y t h e C o m m i s s i o n ' s A u t h o r i z a t i o n L i m i t t o I s s u e L i m i t e d T a x B o n d s a n d , i f A p p r o v e d , W o u l d A u t h o r i z e S u c h I n c r e a s e " t o r e q u e s t a m e a s u r e o n t h e N o v e m b e r 2 0 1 0 b a l l o t t o i n c r e a s e t h e e x i s t i n g M e a s u r e A b o n d l i m i t ; a n d 2 ) C o m m u n i c a t e t h e a p p r o v a l o f t h e o r d i n a n c e t o t h e R i v e r s i d e C o u n t y B o a r d o f S u p e r v i s o r s t o s e e k B o a r d a c t i o n p r i o r t o A u g u s t 6 , 2 0 1 0 , t o p l a c e t h e i t e m o n t h e N o v e m b e r 2 , 2 0 1 0 b a l l o t . B A C K G R O U N D I N F O R M A T I O N : I n N o v e m b e r 2 0 0 2 , R i v e r s i d e C o u n t y v o t e r s a p p r o v e d a 3 0 - y e a r r e n e w a l o f t h e t r a n s p o r t a t i o n s a l e s t a x k n o w n a s M e a s u r e A . A s r e q u i r e d b y s t a t e l a w , M e a s u r e A i n c l u d e s a l i m i t a t i o n o n t h e a m o u n t o f b o n d e d i n d e b t e d n e s s t h a t c a n b e u t i l i z e d t o f i n a n c e p r o j e c t s . T h e l i m i t t h a t w a s i n c l u d e d i n t h e 2 0 0 2 m e a s u r e w a s $ 5 0 0 m i l l i o n . T h i s l i m i t a p p l i e s o n l y t o b o n d e d i n d e b t e d n e s s b a c k e d b y M e a s u r e A r e v e n u e a n d d o e s n o t a p p l y t o t o l l r e v e n u e b o n d s o r o t h e r d e b t i n s t r u m e n t s t h a t d o n o t i n v o l v e M e a s u r e A f u n d i n g s o u r c e s . C u r i o u s l y , t h e $ 5 0 0 m i l l i o n f i g u r e w a s l o w e r t h a n t h e p r e v i o u s l i m i t t h a t w a s e s t a b l i s h e d i n t h e f i r s t M e a s u r e A . W h e n t h e f i r s t M e a s u r e A w a s a p p r o v e d i n 1 9 8 8 , i t c o n t a i n e d a b o n d l i m i t o f $ 3 0 0 m i l l i o n , w h i c h r e p r e s e n t e d 3 4 p e r c e n t o f t h e $ 8 7 0 m i l l i o n t h a t w a s e x p e c t e d t o b e r a i s e d t h r o u g h t h e M e a s u r e A p r o g r a m . I n 1 9 9 2 , t h e C o m m i s s i o n t o o k a c t i o n t o r a i s e t h e l i m i t t o $ 5 2 5 m i l l i o n a n d r e c e i v e d v o t e r a p p r o v a l . A g e n d a I t e m 9 3 3 2 History often repeats itself and staff recommends the Commission take a similar action to increase the existing $500 million Measure A debt limit much like what happened in 1992. The Commission is moving forward with a number of ambitious projects including the State Route 91 Corridor Improvement Project, the extension - of Metrolink, and regional arterial development in Western Riverside County and in the Coachella Valley. Already through the use of commercial paper and other debt financing, the - Commission has borrowed approximately $180 million against Measure A to fund construction and purchase right of way and habitat land as part of its responsibilities under the Multiple Species Habitat Conservation Plan. If a bond limit increase is not secured prior to 2012, there is the danger that some projects might have to wait for funding on a pay-as-you-go basis. Ongoing Conservative Approach Recommended Yet another reason to consider a bond limit increase is the current economic climate that has resulted in low interest rates and competitive construction bids. Moreover, the Commission has always taken a conservative approach to debt. The Commission's current policy is to maintain a debt coverage ratio of 2.0, which is stricter than state law. In FY 2009/10, the debt coverage ratio was 12.5. With a bond issuance planned for later this year, the adopted Commission budget assumes a debt ratio coverage of 5.3 in FY 2010/11. Staff's proposal to increase the bonding limit assumes no change — and does not recommend — changes to the Commission's current policy of maintaining its 2.0 debt ratio coverage policy. Staff is proposing an increase in the bond limit to a total of $975 million. In the original Measure A of 1988, the bonding limit was approximately 34 percent of total expected revenue from the 20-year program. State law actually allows transportation agencies to set a bonding limit up to the entire amount of revenue. In the Commission's case, increasing the current Measure A limit to $975 million would keep the limit to less than 25 percent of the expected revenue that is projected to be raised from the program. Although unlikely, in future years with growth in the economy or in inflationary times, the Commission might need to consider yet another adjustment to the limit. The draft question is attached as Attachment 2, however, it could be amended prior to the Board of Supervisor action. Previous Review The issue of raising the bond limit has been reviewed with the Western Riverside County Delivery Plan Ad Hoc Committee and the Executive Committee. Both committees voted unanimously to move forward and to bring the item to the Commission. Agenda Item 9 333 • • • " " I t i s i m p o r t a n t t o n o t e t h a t t h i s i t e m d o e s n o t c o m m i t t h e C o m m i s s i o n t o a n y f i n a n c i n g a c t i o n . I t d o e s n o t i n d i c a t e o u r i n t e n t i o n t o i m m e d i a t e l y i s s u e b o n d s , a n d a n y s u c h a c t i o n w o u l d r e q u i r e s e p a r a t e C o m m i s s i o n a c t i o n a n d w o u l d b e b a s e d o n t h e s a m e i s s u e s a n d p r o c e s s t h a t t h e C o m m i s s i o n n o r m a l l y u s e s t o i s s u e d e b t . E l e c t i o n D e t a i l s V o t e r a p p r o v a l o f a c h a n g e i n t h e d e b t l i m i t r e q u i r e s v o t e r a p p r o v a l b e c a u s e i t i n v o l v e s a n a m e n d m e n t t o t h e M e a s u r e A o r d i n a n c e . T h e C o m m i s s i o n w i l l b e r e q u i r e d t o r e i m b u r s e t h e c o u n t y f o r t h e c o s t o f t h e e l e c t i o n , w h i c h h a s y e t t o b e c a l c u l a t e d . F o r c o m p a r i s o n p u r p o s e s , t h e C o m m i s s i o n w a s c h a r g e d $ 2 8 0 , 0 0 0 f o r t h e M e a s u r e A e l e c t i o n i n 2 0 0 2 . T h e c o s t f o r t h a t e l e c t i o n w a s s o m e w h a t h i g h e r t h a n u s u a l b e c a u s e i t i n v o l v e d a n u m b e r o f p a g e s d e s c r i b i n g t h e M e a s u r e A p r o g r a m . T h e C o m m i s s i o n c a n f u n d t h e a c t u a l c o s t o f t h e e l e c t i o n , a l t h o u g h a n y k i n d o f c a m p a i g n c o s t s w o u l d h a v e t o b e c o v e r e d f r o m a p r i v a t e l y - f u n d e d c a m p a i g n c o m m i t t e e . S t a f f w o u l d a l s o b e l e g a l l y p r e v e n t e d f r o m a d v o c a t i n g a s p e c i f i c v o t e f o r t h e M e a s u r e a n d f r o m a c t i v e c a m p a i g n i n g . I f t h e C o m m i s s i o n a p p r o v e s t h e a c t i o n t o m o v e f o r w a r d w i t h a d e b t l i m i t i n c r e a s e , t h e R i v e r s i d e C o u n t y B o a r d o f S u p e r v i s o r s w i l l b e r e q u i r e d t o t a k e f o r m a l a c t i o n b y A u g u s t 6 , 2 0 1 0 , t o p l a c e t h e m e a s u r e o n t h e N o v e m b e r 2 , 2 0 1 0 b a l l o t . F i n a n c i a l I n f o r m a t i o n I n F i s c a l Y e a r B u d g e t : N o Y e a r : F Y 2 0 1 0 / 1 1 A m o u n t : $ 3 0 0 , 0 0 0 S o u r c e o f F u n d s : G e n e r a l F u n d B u d g e t A d j u s t m e n t : Y e s G L / P r o j e c t A c c o u n t i n g N o . : 0 0 1 0 0 1 6 5 5 2 0 0 0 0 0 0 0 0 0 2 1 0 1 1 1 6 5 5 2 0 F i s c a l P r o c e d u r e s A p p r o v e d : ` J b 4 . , , e 1 ; 0 3 t t z * , D a t e : 0 7 / 0 7 / 1 0 A t t a c h m e n t s : 1 ! O r d i n a n c e N o . 1 0 - 0 0 2 2 �% D r a f t B a l l o t Q u e s t i o n A g e n d a I t e m 9 3 3 4 ATTACHMENT 1 ORDINANCE NO. 10-002 AN ORDINANCE OF THE RIVERSIDE COUNTY TRANSPORTATION COMMISSION REQUESTING THE COUNTY OF RIVERSIDE TO CONDUCT A SPECIAL ELECTION ON NOVEMBER 2, 2010 FOR THE PURPOSE OF SUBMITTING TO THE ELECTORS OF RIVERSIDE COUNTY A MEASURE WHICH WOULD MODIFY THE COMMISSION'S AUTHORIZATION LIMIT TO ISSUE LIMITED TAX BONDS AND, IF APPROVED, WOULD AUTHORIZE SUCH INCREASE. WHEREAS, on November 5, 2002, the voters of Riverside County approved Measure A, authorizing the Riverside County Transportation Commission (Commission) to impose a retail transactions and use tax of one-half percent for a period of thirty (30) years to fund certain transportation improvements and programs serving Riverside County; and WHEREAS, the Commission has determined that in order to expedite the construction of improvements and implementation of programs funded with the Measure A retail transactions and use tax, it is desirable to modify the maximum aggregate principal amount of limited tax bonds, which the Commission may have outstanding at any time; and WHEREAS, state law requires that the maximum amount of limited tax bonds which the Commission have outstanding at any time be approved by a majority of the voters casting ballots on the issue; NOW, THEREFORE, THE RIVERSIDE COUNTY TRANSPORTATION COMMISSION HEREBY ORDAINS AS FOLLOWS: SECTION 1: Request for Election. The Commission requests the Riverside County Board of Supervisors to call an election seeking voter approval of a measure (the Measure), which would modify the bond limit as set forth in Section 2, below. The election shall be held on November 2, 2010, and may be consolidated with other elections to be held on that date. Pursuant to .Public Utilities Code Section 240303, the election shall be called and conducted in the same manner as provided by law for the conduct of elections by the county and the sample ballot shall comply with the requirements of Public Utilities Code Section 240308(d). Approval of the Measure shall require a vote of a majority of the electors voting on the Measure at the election described in this section. 335 SECTION 2: Modification of Bond Limit. Upon the approval of a majority of the electors voting on the Measure at the November 2, 2010 election, the maximum aggregate principal amount of limited tax bonds which may be outstanding at any one time under Section VI of Ordinance 02-001 of the Riverside County Transportation Commission shall be increased to $975 million. . SECTION 3: Approval by Commission; Effective Date. This Ordinance has been adopted by a two-thirds vote of the Board of Directors of the Commission. If approved by the electors, the Ordinance shall take effect at the close of the polls on November 2, 2010. SECTION 4: Status of Ordinance No. 02-001. Except as expressly amended herein, all other provisions of Ordinance No. 02-001 shall remain in full force and effect. This ordinance shall not affect the nature of the Measure A sales tax, the maximum tax rate, the purposes for which the revenue derived from the tax shall be used, the term of the tax, or the Expenditure Plan adopted as part of Measure A. SECTION 5: Further Acts. The Executive Director is hereby authorized to take all actions necessary and proper to implement this Ordinance, including, without limitation, the execution of related documents, agreements or other instruments or correcting technical errors in this Ordinance or related documents. SECTION 6: Severability. If any provision(s) of this Ordinance is (are) for any reason held invalid or unenforceable by a court of competent jurisdiction, that holding shall not affect the validity or enforceability of the remaining portions of this Ordinance or Ordinance No. 02-001, and the Commission declares that it would have passed each and every part of this Ordinance irrespective of the validity of any other part. APPROVED AND ADOPTED this 14th Day of July, 2010 ATTEST: Jennifer Harmon Clerk of the Board Bob Buster, Chair Riverside County Transportation Commission 336 • • ATTACHMENT 2 November 2, 2010 Ballot Question The Riverside County Transportation Commission (RCTC) Debt Limit Measure. Shall RCTC amend its existing 2002 voter -approved ordinance to expedite construction of the following types of transportation projects • Widen freeways including State Routes 91, 71, 79, and Interstates 10, 15, 215 • Widen and improve major streets • Expand Metrolink commuter train service by approving Ordinance No. 10-001 to authorize" tid xtdebtedness limited to $975 million of estimated receipts from the Measur A'progra 337 7/15/2010 Modifying Measure A's Borrowing Limit RCTC • $870 million • $300 million. -34 percent of total • Later raised to $525.million • $500million GOAL: Increase limit to provide flexibility without sacrificing prudence or oversight • $975 million limit — slightly less than 25% of projected revenue total • Higher limit does not result in immediate action — Commission approval of all financings are maintained r-At tin �992I�tl4 umlti0 $5-2stm e AZ-stabii5 • 79 Percent Approval • 52 percent Approval • 69 Percent Approval Current Situation • $180 million of debt limit utilized • Delivery Plan restructured • Numerous projects nearing construction • Favorable interest rates & bids • Opportunity to create jobs • RCTC must reimburse county • 2002 cost was $372,000 • Election costs are Measure A eligible • Private sector financed campaign still needed 1 7/15/2010 Next Steps • Communicate ballot measure to Supervisors • Obtain vote from Supervisors - July 27 or at special meeting • Seek voter approval in November 2 " A G E N D A I T E M 1 0 " " RIVERSIDE COUNTY TRANSPORTATION COMMISSION DATE: July 14, 2010 TO: Riverside County Transportation Commission FROM: Western Riverside County Programs and Projects Committee Khalid Bazmi, Toll Project Manager THROUGH: Anne Mayer, Executive Director SUBJECT: Designation of a Locally Preferred Alternative for the State Route 91 Corridor Improvement Project WESTERN RIVERSIDE COUNTY PROGRAMS AND PROJECTS COMMITTEE AND STAFF RECOMMENDATION: This item is for the Commission to designate Alternative 2, the General Purpose (GP) + Express Lanes alternative, as the Commission's locally preferred alternative for the State Route 91 Corridor Improvement Project (SR-91 CIP). BACKGROUND INFORMATION: Since 2007, the Commission has been working on the SR-91 CIP in partnership with Ca!trans, the Federal Highway Administration (FHWA), the Orange County Transportation Authority (OCTA), the cities of Anaheim, Corona, Norco, and Riverside, and federal and state resource agencies. Early analyses and discussion for this potential corridor were initiated and studied as part of the Riverside County - Orange County Major Investment Study (MIS) that was completed in 2005. The SR-91 CIP study team is completing the combined draft environmental impact report/environmental impact statement (EIR/EIS) to comply with both state and federal requirements, California Environmental Quality Act (CEQA), and the National Environmental Policy Act (NEPA) respectively, and engineering technical studies for two build alternatives. Subsequent geometric variations to the primary alternatives were also identified and evaluated. Now that the technical studies are nearing completion and sufficient information is available for comparison of the project alternatives, staff recommends the Commission designate a locally preferred alternative (LPA). What is the Locally Preferred Alternative? The project sponsor may choose to designate its LPA once it has determined that one of the project alternatives studied best satisfies the stated need and purpose for the project. Agenda Item 10 338 Designation of the LPA is consistent with both state and federal environmental processes and does not minimize or compromise the legally prescribed environmental process. All build alternatives carried in the EIR/EIS for consideration are still analyzed and presented at comparable levels of detail. Benefits of Designating an Locally Preferred Alternative By designating an LPA, the project sponsor publicly discloses which alternative under consideration is favored earlier in the environmental process than by not designating an LPA. This provides all interested parties with the most current project information and project sponsor tendencies, thereby allowing comments to surface earlier with the goal of minimizing delays to the environmental schedule. Designation of an LPA may also facilitate advanced and early acquisition of rights of way needed for the project and maintain our design -build procurement schedule. Risks of Designating an Locally Preferred Alternative At -risk efforts that are proposed to be conducted whether or not an LPA designation is made are as follows: • At -risk design -build procurement will proceed based on the LPA designation, but bid document rework could be required if the LPA turns out to not be the selected project alternative. • At -risk limited acquisition of right of way parcels may occur if they become available on the open market. If project alternative selection later renders the parcels unnecessary, they will need to be sold at market value. DISCUSS/ON: Project Alternatives In addition to the no -build alternative, there are two build alternatives - Alternative 1: GP lanes alternative and Alternative 2: GP + express lanes alternative - that were developed and evaluated through a collaborative process with the project development team. Attachment 1 depicts the two build alternatives. Both build alternatives include interchange and local road system modifications, as well as construction of auxiliary lanes (merging/weaving lanes) at several locations. Key features of Alternative 1: GP lanes alternative includes the following features: Construction of an additional general purpose lane in each direction of SR-91 between SR-241 in Orange County and Pierce Street in the city of Riverside. Agenda Item 10 • • 339 " " " " C o n s t r u c t i o n o f d i r e c t h i g h o c c u p a n c y v e h i c l e ( H O V ) l a n e c o n n e c t o r s f r o m e a s t b o u n d S R - 9 1 t o s o u t h b o u n d I n t e r s t a t e 1 5 a n d f r o m n o r t h b o u n d 1 - 1 5 t o w e s t b o u n d S R - 9 1 . O n e H O V l a n e i n e a c h d i r e c t i o n o n 1 - 1 5 w o u l d e x t e n d s o u t h t o O n t a r i o A v e n u e f r o m S R - 9 1 . A l t e r n a t i v e 2 , t h e G P + e x p r e s s l a n e s a l t e r n a t i v e , i n c l u d e s t h e f o l l o w i n g f e a t u r e s : " C o n s t r u c t i o n o f a n a d d i t i o n a l g e n e r a l p u r p o s e l a n e i n e a c h d i r e c t i o n o f S R - 9 1 b e t w e e n S R - 2 4 1 i n O r a n g e C o u n t y a n d P i e r c e S t r e e t i n t h e c i t y o f R i v e r s i d e . ( S a m e a s A l t e r n a t i v e 1 ) " C o n v e r s i o n o f t h e e x i s t i n g S R - 9 1 H O V l a n e t o a t o l l e d e x p r e s s l a n e f r o m t h e O r a n g e / R i v e r s i d e C o u n t y l i n e t o 1 - 1 5 t r a n s i t i o n i n g b a c k t o a n H O V l a n e b e f o r e P i e r c e S t r e e t . " A d d i t i o n o f a s e c o n d t o l l e d e x p r e s s l a n e o n S R - 9 1 f r o m t h e O r a n g e / R i v e r s i d e C o u n t y L i n e t o 1 - 1 5 . " C o n s t r u c t i o n o f d i r e c t t o l l e d e x p r e s s l a n e c o n n e c t o r s f r o m e a s t b o u n d S R - 9 1 t o s o u t h b o u n d 1 - 1 5 a n d f r o m n o r t h b o u n d 1 - 1 5 t o w e s t b o u n d S R - 9 1 . O n e t o l l e d E x p r e s s L a n e i n e a c h d i r e c t i o n o n 1 - 1 5 w o u l d e x t e n d s o u t h t o C a j a l c o R o a d f r o m S R - 9 1 . " C o n s t r u c t i o n o f d i r e c t t o l l e d e x p r e s s l a n e c o n n e c t o r s f r o m e a s t b o u n d S R - 9 1 t o n o r t h b o u n d 1 - 1 5 a n d f r o m s o u t h b o u n d 1 - 1 5 t o w e s t b o u n d S R - 9 1 . O n e t o l l e d E x p r e s s L a n e i n e a c h d i r e c t i o n o n 1 - 1 5 w o u l d e x t e n d n o r t h t o H i d d e n V a l l e y P a r k w a y f r o m S R - 9 1 . I n a d d i t i o n t o o t h e r n o - b u i l d a l t e r n a t i v e s , t h e b u i l d a l t e r n a t i v e s p r o v i d e a r e a s o n a b l e r a n g e o f a l t e r n a t i v e s t o a d d r e s s a n d a n a l y z e t h e s t a t e d p r o j e c t n e e d a n d p u r p o s e . I t s h o u l d b e n o t e d t h a t a n y o f t h e s e a l t e r n a t i v e s , i n c l u d i n g t h e n o - b u i l d a l t e r n a t i v e m a y u l t i m a t e l y b e s e l e c t e d b y t h e d e c i s i o n m a k i n g b o d i e s . K e y p r o p o s e d m i l e s t o n e s t o d a t e i n c l u d e : 1 ) A g r e e m e n t o n t w o p r i m a r y b u i l d a l t e r n a t i v e s ( D e c e m b e r 2 0 0 6 ) ; 2 ) E x e c u t i o n o f a n i n t e r a g e n c y p r o j e c t a p p r o v a l a n d e n v i r o n m e n t a l d o c u m e n t a g r e e m e n t ( J a n u a r y 2 0 0 8 ) ; 3 ) E v a l u a t i o n o f d e s i g n v a r i a t i o n s o n t w o p r i m a r y b u i l d a l t e r n a t i v e s ( O c t o b e r 2 0 0 8 ) ; a n d 4 ) P r o j e c t p h a s i n g c o n c e p t f o r t i m e l y d e l i v e r y o f m a x i m u m b e n e f i t w i t h a v a i l a b l e r e s o u r c e s ( S e p t e m b e r 2 0 0 9 ) . R e f e r t o A t t a c h m e n t 3 f o r a d d i t i o n a l i n f o r m a t i o n o n t h e p r o j e c t p h a s i n g p l a n . A g a i n , t h i s p l a n w o u l d o n l y b e i m p l e m e n t e d i n t h e e v e n t t h a t a b u i l d - a l t e r n a t i v e i s e v e n t u a l l y a p p r o v e d . A g e n d a I t e m 1 0 3 4 0 Designation of the Locally Preferred Alternative A/iemadve 2 Alternative 2, the GP + express lanes alternative, is the staff recommended LPA because it appears to satisfy the need and purpose of the project. Key elements of the need and purpose statements are included in Attachment 2, and will be presented in the draft EIR/EIS. While both build alternatives achieve much of the stated project purpose, Alternative 2 appears to improve travel times and reduce congestion more than Alternative 1. Alternative 2 also provides increased flexibility in project funding which, if the project is ultimately approved, would enable project benefits to be realized sooner than would be possible under Alternative 1. Alternative 1 funding is envisioned to be primarily from Measure A, augmented by federal, state, and local funding sources that can be applied to the project. Alternative 2 adds toll revenue bonds and the use of a federal Transportation Infrastructure Finance and Innovation Act (TIFIA) loan as major, potential additional funding sources that can be applied to the project. While Alternative 2 has a higher construction cost than Alternative 1, financial modeling demonstrates that the additional cost can be more than offset by the projected toll revenues if the project is ultimately approved. Regional Transit Projects A MIS completed in 2005 identified several projects of regional significance to be included in the SR-91 implementation plan. The SR-91 CIP is one of fifteen projects listed in the 2010 SR-91 implementation plan. The plan consists of eleven highway improvement projects and four mass transit projects. The mass transit project costs and anticipated schedules are as follows: 1. Metrolink short-term expansion plan (project cost $ 35.4 million and anticipated completion - 2016) 2. Express Bus improvements - Orange County to Riverside County (project cost $9.5 million and anticipated completion - 2016) 3. Metrolink service and station improvements (project cost $335 million and anticipated completion - 2020) 4. Anaheim to Ontario International Airport high-speed rail (project cost to be determined and anticipated Completion date - post 2030) Extension of express lanes will reduce the travel time for the existing Express Bus service between the two counties and will facilitate the planned expansion of the existing Express Bus service. Agenda Item 10 • 341 Environmental Process The designation of the LPA does not minimize or compromise the legally prescribed environmental process. All build and no -build alternatives being analyzed and considered in the draft EIR/EIS are still treated and presented at comparable levels of detail. The draft EIR/EIS will be released in the summer of 2010 for public and agency comment and review. All comments received will be considered and addressed prior to the Commission's action on any alternative and certification of the EIR under CEQA. The design build contract for final design and construction would occur after environmental review under CEQA and NEPA approval is obtained. The Commission's selection of a LPA in no way commits decision makers to approving the project, but is instead a way to provide more focused environmental review and increase public disclosures related to the potential build alternatives. The Commission will request concurrence from Caltrans (as the NEPA delegated agency) on identification of the LPA in the final EIR/EIS. A request to cooperating and participating _agencies has been made pursuant to the provisions of Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU) Section 6002. CONCLUSION: By designating Alternative 2 as the LPA prior to circulation of the draft EIR/EIS the public is made aware of the project sponsor's preference for the project, thereby allowing comments to surface earlier with the goal of providing a more complete analysis of potential environmental issues and maintain our overall project schedule. Attachments: 1) SR-91 CIP Build Alternatives Map 2) Draft Environmental Document Need and Purpose Statement (excerpt) 3) Project Phasing Plan Agenda Item 10 342 " " " A t t a c h m e n t 1 - S R - 9 1 C I P B u i l d A l t e r n a t i v e s M a p " S t a t e H i g h w a y s " i n t e r s t a t e H i g h w a y s - S R - 9 I C o r r i d o r I m p r o v e m e n t p r o j e c t A l t e r n a t i v e 1 : G P L a n e s A l t e r n a t i v e A l t e r n a t i v e 2 : G P + E x p r e s s L a n e s A l t e r n a t i v e L E G E N D , L G e n e r a l P u r p o s e L a n e E x p r e s s L a n e S R - 9 1 C o r n d o r I m p r o v e m e n t P r o j e c t 6 M a y 2 0 1 0 3 4 3 " A t t a c h m e n t 2 - C I P N e e d a n d P u r p o s e S t a t e m e n t ( e x c e r p t ) P u r p o s e o f t h e P r o p o s e d P r o j e c t T h e p r o p o s e d S t a t e R o u t e 9 1 ( S R - 9 1 ) C o r r i d o r I m p r o v e m e n t P r o j e c t ( C I P ) i s i n t e n d e d t o a c h i e v e t h e f o l l o w i n g o b j e c t i v e s : 1 . I m p r o v e t h e v e h i c l e , p e r s o n , a n d g o o d s m o v e m e n t t r a v e l t i m e s o n S R - 9 1 a n d I n t e r s t a t e 1 5 ( 1 - 1 5 ) t o m o r e e f f e c t i v e l y s e r v e e x i s t i n g a n d f u t u r e t r a v e l d e m a n d b e t w e e n a n d w i t h i n R i v e r s i d e a n d O r a n g e C o u n t i e s c o n s i s t e n t w i t h t h e R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n ( R C T C ) M e a s u r e A 1 0 - Y e a r D e l i v e r y P l a n a n d t h e c u r r e n t S t a t e R o u t e 9 1 i m p l e m e n t a t i o n P l a n . 2 . P r o v i d e i m p r o v e m e n t s o n S R - 9 1 , 1 - 1 5 , a n d i n t e r s e c t i n g l o c a l r o a d s t o m o r e e f f e c t i v e l y s e r v e e x i s t i n g a n d f o r e c a s t i n t r a r e g i o n a l t r a v e l d e m a n d a n d t o r e d u c e d i v e r s i o n o f r e g i o n a l t r a f f i c f r o m t h e f r e e w a y s i n t o t h e s u r r o u n d i n g c o m m u n i t i e s . 3 . P r o v i d e m a x i m u m b e n e f i t s t o t h e t r a v e l i n g p u b l i c w i t h i n t h e p r o j e c t l i m i t s a s s o o n a s f u n d i n g i s a v a i l a b l e . N e e d f o r t h e P r o p o s e d P r o j e c t S R - 9 1 i s c o n t i n u i n g t o e x p e r i e n c e i n c r e a s e d c o n g e s t i o n a s a r e s u l t o f p o p u l a t i o n g r o w t h i n R i v e r s i d e C o u n t y a n d t h e i n c r e a s e i n j o b s i n O r a n g e C o u n t y . A s a r e s u l t , b a s e d o n d e m o g r a p h i c p r o j e c t i o n s , t r a f f i c v o l u m e s o n S R - 9 1 a r e e x p e c t e d t o i n c r e a s e b y a p p r o x i m a t e l y 5 0 p e r c e n t , w h i c h w o u l d r e s u l t i n c o n t i n u i n g c o n g e s t i o n a n d d e l a y s o n S R - 9 1 . P o p u l a t i o n a n d e m p l o y m e n t i n R i v e r s i d e a n d O r a n g e C o u n t i e s a r e p r o j e c t e d t o i n c r e a s e s u b s t a n t i a l l y b y 2 0 3 5 . R i v e r s i d e C o u n t y i s a m a j o r s o u r c e o f a f f o r d a b l e h o u s i n g i n s o u t h e r n C a l i f o r n i a , a n d O r a n g e C o u n t y h a s b e c o m e a p r i m a r y l o c a t i o n o f e m p l o y m e n t o p p o r t u n i t i e s i n a d d i t i o n t o t h e e x i s t i n g e m p l o y m e n t c e n t e r s i n L o s A n g e l e s C o u n t y . T h e e x i s t i n g t r a v e l d e m a n d i n t h e S R - 9 1 c o r r i d o r h a s l e d t o a h e a v y d i r e c t i o n a l c o m m u t e p a t t e r n b e t w e e n R i v e r s i d e a n d O r a n g e / L o s A n g e l e s C o u n t i e s t h a t i s p r o j e c t e d t o c o n t i n u e i n t h e f u t u r e . T h e g r o w i n g p o p u l a t i o n a n d r e l a t i v e l y a f f o r d a b l e h o u s i n g m a r k e t i n R i v e r s i d e C o u n t y , c o u p l e d w i t h i n c r e a s i n g e m p l o y m e n t o p p o r t u n i t i e s i n O r a n g e C o u n t y , h a v e r e s u l t e d i n a l a r g e n u m b e r o f R i v e r s i d e C o u n t y r e s i d e n t s c o m m u t i n g t o j o b s i n O r a n g e C o u n t y . B a s e d o n l o n g - t e r m r e g i o n a l p o p u l a t i o n a n d e m p l o y m e n t p r o j e c t i o n s , t h i s c o m m u t e p a t t e r n i s e x p e c t e d t o c o n t i n u e i n t o t h e f u t u r e . S R - 9 1 i s t h e o n l y m a j o r h i g h w a y c o r r i d o r t h a t p r o v i d e s t h e h o m e - t o - w o r k c o n n e c t i o n f o r R i v e r s i d e C o u n t y r e s i d e n t s w o r k i n g i n O r a n g e C o u n t y . S t a t e R o u t e 7 4 ( S R - 7 4 , O r t e g a H i g h w a y ) i s a p p r o x i m a t e l y 2 0 m i l e s ( m i ) s o u t h o f S R - 9 1 a n d c a r r i e s o n l y a b o u t 1 2 , 0 0 0 3 4 4 vehicles per day (vpd). In addition, SR-74, Metrolink, Orange County Transportation Authority (OCTA), Riverside Transit Agency (RTA), and recreational trails connect Orange and Riverside Counties. SR-91 is currently used by more than 280,000 vpd at the Orange/Riverside County line, and this volume continues to grow. At the same time, travel speeds on SR-91 are well below 30 miles per hour (mph) during the lengthy morning (westbound) and evening (eastbound) peak travel periods in this corridor. Traffic in this corridor is forecast to increase by around 50 percent by 2035, further exacerbating the already long travel times and congestion in this corridor. Improvements are necessary to address existing and projected deficiencies regarding mobility, access, goods movement, and freeway capacity on SR-91 within the Major Investment Study (MIS) corridor. Existing deficiencies, traffic congestion, and travel delays on SR-91 are anticipated to grow as a result of the projected traffic demand, which will be generated by forecasted increases in population, housing, employment, and intercounty travel affecting both Riverside and Orange Counties, as estimated by the SCAG RTP (2008). SR-91 is the only major highway that links Riverside and Orange Counties. However, with the downturn in the local, regional, and State economies, sales tax revenues have decreased substantially since approximately 2007. As a result, forecast levels of available Measure A sales tax revenues are not currently projected to be generated at the rate originally estimated in the Measure A 10-Year Delivery Plan for the foreseeable future. Because of the reduced sales tax revenues, to provide transportation improvements as early as possible on SR-91 and 1-15 within available funding levels, RCTC developed a phasing plan for the SR-91 CIP to allow construction that matches the of available funds and to provide immediate benefits to travelers on SR-91 and 1-15 through phased implementation of the project. The phasing plans for the alternatives under consideration would result in the improvements in those alternatives being constructed in phases, starting with an Initial Project in 2015 and ending with completion of all the project components in the Ultimate Project by 2035. • 345 " " " A t t a c h m e n t 3 C o n c e p t u a l P r o j e c t P h a s i n g P l a n N e e d f o r a C o n c e p t u a l P h a s i n g P l a n I m p l e m e n t a t i o n o f A l t e r n a t i v e 2 i s p r o p o s e d i n s e v e r a l p h a s e s o v e r a 2 0 - y e a r p e r i o d b e g i n n i n g w i t h t h e I n i t i a l P r o j e c t a n d c u l m i n a t i n g i n t h e U l t i m a t e P r o j e c t . S e p a r a t e p r o j e c t s w o u l d b e i d e n t i f i e d a n d p r o g r a m m e d t o i n c o r p o r a t e t h e c o m p o n e n t s o f t h e p h a s i n g p l a n f o r t h e i m p r o v e m e n t s o n S R - 9 1 a n d 1 - 1 5 u n d e r A l t e r n a t i v e 2 b e t w e e n t h e I n i t i a l P r o j e c t i n 2 0 1 5 a n d c o m p l e t i o n o f t h e U l t i m a t e P r o j e c t b y 2 0 3 5 . T h e c o n c e p t u a l p h a s i n g p l a n f o r A l t e r n a t i v e 2 i s s h o w n i n F i g u r e C - 1 . T h e f o l l o w i n g b a c k g r o u n d a s s u m p t i o n s w e r e m a d e r e g a r d i n g t h e p h a s i n g p l a n f o r A l t e r n a t i v e 2 : �% A l l t h e p r o j e c t c o m p o n e n t s a n d f e a t u r e s i n A l t e r n a t i v e 2 w o u l d b e c o n s t r u c t e d n o l a t e r t h a n 2 0 3 5 . N o c o m p o n e n t s i n A l t e r n a t i v e 2 w o u l d b e r e m o v e d f r o m t h e p h a s i n g p l a n . �% T h e a n a l y s e s f o r t h e I n i t i a l a n d U l t i m a t e P r o j e c t s w o u l d a l s o i n c l u d e a c o m p a r i s o n t o 2 0 1 5 N o P r o j e c t c o n d i t i o n s . �% T h e I n i t i a l P r o j e c t f e a t u r e s a n d c o m p o n e n t s w o u l d p r o v i d e i n d e p e n d e n t u t i l i t y a n d w o u l d h a v e l o g i c a l t e r m i n i . S i n c e t h e m a j o r i t y o f t h e f u n d i n g f o r A l t e r n a t i v e 2 w i l l c o m e f r o m t o l l r e v e n u e b o n d s a n d T r a n s p o r t a t i o n I n f r a s t r u c t u r e F i n a n c e a n d I n n o v a t i o n A c t ( T I F I A ) l o a n s , t h e e x a c t a m o u n t t h a t c a n b e r a i s e d w i l l n o t b e k n o w n u n t i l t h e p r o j e c t i s r e a d y t o b e f i n a n c e d . I n a d d i t i o n , b e c a u s e d e l i v e r y o f t h e p r o j e c t i s p r o p o s e d t o b e a b e s t v a l u e d e s i g n - b u i l d c o n t r a c t , t h e e x a c t c o s t o f A l t e r n a t i v e 2 w i l l n o t b e k n o w n u n t i l t h e d e s i g n - b u i l d p r o p o s a l s a r e r e c e i v e d a n d e v a l u a t e d . A s a r e s u l t , t h e r e w i l l n e e d t o b e f l e x i b i l i t y i n d e f i n i n g t h e I n i t i a l P r o j e c t t o b e c o n s t r u c t e d a n d t h e t i m i n g a n d s c o p e o f t h e p r o j e c t c o m p o n e n t s i n t h e f o l l o w i n g p h a s e s . T h e I n i t i a l P r o j e c t d e s c r i b e d i n t h i s p h a s i n g p l a n i s t h e m i n i m u m p r o j e c t t h a t c o u l d p r o v i d e e a r l y b e n e f i t s t o t h e t r a v e l i n g p u b l i c w i t h l o g i c a l t e r m i n i a n d i n d e p e n d e n t u t i l i t y . I f t h e d e s i g n - b u i l d p r i c e a n d f u n d s a v a i l a b l e f r o m t o l l r e v e n u e b o n d s a n d T I F I A l o a n s c o u l d p r o v i d e f o r e a r l y c o n s t r u c t i o n o f a d d i t i o n a l p h a s e s o f t h e p r o j e c t , t h e n R C T C w o u l d h a v e t h e o p t i o n o f a d d i n g p h a s e s w i t h t h e I n i t i a l P r o j e c t . S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t 1 A p r i l 2 0 1 0 3 4 6 L•b£ o t oZ r!aad Z aoaloid;uawanoidulrJop4100 (.6-as „ sao;ae}�aylo pue';uawwon nllgnd `slsAleue lewawuonnua;eye }o s;lnsa� aye uo Bulpuadap sang;ewa;le Jay;o }o.lagwnu Aue JO and}ewaile punq-ou a paps Ala;ewmn hew pue Vafoad ayl ao} ssaaoad malAw lewawuoalnua ay;}o Ispnu ay; ul !vs sl •sasodand Suluueld lei;ua;od ao} pa;eaauaS sem yplym'Aluo ainpaps 2ulseyd len}daouoo e sl swi„ ra peat' mtereD oa anent' ouelu0 way SI-1 uo sauel ssaldx3 panel pualx3-s ase4d SI-ttoIseaswawanol0uo 16-4S•lease4d ssuaulanoldue a6ue,paalut I6-US/IL-21S • £ ase4d IL-21S of IbL-215 wolf saua7 asodand telauag-Z ase4d 4110N SI-/ wolf pue oa slotaauuoz 2oa110 auei ssaldx3 papal • i ase4d VN0100 AO A110 +T LWI 173f0 AMSid A311YA N300IH sawawlanoiaw/ paseyd aanrA dttW IAN ON[SbMd 1 qua 1.03.Ir111/ as AISO HI VINO •NNOA AO A112 `0 anoadwy paseyd Eur4nd laaroAd 1e111uy aok"-sltuu, aroud 1N31 1,01Gaaod•41V-1 . +caun00. 3p1s4a yg o4i 30 aoato.Id V- A011dMJl 140011111016^85 Z and;uu.lany ao3 ueld 2utsutid len;daauoD :1-D al au • • Identification of a Locally Preferred Alternative for SR-91 CIP Project Presentation to RCTC Commission July 14, 2010 Presentation outline • Project Background • Project Boundaries and Alternatives (Alternative 1 and Alternative 2) • Project Schedule •What is a Locally Preferred Alternative( LPA)? • Benefits and Risks of designating an LPA •Staff recommended LPA and reasons why? •Q&A Project Background • Riverside County —Orange County Major Investment Study (MIS) (2005) • Recommended Locally preferred Strategy • Ultimate widening of SR-91 with possible Express Lanes • Study new corridors A & B • SR-74 operational improvements • Maximize transit system Project Overview Project Boundaries SR-91 Corridor Improvement Project Project Overview Project Alternatives Alternative 1 LEGEND GENERAL PURPOSE LANE Add one General Purpose Lane in each direction Project Overview Project Alternatives Alternative 2 LEGEND GENERAL PURPOSE LANE EXPRESS LANE Add one General Purpose Lane and extend two Tolled Express Lanes in each direction Project Schedule What is a Locally Preferred Alternative (LPA)? • A locally preferred alternative (LPA) may be designated when the project sponsor has determined, as in the present case, that one of the project alternatives studied best satisfies the stated need and purpose for the project Benefits of Designating an LP • Provides early disclosure to the public • Allows the public and agencies to provide focused input • Facilitates advanced and early acquisition of rights of way • Helps maintain our aggressive project delivery schedule Risk of Designating an LPA? • At -risk D-B procurement will proceed based on the LPA designation, but bid document rework could be required if the LPA turns out to not be the selected project alternative • At -risk acquisition of right of way parcels may occur if they become available on the open market. If the project alternative selection later renders the parcels unnecessary, they will need to be sold at market value Staff Recommended LPA Alternative 2 LEGEND GENERAL PURPOSE LANE EXPRESS LANE Add one General Purpose Lane and extend two Tolled Express Lanes in each direction Why Alternative 2? Need and Purpose • Improve the vehicle, person, and goods movement travel times on SR-91 and I-15 to serve existing and future travel demand between and within Riverside and Orange Counties consistent with the RCTC Measure A 10 Year Delivery Plan and SR 91 Implementation Plan. • Provide improvements on SR-91, I-15, and local streets to more effectively serve existing and forecast intraregional travel demand and to reduce diversion of regional traffic from the freeways into the surrounding communities. • Provide maximum benefits to traveling public within the project limits as soon as funding is available Questions? AGENDA ITEM 11 • RIVERS/DE COUNTY TRANSPORTATION COMMISSION DATE: July 14, 2010 TO: Riverside County Transportation Commission FROM: Theresia Trevino, Chief Financial Officer Michael Blomquist, Toll Program Director THROUGH: Anne Mayer, Executive Director SUBJECT: Authorization for Issuance of Toll Revenue Bonds to Finance State Route 91 Corridor Improvement Project Costs Related to Design -Build Phase STAFF RECOMMENDATION: This item is for the Commission to: 1) Adopt Resolution No. 10-026, "Resolution Authorizing the Issuance and Sale of Not to Exceed $900,000,000 Aggregate Principal Amount of Riverside County Transportation Commission Toll Revenue Bonds in Two or More Series, the Execution and Delivery of an Indenture, a First Supplemental Indenture, a Second Supplemental Indenture, a Design -Build Agreement and a Cooperative Agreement, and the Taking of All Other Actions Necessary in Connection Therewith"; 2) Approve the form of Indenture between the Commission and U.S. Bank National Association, as Trustee, and authorize the Executive Director to approve and execute the final Indenture; 3) Approve the form of First Supplemental Indenture between the Commission and U.S. Bank National Association, as Trustee, and authorize the Executive Director to approve and execute the final First Supplemental Indenture; 4) Approve the form of Second Supplemental Indenture between the Commission and U.S. Bank National Association, as Trustee, and authorize the Executive Director to approve and execute the final Second Supplemental Indenture; 5) Approve the form of Design -Build Construction Cooperative Agreement (Design -Build Agreement) between the Commission and Caltrans and authorize the Executive Director to approve and execute the final Design -Build Agreement; and 6) Approve the form of Cooperative Agreement between the Commission and the Orange County Transportation Authority (OCTA) and authorize the Executive Director to approve and execute the final Cooperative Agreement. Agenda Item 11 348 BACKGROUND INFORMATION: The 2009 Measure A Expenditure Plan (Expenditure Plan) approved by Riverside County voters in November 2002, identified improvements related to State Route 91 to be implemented with Measure A Western Riverside County highway funds. As staff began planning highway projects for the first 10 years of the new measure, construction costs had been increasing significantly. Although the Expenditure Plan contemplated the need for state and federal funding to supplement Measure A revenues for highway projects, it was apparent that innovative financing techniques would be necessary to fund some of the highway projects. Accordingly, the Commission engaged a strategic partnership advisory team knowledgeable in the area of transportation economics„ federal transportation funding -tools, and corporate equity investment evaluation to evaluate the feasibility of public/private partnerships and public delivery options to build additional transportation capacity and/or to speed the delivery of planned projects. The SR-91 corridor was identified by this team as a project with strong user demand that could be financed using toll revenues. In December 2006, the Commission approved the 10-Year Western Riverside County Highway Delivery Plan (Delivery Plan), which identified improvements including toll/express lanes on the SR-91 corridor from the Orange County line to Pierce Street. Soon thereafter, the Commission hired an engineering firm to commence development of a project report/environmental document. At the January 2010 workshop, the Commission approved the SR-91 Corridor Improvement Project (SR-91 CIP) as a priority in the project reprioritization strategy for the Delivery Plan. With preliminary engineering completion and federal and state environmental approval anticipated in mid 2011, the next phase of work for final engineering and construction is significantly greater in order of magnitude and is planned to be performed under a design -build contract to be procured in 2011. Based on recommendations of staff and its consultants, the design -build delivery method is the only method of procurement and project delivery that will allow the Commission to meet the goals of the SR-91 CIP. The design -build delivery method will allow for schedule acceleration, risk transfer, and an earlier completion date. Moreover, as was discussed at the California Transportation Commission's (CTC) hearing on the application for authorization to conduct the SR-91 CIP as a design -build project, the design -build method will allow for construction to begin earlier and accelerate the employment of certain construction trades in the area which have been severely affected by the economic downturn. The design -build procurement method is thus a key component of making the SR-91 CIP and construction of the Riverside Express Lanes viable from a financial perspective by providing for schedule acceleration, innovation, risk transfer, cost certainty, high Agenda Item 11 349 " q u a l i t y d e l i v e r y b y c o l l a b o r a t i o n o f e n g i n e e r s a n d c o n t r a c t o r s , a n d o t h e r b e n e f i t s . T h e p r o j e c t w i l l a d d r e s s m a n y o f t h e c r i t i c a l i n f r a s t r u c t u r e n e e d s i n a r e g i o n t h a t i s f a c i n g r a p i d l y i n c r e a s i n g l e v e l s o f c o n g e s t i o n a n d a i r q u a l i t y c h a l l e n g e s . F o r t h e p a s t s e v e r a l y e a r s , s i g n i f i c a n t a c c o m p l i s h m e n t s r e l a t e d t o t h i s p r o j e c t i n c l u d e o b t a i n i n g t o l l a u t h o r i t y a n d , m o s t r e c e n t l y i n A p r i l 2 0 1 0 , d e s i g n - b u i l d a u t h o r i t y f r o m t h e C T C . I n a n t i c i p a t i o n o f r e c e i v i n g d e s i g n - b u i l d a u t h o r i t y , t h e C o m m i s s i o n h i r e d a p r o j e c t a n d c o n s t r u c t i o n m a n a g e r i n O c t o b e r 2 0 0 9 t o a s s i s t t h e C o m m i s s i o n i n t h e p r e p a r a t i o n f o r a l a r g e , d e s i g n - b u i l d c o n t r a c t a s w e l l a s o v e r s e e t h e d e s i g n a n d c o n s t r u c t i o n w o r k d u r i n g t h e d e s i g n - b u i l d p h a s e . S o m e o f t h e p r e p a r a t i o n a c t i v i t i e s h a v e c o n s i s t e d o f d e v e l o p i n g a n d n e g o t i a t i n g v a r i o u s a g r e e m e n t s t h a t w i l l b e r e q u i r e d i n c o n n e c t i o n w i t h t h e d e s i g n - b u i l d p h a s e a s w e l l a s o p e r a t i o n s o f t h e t o l l l a n e s f o l l o w i n g t h e c o m p l e t i o n o f c o n s t r u c t i o n . T w o k e y a g r e e m e n t s i n c l u d e t h e f o l l o w i n g : 1 . A d e s i g n - b u i l d a g r e e m e n t b e t w e e n t h e C o m m i s s i o n a n d C a ! t r a n s w i l l s e t f o r t h s p e c i f i c p r o c e d u r e s a n d r e q u i r e m e n t s f o r t h e c o n s t r u c t i o n o f t h e S R - 9 1 C I P , i n c l u d i n g a r e q u i r e m e n t t h a t t h e C o m m i s s i o n u s e t h e d e s i g n - b u i l d m e t h o d o f p r o c u r e m e n t . A d r a f t o f t h e p r o p o s e d f o r m o f t h i s a g r e e m e n t i s i n c l u d e d a s A t t a c h m e n t 2 . 2 . A c o o p e r a t i v e a g r e e m e n t b e t w e e n t h e C o m m i s s i o n a n d O C T A i s c u r r e n t l y b e i n g n e g o t i a t e d . T h i s a g r e e m e n t w i l l e s t a b l i s h t h e m a n n e r i n w h i c h t h e S R - 9 1 C I P w i l l b e c o n s t r u c t e d u s i n g t h e d e s i g n - b u i l d m e t h o d o f p r o c u r e m e n t a s a u t h o r i z e d b y t h e C T C . I t w i l l a l s o g r a n t a p p r o v a l f o r t h e C o m m i s s i o n t o c o n s t r u c t t h e S R - 9 1 C I P a n d o p e r a t e t h e R i v e r s i d e E x p r e s s L a n e s . E x e c u t i o n o f t h i s a g r e e m e n t i s a n e c e s s a r y c o n d i t i o n t o t h e s a l e o f t h e t o l l r e v e n u e b o n d s . A d r a f t o f t h e p r o p o s e d f o r m o f t h i s a g r e e m e n t i s i n c l u d e d a s A t t a c h m e n t 3 . W h i l e p r o j e c t d e v e l o p m e n t a c t i v i t i e s h a v e b e e n o n g o i n g , s t a f f h a s a l s o c o m m e n c e d v a r i o u s f i n a n c i n g a c t i v i t i e s t h a t a r e r e q u i r e d t o f i n a n c e t h e p r o j e c t c o s t s r e l a t e d t o t h e d e s i g n - b u i l d p h a s e . A n u n d e r w r i t i n g t e a m w a s a p p o i n t e d i n A p r i l 2 0 1 0 , f r o m a g r o u p o f u n d e r w r i t e r s s e l e c t e d i n J u l y 2 0 0 9 , f o l l o w i n g a p r o c u r e m e n t f o r u n d e r w r i t e r s e r v i c e s i n c o n n e c t i o n w i t h f u t u r e l o n g - t e r m d e b t f i n a n c i n g s . T h e i n i t i a l t a s k s f o r t h e s e n i o r u n d e r w r i t i n g t e a m i n c l u d e t h e d e v e l o p m e n t o f a f i n a n c i a l m o d e l , e v a l u a t i o n o f p o t e n t i a l f i n a n c i n g s t r u c t u r e s , a n d p a r t i c i p a t i o n i n t h e d e s i g n - b u i l d p r o c u r e m e n t p l a n n i n g a n d d e v e l o p m e n t . C u r r e n t f i n a n c i n g a s s u m p t i o n s i n c l u d e t h e i s s u a n c e o f s e n i o r l i e n t o l l r e v e n u e b o n d s i n t h e f o r m o f c u r r e n t i n t e r e s t b o n d s a n d c a p i t a l a p p r e c i a t i o n b o n d s , s u b o r d i n a t e l e v e l T r a n s p o r t a t i o n I n v e s t m e n t F i n a n c e I n n o v a t i o n A c t ( T I F I A ) f i n a n c i n g , a n d M e a s u r e A s a l e s t a x r e v e n u e o n a p a y - g o b a s i s o r f r o m b o n d p r o c e e d s o r o t h e r A g e n d a I t e m 1 1 3 5 0 contractual obligation. Staff and the strategic partnership advisory team are currently preparing applications for TIFIA financing and Transportation Investment Generating Economic Recovery (TIGER) II grants related to the American Recovery and Reinvestment Act of 2009. While the completion of preliminary engineering, federal and state environmental approvals, and final selection of a design -build firm is more than a year away, due to the long lead times and approval processes, the financing components must be put in place. A key element of the financing of the design -build phase, in addition to TIFIA financing, is the issuance of toll revenue bonds which are estimated to not exceed $900 million. These bonds will be secured by a first lien on toll revenues and, in some cases, by a subordinate pledge of sales tax revenues. Given the need for an accelerated schedule for the SR-91 CIP, the toll revenue bonds must be authorized early on in the process. Since the bonds are secured by toll revenues, these toll revenue bonds are not subject to the 2009 Measure A debt limit of $500 million. While the specific structure of such bonds will be evaluated and determined over the next 18 months in anticipation of a financial close in January 2012, the following documents have been developed setting forth the general terms of such bonds: • Form of Indenture regarding the terms and conditions of the issuance of toll revenue bonds; • Form of First Supplemental Indenture providing for the issuance of toll revenue bonds to be secured primarily by a first lien on toll revenues; and • Form of Second Supplemental Indenture providing for the issuance of toll revenue bonds to be secured primarily by a lien on toll revenues on a parity with the initial series of toll revenue bonds authorized in the First Supplemental Indenture and a lien on sales tax revenues on a basis subordinate to the liens securing the Commission's outstanding sales tax bonds. The form of the Indenture, First Supplemental Indenture, and Second Supplemental Indenture are included as Attachments 4 through 6. STAFF RECOMMENDATION: In order to maintain the SR-91 CIP design -build procurement and financing schedule, staff recommends the Commission: • Adopt Resolution No. 10-026 to authorize the issuance and sale of not to exceed $900 million in toll revenue bonds and execution and delivery of the Design -Build Agreement, Cooperative Agreement, Indenture, First Supplemental Indenture, and Second Supplemental Indenture as well as the taking of all other necessary actions; and Agenda Item 11 • • • 351 " A p p r o v e t h e m a t e r i a l t e r m s s e t f o r t h i n t h e a t t a c h e d f o r m D e s i g n - B u i l d A g r e e m e n t , C o o p e r a t i v e A g r e e m e n t , I n d e n t u r e , F i r s t S u p p l e m e n t a l I n d e n t u r e , a n d S e c o n d S u p p l e m e n t a l I n d e n t u r e a n d a u t h o r i z e t h e E x e c u t i v e D i r e c t o r t o a p p r o v e a n d e x e c u t e t h e f i n a l a g r e e m e n t s . A s s u m i n g t h a t t h e C o m m i s s i o n a p p r o v e s t h e a b o v e r e c o m m e n d a t i o n s , t h e a c t u a l s a l e o f t h e t o l l r e v e n u e b o n d s m a y o c c u r . A t a l a t e r d a t e , s t a f f w i l l p r e p a r e f o r C o m m i s s i o n a p p r o v a l a n a d d i t i o n a l r e s o l u t i o n r e l a t e d t o t h e a c t u a l s a l e o f t h e a u t h o r i z e d t o l l r e v e n u e b o n d s , t h e b o n d p u r c h a s e a g r e e m e n t w i t h t h e u n d e r w r i t e r s , t h e o f f i c i a l s t a t e m e n t d e s c r i b i n g t h e t o l l r e v e n u e b o n d s t o p o t e n t i a l i n v e s t o r s , a n d o t h e r d o c u m e n t a t i o n a s m a y b e n e e d e d . F i n a n c i a l I n f o r m a t i o n I n F i s c a l Y e a r B u d g e t : N / A Y e a r : F Y 2 0 1 1 / 1 2 A m o u n t : $ 9 0 0 , 0 0 0 , 0 0 0 s o u r c e s $ 9 , 0 0 0 , 0 0 0 u s e s S o u r c e o f F u n d s : T o l l R e v e n u e B o n d s B u d g e t A d j u s t m e n t : N / A G L l P r o j e c t A c c o u n t i n g N o . : 0 0 3 0 2 8 5 9 1 0 2 3 0 5 3 1 5 9 1 0 2 $ 9 0 0 , 0 0 0 , 0 0 0 0 0 3 0 2 8 8 1 6 0 2 2 6 2 3 1 8 1 6 0 1 $ 9 , 0 0 0 , 0 0 0 F i s c a l P r o c e d u r e s A p p r o v e d : c i t t a , , , D a t e : 0 6 / 2 9 / 2 0 1 0 A t t a c h m e n t s : 1 ) R e s o l u t i o n 1 0 - 0 2 6 2 ) F o r m o f D e s i g n - B u i l d A g r e e m e n t 3 ) F o r m o f C o o p e r a t i v e A g r e e m e n t 4 ) F o r m o f I n d e n t u r e 5 ) F o r m o f F i r s t S u p p l e m e n t a l I n d e n t u r e 6 ) F o r m o f S e c o n d S u p p l e m e n t a l I n d e n t u r e A g e n d a I t e m 1 1 3 5 2 ATTACHMENT 1 NO.10-026 RESOLUTION AUTHORIZING THE ISSUANCE AND SALE OF NOT TO EXCEED $900,000,000 AGGREGATE PRINCIPAL AMOUNT OF RIVERSIDE COUNTY . TRANSPORTATION COMMISSION TOLL REVENUE BONDS IN TWO OR MORE SERIES, THE EXECUTION AND DELIVERY OF AN INDENTURE, A FIRST SUPPLEMENTAL INDENTURE, A SECOND SUPPLEMENTAL INDENTURE, A DESIGN -BUILD AGREEMENT AND A COOPERATIVE AGREEMENT, AND THE TAKING OF ALL OTHER ACTIONS NECESSARY IN CONNECTION THEREWITH WHEREAS, the Riverside County Transportation Commission (the "Commission') is a county transportation commission duly organized and existing pursuant to the County Transportation Commissions Act, being Division 12 of the Public Utilities Code of the State of California (Section 130000 et seq.) (as amended, including by Chapter 714 of the California Statutes of 2008 (Senate Bill No. 1316), the "Act"); WHEREAS, the Commission is authorized pursuant to the Riverside County Transportation Sales Tax Act, being Division 25 of the Public Utilities Code of the State of California (Section 240000 et seq.) (the "Sales Tax Act'), to, among other things, and with voter approval, levy a retail transactions and use tax in accordance with the provisions of Part 1.6 (commencing with Section 7251) of Division 2 of the California Revenue and Taxation Code (the "Sales Tax Law") and to issue limited tax bonds payable from the proceeds of such tax; WHEREAS, the Commission adopted Ordinance No. 02-001, named the "Transportation Expenditure Plan and Retail Transaction and Use Tax Ordinance" (the "Ordinance") on May 8, 2002, pursuant to the provisions of the Sales Tax Act, which Ordinance provides for the imposition of a retail transactions and use tax (the "Sales Tax") applicable in the incorporated and unincorporated territory of the County in accordance with the provisions of the Sales Tax Law at the rate of one-half of one percent (1/2%) commencing July 1, 2009 and continuing for a period not to exceed thirty (30) years; WHEREAS, by its terms, the Ordinance became effective at the close of the polls on November 5, 2002, the day of the election at which the proposition imposing the Sales Tax was approved by more than two-thirds of the electors voting on the measure; WHEREAS, the Ordinance authorizes the Commission to apply proceeds of the Sales Tax (the "Sales Tax Revenues") for transportation purposes, including the construction, capital, acquisition, maintenance and operation of streets, roads, highways, including state highways, and for related purposes; WHEREAS, the Act was amended by Chapter 714 of the California Statutes of 2008 (Senate Bill No. 1316), which, among other provisions authorizes the Commission to set, levy and collect tolls, user fees, or other similar charges, payable for use of the toll lanes and other facilities on the portion of State Highway Route 91 (the "SR-91") between the Orange and Riverside County line and State Highway Route 15 (the "Toll Road"), and to issue one or more OHS West:2609275085 353 series of bonds (the "Toll Revenue Bonds") pursuant to the terms and conditions of a resolution adopted by a two-thirds vote of the Commission, which bonds may be payable from (i) the proceeds of such tolls (the "Toll Revenues"), (ii) Sales Tax Revenues, (iii) development impact fees, (iv) federal grant funds, and (v) any other source of revenues available to the Commission; WHEREAS, the Act authorizes Toll Revenue Bonds to be issued for the purpose of financing the planning, design, development, financing, construction, reconstruction, rehabilitation, improvement, acquisition, lease, operation, or maintenance, or any combination of these, with respect to tolled and nontolled facilities, structures, onramps, connector roads, bridges, and roadways that are on, necessary for, or related to the construction or operation of the portion of the SR-91 between the Orange and Riverside County line to the west and State Highway Route 15 to the east (the "Riverside SR-91 Corridor Improvement Project"); WHEREAS, the Orange County Transportation Authority (the "Authority) imposes tolls on certain SR-91 lanes in Orange County pursuant to an Amended and Restated Franchise Agreement between the California Department of Transportation ("Caltrans") and the Authority (the "Franchise Agreement"); WHEREAS, the Commission's authorization to levy tolls and issue Toll Revenue Bonds pursuant to the Act is conditioned upon the Authority amending or partially assigning the Franchise Agreement to exclude that portion of SR-91 between the Orange and Riverside County line and State Highway Route 15 from such Franchise Agreement (the "Amendment"); WHEREAS, the Commission's issuance of the Toll Revenue Bonds pursuant to the Act is further conditioned upon the acceptance and approval by an additional resolution of documentation necessary for the sale of the Toll Revenue Bonds, including a bond purchase agreement, an official statement describing the Toll Revenue Bonds to potential investors and other customary or necessary documentation, all of which will be required to be approved pursuant to a subsequent resolution of the Commission; WHEREAS, the Commission's final approval of such further documentation is conditioned upon appropriate financial, regulatory and environmental review, including review under the California Environmental Quality Act, (California Public Resources Code Section 21000 et seq. and Title 14 of the California Code of Regulations Section 15000 et seq.) ("CEQA") and other applicable environmental laws; WHEREAS, the Commission submitted a Project Authorization Request to the California Transportation Commission (the "CTC") on January 1, 2010, describing transportation improvements relating to the Riverside SR-91 Corridor Improvement Project, including projected costs, the use of toll revenues, and a proposed completion schedule, and requesting authorization to employ the design -build method of procurement in connection with such improvements to reduce costs, expedite completion and achieve design features not achievable through the traditional design -bid -build method (the "CIP Plan"); WHEREAS, on April 7, 2010, the CTC authorized the Commission, pursuant to Chapter 6.5 (commencing with Section 6800) of Part 1 of Division 2 of the Public Contract Code, to OHS West 260927508.5 -2- 354 " e m p l o y t h e d e s i g n - b u i l d m e t h o d o f p r o c u r e m e n t i n c o n n e c t i o n w i t h t h e C I P P l a n a n d t h e p r o p o s e d c o n s t r u c t i o n o f t h e i n i t i a l p h a s e o f t h e R i v e r s i d e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t ; W H E R E A S , a s f u r t h e r d e s c r i b e d i n t h e s t a f f r e p o r t a c c o m p a n y i n g t h i s R e s o l u t i o n , t h e a p p r o v e d C T C a p p l i c a t i o n f o r t h e C I P P l a n a n d p r o p o s e d c o n s t r u c t i o n o f t h e R i v e r s i d e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t s p e c i f i e s t h a t t h e e n t i r e f i n a n c i n g s t r u c t u r e a n d t i m e l i n e f o r p r o j e c t d e l i v e r y s e t f o r t h i n t h e C T C a p p l i c a t i o n i s b a s e d o n u s e o f t h e d e s i g n - b u i l d m e t h o d o f p r o c u r e m e n t , t h e d e s i g n - b u i l d p r o c u r e m e n t m e t h o d i s i d e n t i f i e d a s a k e y c o m p o n e n t o f m a k i n g t h e C I P P l a n a n d c o n s t r u c t i o n o f t h e i n i t i a l p h a s e o f t h e R i v e r s i d e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t v i a b l e f r o m a f i n a n c i a l p e r s p e c t i v e b y p r o v i d i n g f o r s c h e d u l e a c c e l e r a t i o n , i n n o v a t i o n , r i s k t r a n s f e r , c o s t c e r t a i n t y a n d o t h e r b e n e f i t s , a n d b a s e d o n t h e a p p r o v e d C T C a p p l i c a t i o n , C a l t r a n s a n d t h e C o m m i s s i o n h a v e n e g o t i a t e d t h e t e r m s o f a D e s i g n - B u i l d A g r e e m e n t a n d t h e C o o p e r a t i v e A g r e e m e n t , b o t h a s d e f i n e d b e l o w , w h i c h r e q u i r e u s e o f t h e d e s i g n - b u i l d m e t h o d o f p r o c u r e m e n t , a n d t h u s t h e d e s i g n - b u i l d m e t h o d o f p r o c u r e m e n t i s t h e n e c e s s a r y m e t h o d o f p r o c u r e m e n t t o b e u s e d f o r i m p l e m e n t a t i o n o f t h e C I P P l a n a n d c o n s t r u c t i o n o f t h e i n i t i a l p h a s e o f t h e R i v e r s i d e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t ; W H E R E A S , t h e r e h a s b e e n p r e p a r e d a n d p r e s e n t e d t o t h e C o m m i s s i o n a p r o p o s e d f o r m o f C o o p e r a t i v e A g r e e m e n t f o r D e s i g n - B u i l d o f t h e S t a t e R o u t e 9 1 T o l l F a c i l i t i e s a n d C o r r i d o r I m p r o v e m e n t P r o j e c t , b y a n d b e t w e e n t h e C o m m i s s i o n a n d C a l t r a n s ( t h e " D e s i g n - B u i l d A g r e e m e n t " ) , s e t t i n g f o r t h , a m o n g o t h e r t h i n g s , s p e c i f i c p r o c e d u r e s a n d r e q u i r e m e n t s f o r t h e C o m m i s s i o n ' s p r o p o s e d c o n s t r u c t i o n o f t h e i n i t i a l p h a s e o f t h e R i v e r s i d e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t a s p a r t o f t h e C I P P l a n , i n c l u d i n g a r e q u i r e m e n t t h a t t h e C o m m i s s i o n c o n s t r u c t t h e i n i t i a l p h a s e o f t h e R i v e r s i d e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t u s i n g t h e d e s i g n - b u i l d m e t h o d o f p r o c u r e m e n t ; W H E R E A S , t h e a p p r o v a l o f t h e c o n s t r u c t i o n p r o v i s i o n s o f t h e p r o p o s e d D e s i g n - B u i l d A g r e e m e n t s h a l l b e c o n t i n g e n t u p o n f a c t o r s y e t t o b e f i n a l i z e d , i n c l u d i n g t h e c o m p l e t i o n o f C E Q A a n d o t h e r e n v i r o n m e n t a l r e v i e w a n d t h e a p p r o v a l o f t h e R i v e r s i d e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t ; W H E R E A S , t h e r e h a s b e e n p r e p a r e d a n d p r e s e n t e d t o t h e C o m m i s s i o n a p r o p o s e d f o r m o f C o o p e r a t i v e A g r e e m e n t f o r S t a t e R o u t e 9 1 E x p r e s s L a n e s a n d C o r r i d o r I m p r o v e m e n t s B e t w e e n R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n a n d O r a n g e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n , b y a n d b e t w e e n t h e C o m m i s s i o n a n d t h e A u t h o r i t y ( t h e " C o o p e r a t i v e A g r e e m e n t " ) , w h i c h h a s b e e n n e g o t i a t e d b e t w e e n t h e C o m m i s s i o n a n d t h e A u t h o r i t y , i n c o n s u l t a t i o n w i t h C a l t r a n s , a n d s e t s f o r t h , a m o n g o t h e r t h i n g s , t h e m a n n e r i n w h i c h t h e i n i t i a l p h a s e o f t h e R i v e r s i d e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t w i l l b e c o n s t r u c t e d i n a c c o r d a n c e w i t h t h e C I P P l a n u s i n g t h e d e s i g n - b u i l d m e t h o d o f p r o c u r e m e n t a s a u t h o r i z e d b y t h e C T C , a n d w h i c h a d d i t i o n a l l y w i l l e f f e c t t h e A m e n d m e n t b y g r a n t i n g a p p r o v a l u n d e r t h e A c t - f o r t h e C o m m i s s i o n t o c o n s t r u c t a n d o p e r a t e t h e R i v e r s i d e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t w i t h i n t h e a r e a c o v e r e d b y t h e F r a n c h i s e A g r e e m e n t ; W H E R E A S , t h e c o o p e r a t i v e p r o v i s i o n s o f t h e C o o p e r a t i v e A g r e e m e n t w e r e , i n p a r t , d e v e l o p e d p u r s u a n t t o C E Q A ' s m a n d a t e t h a t p u b l i c a g e n c i e s c o n s u l t a n d c o o r d i n a t e r e g a r d i n g a p r o p o s e d p r o j e c t ' s e f f e c t s ( 1 4 C a l . C o d e R e g s . , � � 1 5 0 6 0 . 5 ( b ) , 1 5 0 6 3 ( g ) ) , a n d w h e r e a s t h e c o n s t r u c t i o n p r o v i s i o n s o f t h e p r o p o s e d C o o p e r a t i v e A g r e e m e n t a r e c o n t i n g e n t u p o n t h e O H S W e s L 2 6 0 9 2 7 5 0 8 . 5 - 3 - 3 5 5 completion of CEQA review and the approval, if any, of the Riverside SR-91 Corridor Improvement Project; WHEREAS, the Commission has heretofore issued its Sales Tax Revenue Bonds (Limited Tax Bonds) in the aggregate principal amount of $185,000,000 (the "Sales Tax Bonds"), pursuant to an indenture, dated as of June 1, 2008, as amended and supplemented, including by a second supplemental indenture, dated as of October 1, 2009, each by and between the Commission and U.S. Bank National Association, as trustee; WHEREAS, the Commission has heretofore authorized the issuance from time to time of not to exceed $200,000,000 in aggregate principal amount of its Commercial Paper Notes (Limited Tax Bonds), Series A and Series B (collectively with the Sales Tax Bonds, the "Senior Sales Tax Bonds"), pursuant to an indenture dated as of March 1, 2005, by and between the Commission and U.S. Bank National Association, as successor trustee; WHEREAS, the Commission hereby determines, subsequent to the effectiveness of the Amendment, to set, levy, and collect tolls, user fees and similar charges for the use of the Toll Road, pursuant to a toll schedule to be adopted by the Commission, and to apply all or a portion of the Toll Revenues to the financing of the Riverside SR-91 Corridor Improvement Project's design and potential construction and operation, including potential reimbursement for the costs of environmental analysis and compliance in accordance with the CIP Plan; WHEREAS, the Commission hereby determines that, subsequent to the effectiveness of the Amendment and the acceptance and approval by an additional resolution or documentation necessary for the sale of the Toll Revenue Bonds, including a bond purchase agreement, an official statement describing the Toll Revenue Bonds to potential investors and other customary or necessary documentation, and following completion of appropriate financial, regulatory or environmental review, including review under CEQA and other applicable environmental laws, and the Commission's approval of the Riverside SR-91 Corridor Improvement Project, the issuance of two or more series or subseries of Toll Revenue Bonds, entitled "Riverside County Transportation Commission Toll Revenue Bonds" (the "Bonds"), in an aggregate principal amount not to exceed nine hundred million dollars ($900,000,000), pursuant to an indenture and two or more supplemental indentures, will be necessary in order to (i) finance the planning, design, development, financing, potential construction, reconstruction, rehabilitation, improvement, acquisition, lease, operation, and maintenance of the Riverside SR-91 Corridor Improvement Project, (ii) apply for or otherwise obtain available federal, state and local matching funds, loans and grants in order to make additional funds available for the Riverside SR-91 Corridor Improvement Project; and (iii) finance the costs of issuance incurred in connection with the Bonds; WHEREAS, the Commission finds and determines that issuing one or more series of the Bonds as taxable bonds which qualify the Commission to receive federal subsidy payments under Sections 54AA and 6431 of the Internal Revenue Code of 1986 (the "Code") or any other provisions of the Code that create, in the determination of the Executive Director of the Commission, a similar direct -pay subsidy program (collectively, the "Build America Bonds"), could produce economic benefits for the Commission; OHS West. 2609275085 -4- • 356 " " " W H E R E A S , t h e r e h a s b e e n p r e s e n t e d t o t h e C o m m i s s i o n a p r o p o s e d f o r m o f I n d e n t u r e ( t h e " I n d e n t u r e " ) , b y a n d b e t w e e n t h e C o m m i s s i o n a n d U . S . B a n k N a t i o n a l A s s o c i a t i o n , a s t r u s t e e ( t h e " T r u s t e e " ) ; W H E R E A S , t h e r e h a s b e e n p r e s e n t e d t o t h e C o m m i s s i o n a p r o p o s e d f o r m o f F i r s t S u p p l e m e n t a l I n d e n t u r e ( t h e " F i r s t S u p p l e m e n t a l I n d e n t u r e " ) , b y a n d b e t w e e n t h e C o m m i s s i o n a n d t h e T r u s t e e , p r o v i d i n g f o r t h e i s s u a n c e o f a s e r i e s o f T o l l R e v e n u e B o n d s t o b e s e c u r e d p r i m a r i l y b y a f i r s t l i e n o n T o l l R e v e n u e s ; W H E R E A S , t h e r e h a s b e e n p r e s e n t e d t o t h e C o m m i s s i o n a p r o p o s e d f o r m o f S e c o n d S u p p l e m e n t a l I n d e n t u r e ( t h e " S e c o n d S u p p l e m e n t a l I n d e n t u r e " ) , b y a n d b e t w e e n t h e C o m m i s s i o n a n d t h e T r u s t e e , p r o v i d i n g f o r t h e i s s u a n c e o f a s e r i e s o f T o l l R e v e n u e B o n d s t o b e s e c u r e d p r i m a r i l y b y ( i ) a l i e n o n T o l l R e v e n u e s o n a p a r i t y w i t h t h e T o l l R e v e n u e B o n d s a u t h o r i z e d h e r e i n t o b e i s s u e d p u r s u a n t t o t h e F i r s t S u p p l e m e n t a l I n d e n t u r e , a n d ( i i ) a l i e n o n S a l e s T a x R e v e n u e s o n a b a s i s s u b o r d i n a t e t o t h e l i e n s s e c u r i n g t h e C o m m i s s i o n ' s o u t s t a n d i n g S e n i o r S a l e s T a x B o n d s ; W H E R E A S , t h e C o m m i s s i o n h e r e b y d e t e r m i n e s t h a t t h e T o l l R e v e n u e B o n d s t o b e i s s u e d p u r s u a n t t o t h e A c t a n d t h e S e c o n d S u p p l e m e n t a l I n d e n t u r e , a n d a d d i t i o n a l l y s e c u r e d b y t h e S a l e s T a x R e v e n u e s , a r e n o t s u b j e c t t o t h e l i m i t a t i o n s s e t f o r t h i n t h e S a l e s T a x A c t o r t h e O r d i n a n c e , i n c l u d i n g t h e $ 5 0 0 m i l l i o n l i m i t a t i o n i n t h e O r d i n a n c e o n t h e p r i n c i p a l a m o u n t o u t s t a n d i n g o f b o n d s s e c u r e d s o l e l y b y t h e S a l e s T a x R e v e n u e s ; a n d W H E R E A S , t h e C o m m i s s i o n h a s b e e n p r e s e n t e d w i t h p r o p o s e d f o r m s o f t h e I n d e n t u r e , t h e F i r s t S u p p l e m e n t a l I n d e n t u r e , t h e S e c o n d S u p p l e m e n t a l I n d e n t u r e , t h e D e s i g n - B u i l d A g r e e m e n t a n d t h e C o o p e r a t i v e A g r e e m e n t r e l a t i n g t o t h e f i n a n c i n g d e s c r i b e d h e r e i n ( t h e " F i n a n c i n g " ) , a n d t h e C o m m i s s i o n h a s e x a m i n e d a n d a p p r o v e d e a c h d o c u m e n t a n d d e s i r e s t o a u t h o r i z e a n d d i r e c t t h e e x e c u t i o n o f s u c h d o c u m e n t s a s a r e s p e c i f i e d h e r e i n a n d s u c h o t h e r d o c u m e n t s a s a r e n e c e s s a r y i n c o n n e c t i o n w i t h t h e F i n a n c i n g a n d t o a u t h o r i z e a n d d i r e c t t h e c o n s u m m a t i o n o f t h e F i n a n c i n g ; N O W T H E R E F O R E , T H E R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N R E S O L V E S : S e c t i o n 1 . T h e C o m m i s s i o n f i n d s a n d d e t e r m i n e s t h a t t h e f o r e g o i n g r e c i t a l s a r e t r u e a n d c o r r e c t a n d m a k e s t h e m a n e f f e c t i v e p a r t o f t h i s R e s o l u t i o n b y i n c o r p o r a t i n g t h e m h e r e i n b y r e f e r e n c e . S e c t i o n 2 . T h e i s s u a n c e b y t h e C o m m i s s i o n o f n o t t o e x c e e d $ 9 0 0 , 0 0 0 , 0 0 0 a g g r e g a t e p r i n c i p a l a m o u n t o f R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n T o l l R e v e n u e B o n d s , S e r i e s 2 0 1 0 , s u b s e q u e n t t o t h e e f f e c t i v e n e s s o f t h e A m e n d m e n t , i n a c c o r d a n c e w i t h t h e p r o v i s i o n s s e t f o r t h i n t h e I n d e n t u r e , t h e F i r s t S u p p l e m e n t a l I n d e n t u r e a n d t h e S e c o n d S u p p l e m e n t a l I n d e n t u r e , i n t w o o r m o r e s e r i e s o r s u b s e r i e s , i s h e r e b y a u t h o r i z e d a n d a p p r o v e d s u b j e c t t o t h e p r e p a r a t i o n a n d a p p r o v a l o f a l l n e c e s s a r y d o c u m e n t a t i o n r e q u i r e d t o l a w f u l l y o f f e r t h e T o l l R e v e n u e B o n d s t o i n v e s t o r s p u r s u a n t t o a s u b s e q u e n t r e s o l u t i o n o f t h e C o m m i s s i o n . S e c t i o n 3 . T h e p r o p o s e d f o r m s o f I n d e n t u r e , F i r s t S u p p l e m e n t a l I n d e n t u r e a n d S e c o n d S u p p l e m e n t a l I n d e n t u r e p r e s e n t e d t o t h i s m e e t i n g a n d t h e t e r m s a n d c o n d i t i o n s t h e r e o f O H S W e s t . 2 6 0 9 2 7 5 0 8 . 5 - 5 - 3 5 7 are hereby approved. The structure, date, maturity date or dates (not to exceed 50 years following the date on which the Toll Road is opened for public use), fixed or variable interest rate or rates (such rates not to exceed a maximum of 12% per annum, except that the interest rate on any Bonds purchased by a liquidity provider and held pursuant to the terms of a liquidity. facility shall not exceed 18% per annum) or methods of determining the same, interest payment dates, forms, registration privileges, place or places of payment, terms of redemption, tender, mandatory purchase, additional series designation and number thereof and other terms of the Bonds shall be (subject to the foregoing limitations) as provided in the Indenture, the First Supplemental Indenture and the Second Supplemental Indenture as finally executed and delivered. The Executive Director of the Commission (the "Executive Director") is hereby authorized and directed, for and in the name and on behalf of the Commission, to execute and deliver the Indenture, the First Supplemental Indenture and the Second Supplemental Indenture, in substantially said forms, with such changes therein, including without limitation changes necessary to issue the Bonds as variable rate bonds or to designate one or more series of the Bonds as Build America Bonds, as the officer executing the same may require or approve, such approval to be conclusively evidenced by the execution and delivery thereof. Section 4. The proposed form of the Design -Build Agreement presented to this meeting and the terms and conditions thereof are hereby approved. The Executive Director is hereby authorized and directed, for and in the name and on behalf of the Commission, to execute and deliver the Design -Build Agreement, in substantially said form, with such changes therein as the officer executing the same may require or approve, such approval to be conclusively evidenced by the execution and delivery thereof. The Executive Director is hereby further authorized to submit requests for proposals and to negotiate and enter into contracts for goods and services, including, without limitation, contracts for engineering and planning services and contracts for financial services, which relate to the Riverside SR-91 Corridor Improvement Project and employ the design -build method of procurement pursuant to the Design -Build Agreement. Section 5. The proposed form of the Cooperative Agreement presented to this meeting and the terms and conditions thereof, including, without limitation, the terms and conditions thereof which effect the Amendment, are hereby approved. The Executive Director is hereby authorized and directed, for and in the name and on behalf of the Commission, to execute and deliver the Cooperative Agreement, in substantially said form, with such changes therein as the officer executing the same may require or approve, such approval to be conclusively evidenced by the execution and delivery thereof. Subject to the effectiveness of the Amendment and the acceptance and approval by an additional resolution of the Commission of documentation necessary for the sale of the Toll Revenue Bonds, and following completion of appropriate financial, regulatory or environmental review, including review under CEQA and other applicable environmental laws, and the Commission's approval of the Riverside SR-91 Corridor Improvement Project, the Executive Director is hereby further authorized to submit requests for proposals and to negotiate and enter into contracts for goods and services, including, without limitation, contracts for engineering and planning services and contracts for financial services, which relate to the Riverside SR-91 Corridor Improvement Project and employ the design -build method of procurement pursuant to the Cooperative Agreement. OHS West 260927508.5 -6- • • • 358 " " S e c t i o n 6 . N o t w i t h s t a n d i n g t h e C o m m i s s i o n ' s a p p r o v a l o f t h e p r o p o s e d f o r m o f t h e a b o v e - d e s c r i b e d a g r e e m e n t s , n o t h i n g i n t h i s R e s o l u t i o n s h a l l c o n s t i t u t e a n a p p r o v a l b y t h e C o m m i s s i o n o f t h e R i v e r s i d e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t i t s e l f , o r l i m i t o r p r e c l u d e t h e C o m m i s s i o n ' s a b i l i t y a n d r i g h t t o r e v i s i t o r s e e k r e n e g o t i a t i o n o f t h e f o r m o f t h e a b o v e - d e s c r i b e d a g r e e m e n t s i n r e s p o n s e t o e n v i r o n m e n t a l a n a l y s i s , p u b l i c c o m m e n t s , o r o t h e r i n f o r m a t i o n p r o v i d e d d u r i n g t h e C E Q A r e v i e w p r o c e s s f o r t h e R i v e r s i d e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t . M o r e o v e r , t h e C o m m i s s i o n e x p r e s s l y r e s e r v e s t h e r i g h t s t o ( i ) c o n s i d e r a n d a d o p t a l l f e a s i b l e m i t i g a t i o n m e a s u r e s f o r t h e R i v e r s i d e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t ' s p o t e n t i a l l y s i g n i f i c a n t i m p a c t s , i f a n y , ( i i ) c o n s i d e r a n d a d o p t f e a s i b l e a l t e r n a t i v e s t o t h e R i v e r s i d e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t , o r ( i i i ) d i s a p p r o v e t h e R i v e r s i d e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t b y a d o p t i n g t h e n o - p r o j e c t / n o - a c t i o n a l t e r n a t i v e . T h e C o m m i s s i o n f u r t h e r f i n d s t h a t t h e a c t i o n s a u t h o r i z e d t h r o u g h t h i s R e s o l u t i o n a r e f o r t h e p u r p o s e s o f a l l o w i n g b e t t e r c o o r d i n a t i o n a n d f u l l e r c o n s u l t a t i o n b e t w e e n i n t e r e s t e d p u b l i c a g e n c i e s a n d c o m p l e t i n g d e s i g n p l a n s a n d o t h e r s t u d i e s i n o r d e r t o p r o v i d e " m e a n i n g f u l i n f o r m a t i o n f o r e n v i r o n m e n t a l a s s e s s m e n t , " b o t h o f w h i c h a r e r e q u i r e d b y C E Q A . ( E . g . , 1 4 C a l . C o d e R e g s . , � � 1 5 0 0 4 , 1 5 0 6 0 . 5 ( b ) , 1 5 0 6 3 ( g ) . ) T h e r e f o r e , w h i l e t h e C o m m i s s i o n h e r e i n a p p r o v e s o f t h e D e s i g n - B u i l d f o r m o f d e l i v e r y f o r t h e i n i t i a l p h a s e o f t h e R i v e r s i d e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t , t h e C o m m i s s i o n f i n d s t h a t t h i s R e s o l u t i o n d o e s n o t a p p r o v e a n y " p r o j e c t " w i t h i n t h e m e a n i n g o f C E Q A , b e c a u s e i t d o e s n o t a u t h o r i z e o r a p p r o v e " a d e f i n i t e c o u r s e o f a c t i o n i n r e g a r d t o a p r o j e c t i n t e n d e d t o b e c a r r i e d o u t " n o r d o e s i t a u t h o r i z e o r a p p r o v e a n a c t i o n " w h i c h h a s a p o t e n t i a l f o r r e s u l t i n g i n e i t h e r a d i r e c t p h y s i c a l c h a n g e i n t h e e n v i r o n m e n t , o r a r e a s o n a b l y f o r e s e e a b l e i n d i r e c t i m p a c t o n t h e e n v i r o n m e n t " ( 1 4 C a l . C o d e R e g s . , � � 1 5 3 5 2 , 1 5 3 7 8 . ) U l t i m a t e l y , t h i s R e s o l u t i o n a u t h o r i z e s o n l y p o t e n t i a l f u t u r e f u n d i n g , t h e s t u d y o f t h e R i v e r s i d e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t ' s f e a s i b i l i t y , a n d t h e p l a n n i n g a n d d e s i g n o f t h e p o t e n t i a l R i v e r s i d e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t , s u c h t h a t m e a n i n g f u l e n v i r o n m e n t a l r e v i e w m a y b e c o m p l e t e d . A c c o r d i n g l y , t h e a c t i o n s a p p r o v e d v i a t h i s R e s o l u t i o n a r e m e r e l y " f e a s i b i l i t y o r p l a n n i n g s t u d i e s f o r p o s s i b l e f u t u r e a c t i o n s w h i c h t h e [ C o m m i s s i o n ] h a s n o t a p p r o v e d , a d o p t e d , o r f u n d e d , " a n d t h u s t h e s e a c t i o n s a r e s t a t u t o r i l y e x e m p t u n d e r t h e " F e a s i b l e a n d P l a n n i n g E x e m p t i o n " . ( P u b . R e s . C o d e , � 1 5 2 6 2 . ) S e c t i o n 7 . A l l a p p r o v a l s , c o n s e n t s , d i r e c t i o n s , n o t i c e s , o r d e r s , r e q u e s t s a n d o t h e r a c t i o n s p e r m i t t e d o r r e q u i r e d b y a n y o f t h e d o c u m e n t s a u t h o r i z e d b y t h i s R e s o l u t i o n , t h e B o n d s , t h e C 1 P P l a n , t h e D e s i g n - B u i l d A g r e e m e n t a n d t h e C o o p e r a t i v e A g r e e m e n t , w h e t h e r b e f o r e o r a f t e r t h e i s s u a n c e o f t h e B o n d s , i n c l u d i n g , w i t h o u t l i m i t a t i o n , a n y a m e n d m e n t o f a n y o f t h e d o c u m e n t s a u t h o r i z e d b y t h i s R e s o l u t i o n o r o t h e r a g r e e m e n t r e l a t e d t h e r e t o , a n d a n y o f t h e f o r e g o i n g t h a t m a y b e n e c e s s a r y o r d e s i r a b l e i n c o n n e c t i o n w i t h a n y r e s e r v e f a c i l i t y , a n y i n v e s t m e n t o f p r o c e e d s o f t h e B o n d s , o r i n c o n n e c t i o n w i t h t h e a d d i t i o n , s u b s t i t u t i o n o r r e p l a c e m e n t o f u n d e r w r i t e r s o r r e m a r k e t i n g a g e n t s , o r a n y a g r e e m e n t s w i t h p a y i n g a g e n t s , e s c r o w a g e n t s o r v e r i f i c a t i o n a g e n t s , t h e r e m o v a l o r r e p l a c e m e n t o f t h e T r u s t e e o r a n y s i m i l a r a c t i o n m a y b e g i v e n o r t a k e n b y a n A u t h o r i z e d R e p r e s e n t a t i v e ( a s s u c h t e r m i s d e f i n e d i n t h e I n d e n t u r e ) , w i t h o u t f u r t h e r a u t h o r i z a t i o n o r d i r e c t i o n b y t h e C o m m i s s i o n , a n d e a c h A u t h o r i z e d R e p r e s e n t a t i v e i s h e r e b y a u t h o r i z e d a n d d i r e c t e d t o g i v e a n y s u c h a p p r o v a l , c o n s e n t , d i r e c t i o n , n o t i c e , o r d e r , r e q u e s t , o r o t h e r a c t i o n a n d t o e x e c u t e s u c h d o c u m e n t s a n d t a k e a n y s u c h a c t i o n w h i c h s u c h A u t h o r i z e d R e p r e s e n t a t i v e m a y d e e m n e c e s s a r y o r d e s i r a b l e t o f u r t h e r t h e p u r p o s e s o f t h i s R e s o l u t i o n . S e c t i o n 8 . A l l a c t i o n s h e r e t o f o r e t a k e n b y t h e o f f i c e r s a n d a g e n t s o f t h e C o m m i s s i o n w i t h r e s p e c t t o t h e F i n a n c i n g a n d t h e i s s u a n c e a n d s a l e o f t h e B o n d s a r e h e r e b y r a t i f i e d , O H S W e s t 2 6 0 9 2 7 5 0 8 . 5 - 7 - 3 5 9 confirmed and approved. If at the time of execution of any of the documents authorized herein, the Executive Director is unavailable, such documents may be executed by the Deputy Executive Director of the Commission or the Chief Financial Officer of the Commission in lieu of the Executive Director. The Clerk of the Board of the Commission is hereby authorized to attest to the execution by the Executive Director or the Deputy Executive Director of the Commission or the Chief Financial Officer of the Commission of any of such documents as said officers deem appropriate. The proper officers and agents of the Commission are hereby authorized and directed, jointly and severally, for and in the name and on behalf of the Commission, to do any and all things and to take any and all actions and to execute and deliver any and all agreements, certificates and documents, including, without limitation, any tax certificates or agreements, any agreements for depository or verification services, and any agreements for rebate compliance services, which they, or any of them, may deem necessary or advisable in order to consummate the Financing and the issuance and sale of the Bonds and otherwise to carry out, give effect to and comply with the terms and intent of this Resolution, the Bonds and the documents approved hereby. Section 9. The Commission directs Commission staff to prepare and have filed and posted with the Clerk of the Board of the Commission and the Clerk of the Orange County Transportation Authority a CEQA Notice of Exemption within five (5) working days of the approval of this Resolution. Section 10. The custodian of record for this action shall be Clerk of the Board of the Commission at the Riverside County Transportation Commission, 4080 Lemon Street, 3rd Floor, Riverside, CA. OHS West :260927508.5 -8- • • 360 " S e c t i o n 1 1 . T h i s R e s o l u t i o n s h a l l t a k e e f f e c t i m m e d i a t e l y u p o n i t s a d o p t i o n a n d a p p r o v a l . A P P R O V E D A N D A D O P T E D b y t h e R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n a t . i t s m e e t i n g o n J u l y 1 4 , 2 0 1 0 . A T T E S T : B y : C l e r k o f t h e B o a r d o f t h e C o m m i s s i o n O H S W e s t 2 6 0 9 2 7 5 0 8 5 B y : C h a i r m a n , B o a r d o f C o m m i s s i o n e r s - 9 - 3 6 1 CERTIFICATE OF THE CLERK OF THE BOARD OF THE RIVERSIDE COUNTY TRANSPORTATION COMMISSION I, Jennifer Harmon, Clerk of the Board of the Riverside County Transportation Commission (the "Commission'), hereby certify that the foregoing is a full, true and correct copy of a resolution duly adopted at a meeting of the governing board of said Commission duly and regularly held in Riverside, California, on July 14, 2010, of which meeting all of the members of said Commission had due notice. I further certify that I have carefully compared the foregoing copy with the original minutes of said meeting on file and of record in my office; that said copy is a full, true and correct copy of the original resolution adopted at said meeting and entered in said minutes; and that said resolution has not been amended, modified, rescinded or revoked in any manner since the date of its adoption, and the same is now in full force and effect. I further certify that an agenda of said meeting was posted at least 72 hours before said meeting at a location in Riverside, California, freely accessible to the public and a brief general description of the resolution to be adopted at said meeting appeared on said agenda. IN WITNESS WHEREOF, I have executed this certificate hereto as of this date, , 2010. OHS West 2609275085 By Clerk -10- • 362 ATTACHMENT 2 District Agreement 08-1468 08-RIV-91-0.0/13.04 12-ORA-91-R 14.43/R 18.91 08-RIV-15-35.64/45.14 EA: 0E540 RCTC Agenda Copy July 7, 2010 COOPERATIVE AGREEMENT FOR DESIGN -BUILD OF THE STATE ROUTE 91 TOLL FACILITIES AND CORRIDOR IMPROVEMENT PROJECT This AGREEMENT, entered into effective on , 2010, is between the STATE OF CALIFORNIA, acting by and through its Department of Transportation, referred to herein as "STA FL," and the R V PU B\HS HANE\772587.3 RIVERSIDE COUNTY TRANSPORTATION COMMISSION, referred to herein as "COMMISSION" 363 District Agreement No. 08-1468 RECITALS 1. STATE and COMMISSION (PARTIES), pursuant to Streets and Highways Code. section 114 and 130, are authorized to enter into a Cooperative Agreement for potential improvements to the State Highways System (SHS) within the County of Riverside. 2. STATE and COMMISSION are public agencies authorized under sections 90, 100.1, 116 and 143 of the Streets and Highways Code; sections 130050, 130058, 130240, et. seq. and 240202 of the Public Utilities Code as well as section 6800 et. seq. of the Public Contracts Code to take steps to relieve congestion on California transportation systems, including the State Route 91 corridor in the County of Riverside, through Design -Build delivery for specified facilities approved by California Transportation Commission (CTC) in April 7, 2010. 3. PROJECT to be covered under this Agreement is intended to include one or more of the improvements shown in Exhibit A, which exhibit shows the entire scope of the 91 Toll Facilities and Corridor Improvement Project approved by the CTC for use of Design -Build. STATE and COMMISSION acknowledge that a "no project' alternative will also be studied as part of future environmental review and may, depending on the circumstances, be selected as the preferred alternative. 4. The final description of the PROJECT to be covered hereunder shall be included following completion of all required environmental review under both the California Environmental Quality Act ("CEQA") and the National Environmental Policy Act ("NEPA"), and selection by COMMISSION of the Design -Build contractor. At such time, the PARTIES shall attach, as Exhibit B to this Agreement, the final description of the PROJECT. Nothing in this Agreement is intended to commit COMMISSION to completing the PROJECT, as identified in Exhibit "A", or any other improvements specified in Exhibit "A". Instead, this Agreement is intended to recite the financial obligations and other responsibilities of the respective parties in the event that a proposed PROJECT is approved. Check on this clause with HQ legal. 5. STATE and COMMISSION agree that COMMISSION will procure and administer contract(s) for project management, planning, design, right-of-way, financing, construction management and other related services, guidelines, and a Design -Build contract. 6. COMMISSION, as part of its role in planning and developing regional transportation facilities and in order to bring about the earliest completion of studies, design, and potential construction of the PROJECT, has determined that PROJECT may be implemented using a Design -Build approach in accordance with some or all of section 130240 et seq. of the Public Utilities Code; section 143 of the Streets and Highways R V P U B1 H S H A N E1772587.3 2 364 District Agreement No. 08-1468 Code, as well as section 6800, et seq. of the Public Contracts Code. The implementation of Design -Build delivery for PROJECT was approved by the CTC. 7. The approved CTC application for the PROJECT specifies that the entire financing. structure and timeline for PROJECT delivery set forth in the CTC application is based on use of the Design -Build method of procurement. The Design -Build procurement method is identified as a key component of making the PROJECT viable from a financial perspective by providing for schedule acceleration, innovation, risk transfer, cost certainty and other benefits. Based on the approved CTC application, STATE and COMMISSION agree that Design -Build is the method of procurement to be used for implementation of the PROJECT. 8. PROJECT is included in the class of those projects identified by (i) section 6800, subd. (c) of the Public Contracts Code and by section 130240, et seq. of the Public Utilities Code.; and (ii) section 143 of the Streets and Highways Code. 9. STATE and COMMISSION desire to implement a collaborative approach for the development of PROJECT, using the resources of both agencies to expedite the process. 10. STATE and COMMISSION desire to provide efficient and cost-effective implementation of PROJECT, and will mutually establish PROJECT timelines and schedules related to review and concurrence with and/or approval of PROJECT submittals and documents by STATE. Such timelines, schedules, submittal requirements and standards for review by STATE will be reflected in the Contract Documents. STATE, in carrying out its role under this Agreement, agrees, as further set forth herein, that it will be required to provide its review, comments, concurrence and/or approval of PROJECT submittals and documents in a timely manner, in accordance with agreed upon PROJECT timelines and schedules. 11. It is the intent of the PARTIES that COMMISSION and its agents shall be the only parties hereunder entitled to direct the work of the Design -Build contractor. 12. The terms of this Agreement shall supersede any inconsistent terms of any prior Memorandum of Understanding (MOU) or agreement relating to the PROJECT. 13. STATE and COMMISSION intend to define herein the terms and conditions under which PROJECT is to be developed, designed, and constructed. 14. STATE and COMMISSION agree and understand that, upon completion of the PROJECT, COMMISSION shall, for a period of fifty (50) years, maintain and operate the Toll Facilities portion of the PROJECT subject to the terms and conditions contained under a separate agreement to be entered into between the PARTIES. R V PUB1H SHA N E772587.3 3 • • 365 District Agreement No. 08-1468 15. STATE and COMMISSION agree and understand that, upon acceptance of the PROJECT facilities by STATE such facilities shall become part of the SHS and the Non -Toll PROJECT Facilities shall be operated and maintained by STATE. 16. COMMISSION agrees to be responsible for one hundred (100%) percent of all PROJECT construction capital and support costs, excluding STATE Oversight, as shall be shown on Exhibit F which, once finalized by the PARTIES, shall be attached hereto and made a part of this Agreement. If it becomes necessary for an increase in PROJECT funding, said increase will be paid in full by COMMISSION. DEFINITIONS For the purposes of this Agreement, the following terns shall have the meanings hereinafter provided: 1. COMPLETION OF WORK — The PARTIES have met all scope, cost, and schedule commitments included in this Agreement and have signed a COOPERATIVE AGREEMENT CLOSURE STATEMENT. 2. COOPERATIVE AGREEMENT CLOSURE STATEMENT - A document attached hereto as Exhibit E, signed by the PARTIES that verifies the completion of all scope, cost, and schedule commitments included in this Agreement 3. CONTRACT DOCUMENTS — As used herein, the term "Contract Documents" shall mean and refer to the PROJECT Request for Proposals (RFP) for the Design -Build contractor including, but not limited to, all technical provisions and conditions and the PROJECT Quality Assurance/Quality Control (QA/QC) Program; the Design -Build contract; and pertinent reference materials incorporated into either of the foregoing. 4. DESIGN -BUILD - As used herein, the term "Design -Build" shall mean and refer to a project delivery process in which both the final design and construction of a project are procured from a single entity. 5. HM-1 — Hazardous material (including, but not limited to, hazardous waste) that may require removal and disposal pursuant to federal or state law whether it is disturbed by PROJECT or not. HM-2 — Hazardous material (including, but not limited to, hazardous waste) that may require removal and disposal pursuant to federal or state law only if disturbed by PROJECT. 7. NON -TOLL PROJECT FACILITIES — As used herein, the term "Non -Toll" or "Non -Toll PRO.IECT Facilities" shall mean and refer to the State Route 91 general R VPUBIHSHANEV 72587.3 4 366 District Agreement No. 08-1468 purpose lane improvements and any PROJECT related corridor improvements not part of the Toll Facilities, as shall be further specified in Exhibit C. 8. PROJECT — As used herein, the term "PROJECT" shall mean and refer to the. PROJECT to be covered under this Agreement, as shall be further specified in Exhibit «B,> 9. PROJECT QA/QC PROGRAM - As used herein, the term "PROJECT QA/QC Program" shall mean and refer to the program for PROJECT QA/QC to be reviewed and approved by STATE, as further specified in this Agreement, and, as to elements to be performed by the Design -Build contractor, to be incorporated into the Contract Documents. 10. STATE OVERSIGHT— As used herein, the term "STATE Oversight" shall mean and refer to oversight to be performed by STATE to satisfy itself that the STATE Standards and requirements, as modified in the Contract Documents, and FHWA's requirements are being met and that the PROJECT QA/QC Program is being implemented by COMMISSION. STATE Oversight does not include any work necessary to actually develop or deliver the PROJECT or any validation by verifying or rechecking work performed by STATE. It is understood and agreed any STATE Oversight is for the benefit of STATE only and shall not constitute acceptance, approval or ratification of any work or process. The Parties shall further define the roles of STATE and COMMISSION related to quality assurance activities pursuant to a separate memorandum of understanding to be entered into by the parties. I I. STATE -FURNISHED MATERIALS — As used herein, the term "SFM" shall mean and refer to material for the PROJECT to be provided by STATE, at COMMISSION'S request, for which COMMISSION will reimburse STATE. 12. STATE STANDARDS — As used herein, the term "STATE Standards" shall mean and refer to the State standard plans, specifications and manuals in effect as of the date of issuance of the Request for Proposals for the Design -Build contractor. 13. TOLL FACILITIES — As used herein, the term "Toll Facilities" shall mean and refer to the two lanes high occupancy Toll Facilities that COMMISSION intends to design, construct and maintain on the existing SHS, as shall be further specified in Exhibit B. R V PU BWI S N A N E17 72587.3 5 367 District Agreement No. 08-1468 13. REIMBURSED WORK - Work that both PARTIES agree in writing will be performed by STATE and reimbursed by COMMISSION. The PARTIES will agree in writing on the STATE activities and services that shall constitute "Reimbursed Work" and shall attach such written agreement hereto as Exhibit D. SECTION I COMMISSION AGREES: I. COMMISSION agrees to be responsible for one hundred (100%) percent of all PROJECT construction capital and support costs, including, but not limited to, SFM and source inspection costs, except for costs of STATE Oversight as shown on Exhibit F, attached hereto and made a part of this Agreement. If it becomes necessary for an increase in PROJECT funding, said increase will be paid in full by COMMISSION. 2. That all of the COMMISSION and STATE obligations set forth in this entire Agreement with respect to the construction and/or implementation of the PROJECT are expressly contingent upon the completion of all required environmental review under both CEQA and NEPA and the approval of the proposed PROJECT. In the event that the "no project" alternative is selected as a result of the environmental review process, except as otherwise specified in this Agreement, all COMMISSION and STATE obligations under this Agreement shall terminate. STATE shall be compensated for all Reimbursed Work performed for PROJECT as of the effective date of this Agreement. COMMISSION may perform Design -Build procurement work at COMMISSION's risk and cost prior to selection of a preferred alternative under CEQA and NEPA and approval of the proposed PROJECT. 3. Pursuant to the CTC approval for PROJECT, to utilize the Design -Build method of procurement for implementation of PROJECT. To carry out PROJECT with COMMISSION forces, consultants, and contractors. PROJECT is to be implemented in accordance with the Final Environmental Impact Statement (EIS)/Environmental Impact Report (EIR) and supporting environmental documentation, and all applicable federal, State, and local laws, rules, and regulations including, but not limited to, compliance with applicable Federal Highway Administration (FHWA) requirements. COMMISSION will implement PROJECT in accordance with STATE Standards, except as the same may be modified in the Contract Documents. COMMISSION will coordinate with STATE during development of the Contract Documents, arid -STATE shall be afforded the opportunity to review, comment and approve the Contract Documents in accordance with the terms of this Agreement. 4. That, as of the date first specified above, STATE will participate in the selection of COMMISSION's consultants and contractors who will perform PROJECT. STATE recognizes that COMMISSION has, prior to the effective date of this Agreement, R V PHn\HSHAN D772587.3 6 368 District Agreement No. 08-1468 selected and retained certain consultants to work on PROJECT. COMMISSION agrees to consider any request by STATE to discontinue the services of any personnel considered by STATE to be unqualified based on credentials, professional expertise, or failure to perform in accordance with scope of work and/or other pertinent criteria. 5. COMMISSION shall have the right to review and approve any STATE employees or consultants who will perform Reimbursed Work on PROJECT on behalf of STATE. COMMISSION shall be provided with information regarding the credentials, professional expertise and availability of such STATE employees or consultants. STATE shall not substitute any COMMISSION approved STATE employees or consultants assigned to PROJECT without prior notice to COMMISSION and approval by COMMISSION of the substitute STATE employee or consultant personnel. 6. As the ultimate owner of the facility, STATE will be named as the intended third party PROJECT beneficiary in the Design -Build contract. The Design -Build contract, will include a provision granting STATE, in addition to COMMISSION, the right to pursue all legal remedies against the contractor for any "latent deficiency" pursuant to California Code of Civil Procedure section 337.15 (b), notwithstanding the terms of Section 7-1.17 of STATE Standard Specifications. 7. To require the Design -Build contractor to maintain professional liability insurance through completion of construction of PROJECT and the resolution of all construction contract claims, with a limit of liability of at least $4,000,000 per occurrence. If Owner Control Insurance Program (OCIP) is proposed, to have a OCIP Feasibility Study, prepared to commercially accepted insurance standards, for approval by STATE. COMMISSION'S Design -Build contractor shall maintain in force, until completion and acceptance of the Design -Build contract for PROJECT, a policy of Contractual Liability Insurance, including coverage of Bodily Injury Liability and Property Damage Liability, with coverage that at a minimum meets the requirements of Section 7-1.12 of STATE Standard Specifications. Such policy shall contain an endorsement naming the State of California, its officers, agents, and employees as additional first -party insured parties. Coverage shall be evidenced by a Certificate of Insurance in a form satisfactory to STATE which shall be delivered to STATE before the issuance of an encroachment permit to COMMISSION'S Design -Build contractor or any other consultant or agent of COMMISSION. 8. COMMISSION shall be responsible for the preparation and implementation of the Mitigation and Monitoring Plan to be approved by STATE as part of the Final EIS/EIR and environmental permit, agreement, or approval process. COMMISSION, its consultant or Design -Build contractor shall submit progress reports, per STATE and Federal Highway Administration (FHWA) guidelines, to STATE for review and approval. As set forth in the Final EIS/E1R, and although STATE is the lead agency with respect to environmental documentation, COMMISSION agrees and warrants it shall comply, or cause its Design -Build contractor to comply, with all PROJECT mitigation measures, including the terms and conditions of the environmental R VPUB\HSHAN E\772587.3 7 369 District Agreement No. 08-1468 documentation and any required environmental permits, agreements and approvals as those terms and conditions apply to STATE's and COMMISSION's responsibilities as set forth in this Agreement and shall provide and certify a Mitigation Monitoring Report and Certificate of Environmental Compliance at the completion of the . PROJECT. 9. To prepare and submit to STATE a Project Management Plan (PMP) for STATE concurrence and FHWA's approval within ninety (90) days of the NEPA Record of Decision (ROD). The PMP shall be prepared in accordance with FHWA guidelines. This PMP will include, but not be limited to, procedures for establishing and maintaining lines of authority, coordination and communication, schedule and cost control, reporting, document control and record keeping, tracking milestone deliverables, safety, public communications, quality control and quality assurance. The PMP shall comply with all reporting and control criteria of funding sources used for PROJECT, and any applicable requirements in the Public Contract Code, Public Utilities Code, and other statutes relating to use of Design -Build as a contract process. 10. To prepare and submit to STA 1'E a Project Financial Plan (FP) for STATE concurrence and FHWA's approval prior to award of the Design -Build procurement contract. The FP shall be prepared in accordance with FHWA guidelines. COMMISSION shall submit annual updates of the FP as required by federal law. 11. A High Profile Agreement needs to be executed prior to the execution of this Agreement. 12. To pay one hundred percent (100%) of the actual costs required for satisfactory completion of PROJECT, excluding STATE Oversight costs. 13. To retain all books, documents, papers, accounting records, and other evidence pertaining to costs incurred by COMMISSION, including support data for cost proposals (to the extent received from contractors), and make such materials available at the respective offices of COMMISSION and its consultants and contractors at all reasonable times during the contract period and for three years from the date of Completion of Work or Federal Final Voucher, whichever is later. STATE or FHWA shall have access to any books, records, and documents of COMMISSION that are pertinent to this Agreement for audits, examinations, excerpts, and transactions, and copies thereof shall be furnished if requested. Upon completion of all work under this Agreement, ownership and title to all planning and engineering reports, documents, plans, specifications and estimates, including but not limited to Resident Engineer memos and estimates backups, produced for delivery to STATE as part of PROJECT will automatically be vested in STATE and no further agreement will be necessary to transfer ownership to STATE. 14. To furnish STATE, prior to commencing work on Design -Build activities, a proposed time schedule to complete PROJECT. R VPUBIHSHANE1772587.3 8 370 District Agreement No. 08-1468 15. To have the Release for Construction (RFC) design documents and drawings of structural, mechanical, electrical, civil, architectural, or other engineering features of PROJECT prepared by or under the direction of engineers or architects registered and licensed accordance with the most current version of the State of California,. Professional Engineers Act at the time. Any reports, specifications, and each sheet of plans shall bear the professional seal, certificate number, registration classification, expiration date of certificate, and signature of the professional engineer responsible for their preparation. 16. COMMISSION shall not specify any materials or equipment of single or sole source origin in the design of PROJECT without the prior written approval of STATE. STATE's approval of the Contract Documents shall evidence STATE's written approval as required herein. 17. To ensure that PROJECT deliverables are subject to quality control and quality assurance procedures as approved by STATE Standards, except as the same may be modified in the Contract Documents and the PROJECT QA/QC Program. COMMISSION or its Project Management Consultant shall review and approve PROJECT design submittals. All PROJECT design submittals shall be concurrently provided to STATE for review and/or approval. All RFC design documents and drawings are subject to review and approval by STATE, provided that STATE shall complete its review and provide any comments in accordance with the requirements specified in Section II, of this Agreement. 18. To notify STATE of any deviation(s) to the PROJECT's Area of Potential Effects (APE) and/or description of the PROJECT as set forth in the Final EIS/EIR or Project Report. Said notification shall occur within two business days of when the deviation(s) has been discovered by COMMISSION or determined to be necessary, whichever occurs first in time. 19. To prepare or cause to be prepared any additional environmental documentation, including applications for new, or amendments to, environmental permits, agreements and approvals that are needed to maintain PROJECT environmental compliance and to submit said documentation to STATE for review, comment and approval. Further, if changes to PROJECT warrant preparation of a Supplemental or Subsequent EIS/EIR, COMMISSION will prepare or cause to be prepared the Supplemental or Subsequent EIS/EIR and STATE as CEQA and NEPA lead agency will review and approve the Supplemental or Subsequent EIS/EIR. All noticing and circulation and other procedural responsibilities will be carried out as set forth for the "original EIS/EIR in Agreement 8-1375. 20. To perform all right of way acquisition activities, including eminent domain, if necessary, as a cost to PROJECT, in compliance with applicable state and federal laws and regulations and STATE Standards subject to STATE oversight under this Agreement, to ensure that the acquired properties are acceptable for incorporation into R V PU B1 H S I1 A N D7 72587.3 9 371 District Agreement No. 08-1468 the SHS right of way. Exceptions to STATE's Right of Way Manuals, Policies, and Procedures needed to address the Design -Build process will be subject to approval in writing by STATE. Incorporation of such exceptions into the Contract Documents shall satisfy the foregoing requirement. 21. To perform, with participation of STATE, first and, if necessary, second level Condemnation Panel Reviews similar to the existing STATE process for right of way acquisition, prior to seeking a Resolution of Necessity for eminent domain, as such process may be modified pursuant to the Contract Documents. COMMISSION will hear Resolutions of Necessity. Prior to service of any notice of Intent, COMMISSION will seek approval to hear Resolutions of Necessity for the PROJECT per STATE Right of Way Manual requirements. 22. To transfer title to properties to be incorporated into STATE's highway right of way in a manner acceptable to STATE and free and clear of all encumbrances except as approved by STATE. Acceptance of said title by STATE is subject to a prior review and approval of a Policy of Title Insurance issued in the name of the State of California. 23. To maintain and manage any excess land acquired as a result of PROJECT until disposed of by COMMISSION, unless such land was purchased with federal funds, in which case applicable federal rules shall govern the vesting and/or disposition of such property. Any excess land created from existing STATE operating right of way shall remain vested in STATE. 24. COMMISSION will provide a land surveyor licensed in the State of California to be responsible for surveying and right of way engineering. All survey and right of way engineering documents shall bear the professional seal, certification number, registration classification, expiration date of certificate, and signature of the responsible surveyor. 25. To perform, within SHS right of way, all pre -construction monumentation perpetuation and post -construction monumentation and the mapping/documentation thereof in conformance with STATE Standards, except where modified in the Contract Documents. This work includes, but is not limited to: • the recovery, reestablishment, and survey of points which control existing SHS right of way lines, or other pertinent boundary lines and centerlines, and the monumentation thereof; • the survey and establishment of existing SHS right of way lines and monumentation thereof; • the preservation of existing monumentation threatened by construction; R V PUBIHSHAN E1772587.3 10 372 District Agreement No. 08-1468 • the survey, establishment and monumentation of new SHS right of way lines and re-monumentation of points destroyed by construction because of PROJECT. 26. To identify and locate all high and low risk underground facilities within the area of. PROJECT and to protect or otherwise provide for such facilities, all in accordance with applicable law and the procedures set forth in STATE's policy on high and low risk underground facilities. 27. If existing public and/or private utilities conflict with construction of PROJECT, COMMISSION shall make all necessary arrangements with the owners of such facilities for their protection, relocation, or removal and shall inspect the protection, relocation, or removal of such facilities. COMMISSION shall require any utility owner performing the protection or relocation work within SHS right of way to obtain an encroachment permit from STATE prior to the performance of said work. Any relocated or new utilities shall be shown and identified on the as -built plans. 28. To comply with the requirements of existing STATE Utility Master Agreements of record. 29. To furnish evidence to STATE, in a form reasonably acceptable to STATE, that arrangements have been made for the protection, relocation, or removal of all conflicting facilities within SHS right of way and that such work will be either completed prior to the award of the Design -Build contract, or will be provided for in the Design -Build contract. 30. To be responsible for the investigation of potential hazardous material sites within and outside of the existing SHS right of way that would impact PROJECT as part of COMMISSION responsibility for the PROJECT Environmental Document. if COMMISSION encounters hazardous material or contamination or unanticipated protected cultural materials within the existing and proposed SHS right of way during said investigation or in the course of construction, COMMISSION shall immediately notify STATE and responsible control agencies of such discovery. 31. To procure the Design -Build contract for PROJECT in accordance with applicable laws, and in a manner consistent with the authorization for the PROJECT issued by the CTC, and the prevailing wage provisions of the California Labor Code. COMMISSION shall obtain applicable wage rates from the State Department of Industrial Relations and shall adhere to the applicable provisions of the State Labor Code. Violations shall be reported by COMMISSION to STATE and to the State Department of industrial Relations. 32. COMMISSION will utilize a qualified STATE -approved public agency or consultant in all right of way activities. Right of way consultant contracts will be administered by a qualified right of way person. RVPUB\HSHANE\772587.3 1I 373 District Agreement No. 08-1468 33. To apply for and obtain encroachment permits for required work within SHS right of way in accordance with STATE standard permit procedures. Contractors and/or agents will not perform work within SHS right of way without an encroachment permit issued in their name. To obtain all other permits and approvals, including local . agencies and regulatory agencies permits and approval documentation for construction of PROJECT. In the event that railroads are involved, COMMISSION will coordinate with the railroad and the California Public Utilities Commission to obtain needed approvals. Copies of all permits obtained for PROJECT shall be submitted to STATE. 34. That in recognition that PROJECT construction work done on STATE property will not be directly funded and paid by STATE, for the purpose of protecting stop notice claimants and the interests of STATE relative to the successful completion of PROJECT, COMMISSION shall require the Design -Build contractor to furnish both a payment and performance bond, issued by a California admitted surety naming COMMISSION as obligee with both bonds complying with the requirements of applicable laws and in the form provided in the Contract Documents, or other security approved in writing by STATE. COMMISSION shall defend, indemnify, and hold harmless STATE and all its officers and employees from all claims by stop notice claimants related to the construction of PROJECT under the payment bond or otherwise. 35. That all survey work shall conform to the methods, procedures, and requirements of STATE Surveys Manual and STATE Staking Information Booklet, except as the same may be modified in the Contract Documents. COMMISSION agrees to use primary horizontal and vertical survey control information provided by STATE in developing the survey control for PROJECT. 36. Material testing and quality control shall conform to those provisions of STATE Standards, except as the same may be modified in the Contract Documents, and shall be performed by a material -tester certified by STATE in accordance with its standard certification procedures. Independent assurance testing, specialty testing, approval of the type of asphalt and concrete plants shall be performed by STATE as part of STATE Oversight efforts, except as set forth in the Contract Documents. PROJECT shall be charged by STATE for source inspection performed by STATE as shall be specified in Exhibit D. 37. To submit for STATE approval, a draft Traffic Management Plan (TMP) for PROJECT, which shall comply with the STATE TMP guidelines. Final TMP will be prepared by the Design -Build contractor during PROJECT design. COMMISSION shall provide the final TMP to STATE for review and approval in accordance with the Contract Documents and PROJECT timelines and schedules. 38. To furnish, at PROJECT expense and subject to the approval of STATE, a Project Representative who is a licensed Civil Engineer in the State of California, to perform the functions of a Resident Engineer. The Resident Engineer shall not be an employee or agent of the Design -Build contractor or any related entity. R V PUBIHSHANE1772587.3 12 374 District Agreement No. 08-1468 39. At PROJECT expense, to furnish qualified support staff to assist the Resident Engineer with contract administration, and other inspection and staff services necessary to assure that construction is being performed in conformance with this. Agreement and with the Contract Documents. Said qualified support staff engaged in COMMISSION activities shall be independent of the Design -Build contractor and shall not be an employee or agent of any related entity. 40. To provide a Safety Engineer/Manager who will be responsible for auditing the Design -Build contractor for compliance with any PROJECT safety plans, Occupational Safety and Health Administration (OSHA) requirements and STATE, COMMISSION, and local jurisdiction requirements set forth in the Contract Documents. 41. Within one hundred eighty (180) days following Relief of Maintenance of PROJECT segment, to furnish STATE with a complete set of pre -approved design plans depicting the proposed construction of the project; a complete set of "As -Built" plans and all STA fh requested contract records, including survey documents, Records of Surveys, and structure As -Built documents according to the Contract Documents. The format of these plans, records and documents shall be in both printed and readily readable electronic format. 42. That COMMISSION will be responsible for maintenance and repair of the Toll Facilities _ and the Non -Toll PROJECT Facilities located within the designated PROJECT SHS right of way upon the issuance by STATE of an encroachment permit to the Design -Build contractor. COMMISSION shall be responsible for such maintenance and repair of the Non -Toll PROJECT Facilities until acceptance by STATE of the Non -Toll PROJECT Facilities, or portions thereof. Maintenance and repair of PROJECT facilities includes, but is not limited to, compliance with all legally required storm water provisions, landscaping and irrigation, pavement, signs, lighting, barriers, guardrail, graffiti abatement, weed abatement, removing debris, and general housekeeping. Major damage to PROJECT structures and roadway facilities by hazardous spills and causes beyond COMMISSION control, including but not limited to, any incidence of fire, flood, earthquake, or other acts of God will be addressed in the Design -Build contract, in accordance with Section 7-1.165 of STATE's Standard Specifications, as such specifications may be modified in the Contract Documents. 43. That COMMISSION will maintain any part of the PROJECT facilities located outside of the current SHS right of way until acceptance of any such part of the PROJECT facilities into the SHS by STATE. 44. That if COMMISSION terminates PROJECT prior to completion thereof, STATE may require COMMISSION, at COMMISSION expense, to return the affected SHS right of way to a condition of acceptable permanent operation. If COMMISSION fails to do so, STATE reserves the right to finish PROJECT facilities or place PROJECT R V PUBIHSHANE1772587.3 13 375 District Agreement No. 08-1468 facilities in a condition of satisfactory permanent operation. STATE will bill COMMISSION for all actual expenses incurred and COMMISSION agrees to pay said expenses within thirty (30) days of issuance of that invoice or STATE, acting through the State Controller or State Treasurer, may withhold an equal amount from future apportionments due COMMISSION from the Regional State Transportation Improvement Program (STIP) or any other sources. 45. If unanticipated cultural, archaeological, paleontological, biological, or other protected resources are encountered during construction of PROJECT, COMMISSION shall stop work in that area until a qualified professional evaluates the nature and significance of the find and a plan is approved for the removal or protection of that resource, which plan must be in accordance with applicable law. COMMISSION shall notify STATE within two (2) business days of any said discovery. The costs for any removal or protection shall be covered as a PROJECT cost. 46. Those STATE Oversight activities referred to in Section II of this Agreement do not include STATE's performance of Reimbursed Work. 47. COMMISION shall reimburse STATE for the cost of Reimbursed Work performed by STATE dedicated project personnel as shown in Exhibit D. 48. COMMISION shall provide STATE personnel dedicated to the PROJECT, acceptable office space, furniture, utilities and any other items necessary to perform their work at no expense to STATE for the duration of the project. 49. To notify STATE in writing of the projected date for achievement of PROJECT acceptance. 50. Except as otherwise specified in the Contract Documents, to require the Design -Build contractor to undertake all actions necessary to obtain PROJECT completion or portion thereof, including completion of Punch List items, within one hundred twenty (120) days after achievement of PROJECT acceptance or such other period as is set forth in the Contract Documents. i 51. Final completion and acceptance of PROJECT will include all necessary documentation and approvals from affected local agencies for those segments which will have maintenance and operational control relinquished back to said local agencies. 52. To accept maintenance of the Toll Facilities upon PROJECT substantial completion, as that term shall be defined in the Contract Documents. COMMISSION will accept control of and operate and maintain, at COMMISSION's sole cost and expense, the Toll Facilities lying within the SHS right of way. The terms and conditions for the operation and maintenance of the Toll Facilities will be covered in a separate agreement. R V PU 6\H SHANE\772587.3 14 376 District Agreement No. 08-1468 53. COMMISSION shall obtain all required permits for construction of PROJECT from railroad and resource agencies. 54. To submit a written request for any SFM identified in the PROJECT plans,. specifications, and estimates (PS&E) a minimum of forty-five (45) days in advance of the need for such materials. COMMISSION may take delivery of the SFM after STATE's receipt of COMMISSION's payment at the location directed by STATE. 55. To pay STATE, within thirty (30) days of receipt of STATE's billing, the actual cost invoiced for the requested SFM. 56. To pay STATE within thirty (30) days of receipt of STATE's detailed billing thereof the amount of said bill, which amount represents the estimated cost of source inspection. 57. To pay STATE, within thirty (30) days of receipt of STATE's billing, the actual cost invoiced for the Reimbursed Work as shall be shown in Exhibit D. 58. To submit a billing in the amount of $2,000,000, to STATE within (30) days upon award of construction contract to be funded from STATE's STIP/RIP funding sources. 59. To reimburse STATE for Reimbursed Work and source inspection up to a total not to exceed amount of Nine Million Dollars ($9,000,000). SECTION II STATE AGREES: 1. That all of COMMISSION and STATE obligations set forth in this entire Agreement with respect to the construction and/or implementation of the PROJECT are expressly contingent upon the completion of all required environmental review under both CEQA and NEPA and the approval of the proposed PROJECT. In the event that the "no project" alternative is selected as a result of the environmental review process, except as otherwise specified in this Agreement, all COMMISSION and STATE obligations under this Agreement shall terminate. 2. STATE and COMMISSION desire to implement a collaborative approachfor the development of PROJECT, using the resources of both agencies to expedite the process. 3. To provide STATE Oversight of PROJECT at no cost. 15 377 R V PUB\HSHAN E\772587.3 District Agreement No. 08-1468 4. To perform Reimbursed Work for activities as shall be agreed upon in writing by the PARTIES prior to commencement of such work, and as shall be attached hereto as Exhibit D. 5. To process, review and approve, as appropriate, complete submittals by COMMISSION. Incomplete submittals shall be promptly retumed without review but with explanation as to what is required to render such submittals "complete". STATE shall cooperate with COMMISSION and its consultants and contractors (including, without limitation, the Design -Build contractor) with development of PROJECT and shall provide comments, reviews and if appropriate, approvals within the time frames and in accordance with the standards of review specified in the Contract Documents and as agreed to in the quality assurance procedures contained in the Project QA/QC Program. Nothing in this section precludes the reasonable exercise of the professional discretion by STATE with respect to review and approvals in accordance with the terms of the Contract Documents, including the potential to refuse requested approvals under the terms of the Contract Documents. If STATE does not provide its comments, complete its reviews or provide any required approvals in accordance with the requirements of the Contract Documents, including the foregoing specified PROJECT timelines and schedules, the "issue resolution process" to be set forth under the Contract Document shall be immediately triggered. 6. To make available to COMMISSION all necessary regulations, policies, procedures, manuals, standard plans and specifications, and other standards required for the administration of PROJECT. 7. That STATE will participate in the selection and approval of COMMISSION's consultants and contractors who will perform PROJECT. STATE recognizes that COMMISSION has, prior to the effective date of this Agreement, selected and retained certain consultants to work on PROJECT. 8. That STATE shall, prior to permitting any employee or consultant of STATE for whom reimbursement will be sought from COMMISSION, provide to COMMISSION, for COMMISSION's review and approval, information regarding the credentials, professional expertise and availability of such employee or consultant. STATE agrees that it shall not substitute any COMMISSION approved STATE employee or consultant assigned to PROJECT without prior notice to COMMISSION and approval by COMMISSION of the substitute STATE employee or consultant personnel. 9. That STATE will participate in the development of and approve the` Technical requirements, including environmental requirements, of the Design -Build RFP before the release of those requirements to the public. 10. To issue, at no cost to COMMISSION, upon acceptable completed applications by COMMISSION and its consultants or Design -Build contractor, those necessary encroachment permits to authorize entry onto SHS right of way to perform activities R VPUB\HSHANE\7725873 16 378 District Agreement No. 08-1468 required for PROJECT, within thirty (30) days following receipt of an acceptable application. If COMMISSION uses consultants rather than its own staff to perform required work, those consultants will also be required to obtain an encroachment permit which will be issued at no cost upon proper application by the consultants. In. reviewing and issuing any necessary encroachment permits, STATE shall approve encroachment permits that are consistent with the Contract Documents which will have been approved by STATE. The generally -applicable requirement of evidence of insurance coverage by encroachment permitees, including the procurement of a certificate of insurance naming the State of California as an additional named insured, is not a "cost" within the meaning of this section and is expressly not waived as a condition of issuance of any encroachment permit. 11. To issue, at no cost to COMMISSION, or its Design -Build contractor within thirty (30) days after receipt by STATE of acceptable completed applications, any necessary Overload Permits that conform to then current STATE's Standards as respects oversize and/or overnight permits under Vehicle Code Section 15 for the handling of materials necessary for construction of PROJECT. 12. That, except to the extent that STATE reasonably determines that work is required for public safety or to prevent significant property damage, STATE will, to the extent possible, avoid performing major maintenance, rehabilitation or construction within that existing SNS right of way that would increase costs, delay PROJECT completion or otherwise adversely and materially impact PROJECT. 13. To work with COMMISSION to assure that all applicable State and Federal rules and regulations are followed and approvals obtained. Exceptions to STATE's Standards needed for Design -Build will be subject to approval in writing by STATE. Incorporation of such exceptions into the Contract Documents shall satisfy the foregoing requirement. 14. To participate in first, and if necessary, second level Condemnation Panel Reviews for right of way acquisition in a manner consistent with the Contract Documents which will have been approved by STATE. 15. Upon presentation by COMMISSION, to accept from COMMISSION, good and sufficient fee title to that real property acquired in fee by COMMISSION for STATE pursuant to this Agreement subject to a prior review and approval by STATE of the form of that title, free of exceptions, supported by a policy of title insurance issued in the name of STATE. 16. To prepare, if required, superseding Freeway Agreements with the local agencies for PROJECT. 17. To provide, at COMMISSION's cost and upon COMMISSION'S request, any SFM as determined by STATE to be appropriate and available during construction of PROJECT. Upon receipt of COMMISSION's request for any such SFM, STATE will R V PUB\H SH AN E\772587.3 17 379 District Agreement No. 08-1468 order the SFM and STATE's Project Coordinator will have an invoice submitted to COMMISSION for the cost of the SFM. Upon receipt of the SFM and COMMISSION's payment, STATE will make the SFM available to COMMISSION at a STATE designated site. 18. To submit monthly invoices to COMMISSION for actual direct and indirect cost of source inspection and Reimbursed Work requested in Section I. 19. Upon completion of PROJECT to furnish COMMISSION with a detailed final accounting of the SFM, Reimbursed Work, source inspection and other services costs to be bome by COMMISSION. Based on the final accounting, STATE will refund or invoice as necessary in order to satisfy the financial obligations of this Agreement. 20. To retain all books, documents, papers, accounting records, and other evidence pertaining to costs incurred by STATE and make such materials available at the respective offices of STATE and its consultants and contractors at all reasonable times during the contract period and for three years from the date of Completion of Work or Federal Final Voucher, whichever is later. Upon request, STATE agrees to provide copies of any books, records, and documents that are pertinent to this Agreement. 21. STATE agrees to provide primary horizontal and vertical survey control information for use in developing the survey control for PROJECT. 22. STATE agrees to grant relief of maintenance of Non -Toll PROJECT Facilities upon acceptance of such facilities, or portions thereof, as further set forth herein. Upon such grant of relief, STATE will accept control of and operate and maintain, at STATE's sole cost and expense, those segments of the Non -Toll PROJECT Facilities lying within the SHS right of way, except local roads delegated to local agencies for maintenance. 23. To perform source inspection as outlined in STATE' Construction Manual. COMMISSION shall reimburse STATE for all direct and indirect costs incurred for any source inspection performed by STATE. 24. To provide, at COMMISSION's cost, any SFM as shown on the PROJECT PS&E. Upon receipt of COMMISSION'S request for any such SFM, STATE will order those materials and STATE's Project Manager will have an invoice submitted to COMMISSION for the costs of those materials. Upon receipt of those materials and COMMISSION's payment, STATE will make those SFM available to COMMISSION at a STATE designated site. 25. Independent assurance testing, specialty testing, and approval of the type of asphalt and concrete plants shall be by STATE, at STATE's expense. 26. To allocate $2,000,000 from STATE's STIP/RIP funding sources to PROJECT. These Funds were programmed by the CTC at the February, 2010 meeting. 18 RV PU nIHSHANB772587.3 380 District Agreement No. 08-1468 27. To deposit with COMMISSION within twenty-five (25) days of receipt of billing therefor (which billing will be forwarded immediately following upon award of construction contract), the amount of $2,000,000. STATE's maximum obligation of STIP/RIP funds to be utilized for PROJECT shall not exceed the amount of $2,000,000. 28. To submit an invoice to COMMISSION for the estimated direct and indirect cost of source inspection, pursuant to Section I, prior to start of PROJECT construction and upon receipt of said estimate from STATE's representative. 29. To submit monthly invoices to COMMISSION for actual Reimbursed Work performed by STATE, pursuant to Section I. SECTION III IT IS MUTUALLY AGREED: 1. STATE and COMMISSION recognize that the STATE Standards and other standards may be in conflict with a Design -Build procurement and project delivery method. COMMISSION shall coordinate with STATE during development of the Contract Documents, and STATE shall be afforded the opportunity to review, comment and approve the Contract Documents during the development of the RFP for the Design - Build contractor in accordance with the terms of this Agreement. Once approved by STATE, the Contract Documents shall control the design and construction of the PROJECT and any deviations to the STATE's Standards and other standards that are set forth in the Contract Documents shall be deemed approved by STATE. 2. That COMMISSION has the right and authority, in a accordance with 23 CFR 636 and as allowed in the amended (August 14, 2007) FHWA regulations for design -build contracting, Section 1503 of the "Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users' (SAFETEA—LU), to issue the Request for Qualifications (RFQ) and RFP for the Design -Build contractor prior to completion of the NEPA process. The release of the RFQ and RFP prior to NEPA approval shall be subject to the following limitations as outlined in the FHWA regulations: Issue an RFQ prior to the conclusion of the NEPA process as long as the RFQ informs proposers of the general status of NEPA review; Issue an RFP prior to the conclusion of the NEPA process as long as the RFP informs proposers of the general status of the NEPA process and that no commitment will be R V PUB\HSHAN E\772587.3 19 381 District Agreement No. 08-1468 made as to any altemative under evaluation in the NEPA process, including the no - build alternative; Preclude a contractor from proceeding with final design or construction before NEPA is complete. 3. That all obligations of STATE under the terms of this Agreement are subject to the appropriation of resources by the Legislature and allocation of funds by the CTC to STATE for the purposes of fulfilling STATE obligations herein. Should the Legislature fail to allocate funds to STATE for purposes of fulfilling STATE obligations hereunder, the PARTIES agree to negotiate a separate Agreement to cover STATE's obligations. 4. In the event this Agreement is terminated in accordance with Section I, of this Agreement, payments to STATE shall be made through and including the entire month in which the termination occurred. 5. That STA I Oversight, as defined herein, does not include source inspection. The PARTIES further agree that the Reimbursed Work as shall be set forth in Exhibit D does not include payment for SFM or source inspection. 6. That all STATE invoices, as applicable, shall include all direct and applicable indirect costs. Applicable indirect costs are determined by the type of funds being used to pay for support. State and federal funds are subject the Program Functional Rate. Local funds (Measure money, developer fees, special assessments, etc.) are subject to the Program Functional Rate and the Administration Rate. STATE establishes the Program Functional Rate and the Administration Rate annually according to State and Federal regulations. 7. That local street modification and/or reconstruction performed as part of the construction of PROJECT will not commence until the necessary Freeway Agreements have been fully executed between STATE and the affected local agencies for the relevant portion of PROJECT construction. STATE agrees to collaborate in expedition's manner to work on and execute necessary Freeway Agreements. COMMISSION will obtain and pay for all necessary encroachment permits from affected local agencies. 8. That STATE shall designate a STATE representative to represent STATE and COMMISSION shall designate a Project Representative through whom all communications between the two agencies shall be channeled.The 'STATE representative or other official designated by STATE shall review the work of COMMISSION through completion of PROJECT. 9. That COMMISSION shall establish a PROJECT document control system acceptable to STATE. Document control, storage, and retrieval methods will include the use of both hard copies and electronic records. When PROJECT is complete, it is intended R VPUBIII SI I AN E1772587.3 20 382 District Agreement No. 08-1468 that the appropriate documents be transferred to the appropriate parties in a format that is compatible with existing filing systems. 10. STATE agrees that the design and construction standards that shall apply to the. PROJECT shall be those standards that exist as of the date of issuance of the RFP for the Design -Build contractor. 11. To develop warranty terms and requirements to be included in the Design -Build RFP. 12. That construction by COMMISSION of utility improvements which lie within the SHS right of way or which affect STATE facilities shall not be commenced until COMMISSION contract plans for utility relocations have been reviewed and accepted by STATE and an encroachment permit has been issued by STATE to COMMISSION authorizing such work. 13. That COMMISSION shall not start PROJECT construction in an area until and unless environmental review under CEQA and NEPA are first completed, PROJECT approval — if any — is granted, right of way has been secured in such area, all pre - construction environmental surveys and mitigation completed for the area(s) proposed for construction have been completed and legal and physical control of rights of way have been acquired in accordance with the Contract Documents. 14. That PROJECT will be segmented to allow construction to be completed in phases based upon right-of-way availability. To meet the right-of-way availability requirements for construction, right-of-way segment certification will be performed by segment, section, or parcel groupings. The right-of-way segment certification process will be developed as part of the RFP and incorporated into the Contract Documents. The Contract Documents will include language that provides that construction will not commence until all property is acquired and relocations have been completed in each defined phase or segment. 15. That during the construction of PROJECT, representatives of COMMISSION and STATE will cooperate and consult with each other, and all work pursuant to PROJECT shall be accomplished according to the Contract Documents. Satisfaction of these requirements shall be verified by STATE's representative who is authorized to enter COMMISSION property during construction for the purpose of monitoring and coordinating construction and post -construction activities. 16. That any and all material changes to the Contract Documents shall be approved by STATE in advance of performing the work. if STATE does not provide its comments, complete its reviews or provide its approval in accordance with the requirements of the Contract Documents, including the PROJECT timelines and schedules, the "issue resolution process" to be set forth under the Contract Document shall be immediately triggered. Unless otherwise directed by STATE representative, changes authorized as provided herein will not require an encroachment permit rider. The foregoing does not preclude deviations from the Contract Documents necessitated R V PU BMSHAN E\772587.3 21 383 District Agreement No. 08-1468 by emergency situations or to address an immediate safety issue. STATE shall be notified, as soon as reasonably possible, of any such deviations. All changes shall be shown on the "As -Built" plans referred to in this Agreement. 17. That COMMISSION shall provide a contract claims process acceptable to STATE and shall process any and all claims through COMMISSION's claim process. STATE's representative will be made available to COMMISSION to provide advice and technical input in any claim process. Said representative shall not be deemed to be an agent of COMMISSION 18. The party that discovers hazardous material (HM) will immediately notify the other party(ies) to this Agreement. HM-1 is defined as hazardous material (including but not limited to hazardous waste) that requires removal and disposal pursuant to federal or state law, whether it is disturbed by PROJECT or not. HM-2 is defined as hazardous material (including but not limited to hazardous waste) that may require removal and disposal pursuant to federal or state law, only if disturbed by PROJECT. 19. STATE, independent of PROJECT, is responsible for any HM-1 found within existing SHS right of way. STATE will undertake HM-1 management activities with minimum impact to PROJECT schedule and will pay all costs associated with HM-1 management activities. if STATE is unable to promptly undertake HM-1 management activities as required in this paragraph, COMMISSION shall be authorized, after providing prior written notice to STATE, to undertake such activities. The PARTIES agree to negotiate a separate agreement to cover reimbursement of COMMISSION for its costs related to such HM-1 management activities. 20. STATE has no responsibility for management activities or costs associated with HM-I found outside the existing SHS right of way. COMMISSION, independent of PROJECT, is responsible for any HM-1 found within PROJECT limits outside existing SHS right of way. COMMISSION will undertake, or cause to be undertaken, HM-I management activities with minimum impact to PROJECT schedule, and COMMISSION will pay, or cause to be paid, all costs associated with HM-1 management activities. 21. If HM-2 is found within the limits of PROJECT, the public agency responsible for advertisement, award, and administration (AAA) of the PROJECT construction contract will be responsible for HM-2 management activities. Any management activity cost associated with HM-2 is a PROJECT cost. 22. Management activities associated with HM-1 or HM-2 include, without limitation, any necessary manifest requirements and designation of disposal facility. RVPUBMSHANE1772587.3 22 384 District Agreement No. 08-1468 23. STATE's acquisition or acceptance of title to any property on which any hazardous material is found will proceed in accordance with the STATE Standards. 24. That pursuant to the authority contained in Section 591 of the Vehicle Code for areas within the limits of PROJECT that are open to public traffic, COMMISSION shall comply with all of the requirements set forth in Divisions 11, 12, 13, 14, and 15 of the Vehicle Code. COMMISSION shall take all necessary precautions for safe operation of COMMISSION vehicles, the construction contractor's equipment and vehicles and/or vehicles of personnel retained by COMMISSION, and for the protection of the traveling public from injury and damage from such vehicles or equipment. 25. That upon the request of COMMISSION following PROJECT Completion and acceptance by STATE of Non -Toll PROJECT Facilities, or portions thereof, STATE will accept control and operate and maintain, at its own cost and expense, those portions of Non -Toll PROJECT Facilities lying within the SHS right of way, except local roads delegated to local agencies for maintenance. Upon acceptance by STATE of the Non -Toll PROJECT Facilities, or any segment thereof, STATE shall also be responsible for all subsequent public use, including tort liability, for Non -Toll PROJECT Facilities, or such portion thereof, at no cost or expense to COMMISSION. The PARTIES agree that STATE's acceptance of completed portions of the Non -Toll PROJECT Facilities shall be pursuant to Chapter 3, Section 709, Relief From Maintenance and Responsibility, of the Caltrans Construction Manual, and Section 7- 1.15, "Relief From Maintenance and Responsibility," of the Standard Specifications, and as may further be set forth in the Contract Document. 26. Use and maintenance of the Toll Facilities shall be the subject of a separate Toll Facilities Agreement between COMMISSION and STATE. 27. Upon issuance of an encroachment permit to COMMISSION's Design -Build contractor, COMMISSION shall control and maintain, at its own cost and expense, those portions of PROJECT lying within the SHS right of way. COMMISSION will also maintain, at COMMISSION expense, local roads within the SHS right of way delegated to local agencies for maintenance and remaining portions of any local road overcrossing structures, including the deck surface and above, as well as all traffic service facilities that may be required for the exclusive benefit or control of local road traffic. This responsibility will remain for each area outside of SHS right of way until each area has been relinquished back to local agency control pursuant to the process described in this Section. 28. That upon completion of all work under this Agreement, ownership and- title to materials, equipment and appurtenances installed within SHS right of way, excluding any toll plazas, gantries and equipment cabinets; conduit, fiber, cameras, readers, signage and supporting or related computerized communications systems; and other toll related toll operations equipment and systems, will automatically be vested in STATE, subject to the Toll Facilities Agreement. No further agreement will be necessary to transfer ownership as herein above stated. COMMISSION shall arrange R V PU B\H S H A N E\772587.3 23 385 District Agreement No. 08-1468 for the transfer of ownership and title to materials, equipment and appurtenances installed outside of STATE right of way, excluding those materials, equipment and appurtenances owned by COMMISSION as described in the foregoing sentence, to be retained by appropriate local agencies, unless otherwise agreed to by STATE and COMMISSION in the Toll Facilities Agreement. 29. That nothing in the provisions of this Agreement is intended to create duties or obligations to or rights of third parties in this Agreement or affect the legal liability of either party to the Agreement to third parties by imposing any standard of care with respect to the development, design, construction, operation and maintenance of SHS and public facilities different from the standard of care imposed by law or applicable STATE Standards. 30. Neither STATE nor any officer or employee thereof is responsible for any injury, damage or liability occurring by reason of anything done or omitted to be done by COMMISSION under or in connection with any work, authority or jurisdiction conferred upon COMMISSION under this Agreement. It is understood and agreed that, COMMISSION will fully defend, indemnify and save harmless STATE and all its officers and employees from all claims, suits or actions of every name, kind and description brought forth under, including, but not limited to, tortious, contractual, inverse condemnation or other theories or assertions of liability occurring by reason of anything done or omitted to be done by COMMISSION under this Agreement. 31. Neither COMMISSION nor any officer or employee thereof is responsible for any injury, damage or liability occurring by reason of anything done or omitted to be done by STATE under or in connection with any work, authority or jurisdiction conferred upon STATE under this Agreement. It is understood and agreed that, STATE will fully defend, indemnify and save harmless COMMISSION and all its officers and employees from all claims, suits or actions of every name, kind and description brought forth under, including, but not limited to, tortious, contractual, inverse condemnation or other theories or assertions of liability occurring by reason of anything done or omitted to be done by STATE under this Agreement. 32. Notwithstanding any other term of this Agreement, existing corridor utility expenses, including water and electrical, shall remain the responsibility of STATE, whereas COMMISSION will be responsible for utility expenses when modifying existing utilities. COMMISSION will not utilize existing STATE sources for any temporary connection, unless otherwise approved by STATE. 33. That no alteration, or variation of the terms of this Agreement shall be valid unless made in writing and signed by the PARTIES hereto and no oral understanding or agreement which is not incorporated herein shall be binding on any of the PARTIES hereto. 34. This Agreement will terminate upon selection of the "no project" alternative as a result of the environmental review process, Completion of Work or upon 30 calendar days' R V PUB\HS HANE\772587.3 24 386 District Agreement No. 08-1468 written notification to terminate and acceptance between STATE and COMMISSION, whichever occurs first. However, all obligations to pay amounts accrued or due and payable as of the date of termination, indemnification, document retention, audit, claims, environmental commitment, legal challenge, ownership articles and other. provisions that, by their express terns survive termination or expiration of this Agreement, will remain in effect until terminated or modified in writing by mutual agreement. R V PUBMSH ANE1772587.3 25 387 District Agreement No. 08-1468 STATE OF CALIFORNIA RIVERSIDE COUNTY DEPARTMENT OF TRANSPORTATION TRANSPORTATION COMMISSION By: By: Raymond W. Wolfe, PhD District Director Its: APPROVED AS TO FORM AND PROCEDURE: APPROVED AS TO FORM: By: By: Glenn B. Mueller Assistant Chief Counsel CERTIFIED AS TO FUNDS: By: District Budget Manager CERTIFIED AS TO FINANCIAL TERMS AND POLICIES: By: Accounting Administrator RV PUMHSHAN E1772587.3 26 Steven DeBaun, COMMISSION General Counsel 388 " " " E X H I B I T A D E S C R I P T I O N O F E N T I R E S C O P E O F P R O J E C T A P P R O V E D B Y C T C [ A t t a c h e d b e h i n d t h i s p a g e ] A - 1 3 8 9 " P r o j e c t D e t a i l s T h e E n v i r o n m e n t a l I m p a c t S t a t e m e n t a n d E n v i r o n m e n t a l I m p a c t R e p o r t c u r r e n t l y u n d e r d e v e l o p m e n t f o r - t h e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t e n v i s i o n s e v e r a l c o n s t r u c t i o n s t e p s o r p h a s e s s t a r t i n g w i t h t h e P r o j e c t ( t h e s u b j e c t o f t h i s a p p l i c a t i o n ) a n d e n d i n g w i t h t h e U l t i m a t e P r o j e c t b e f o r e 2 0 3 5 . S e e F i g u r e 1 f o r a m a p o f t h e P r o j e c t a n d t o n o t e t h e d i s t i n c t i o n b e t w e e n t h e P r o j e c t a n d U l t i m a t e P r o j e c t . F i g u r e 1 - P r o j e c t M a p A - 2 3 9 0 In the segment of the SR-91 corridor between SR-71 and 1-15, the Project will result in a total of seven lanes in each direction — five GP lanes and two tolled Express Lanes. This compares to the existing freeway which has a total of five lanes in each direction — four GP lanes and one HOV lane. This will be accomplished by modifying one HOV lane to an Express Lane and by widening the SR-91 freeway by the equivalent of approximately three lanes in each direction. One of the lanes is a new GP lane, one is an additional GP lane to replace an existing inside GP lane that is modified to an Express Lane (so that there are two Express Lanes in each direction), and the third is to add the pavement necessary to widen all of the existing lanes from eleven feet to twelve feet and to provide standard inside shoulders. This segment of the freeway will then have five GP lanes and two tolled Express Lanes in each direction with one ingress point and one egress point. See Figure 2 for typical cross sections. Specific details of the roadway features and components of the Project are noted in Attachment 7. Figure 2 - Typical Cross Sections Existing (4+1) {4T WESTBOUND Project (1+5+2) t WESTBOUND SAS fBCLIND EASTBOUND A-3 • 391 " " T h e a d d i t i o n a l p h a s e s t h a t w i l l s u p p l e m e n t t h e P r o j e c t a s p a r t o f t h e U l t i m a t e P r o j e c t a r e : 1 . E x t e n d t h e P r o j e c t t h r e e m i l e s f u r t h e r e a s t b y a d d i n g o n e E x p r e s s L a n e a n d o n e G P l a n e i n e a c h d i r e c t i o n f r o m 1 - 1 5 t o P i e r c e S t r e e t i n t h e C i t y o f R i v e r s i d e . 2 . E x t e n d t h e P r o j e c t t w o m i l e s f u r t h e r s o u t h o n 1 - 1 5 . C o n t i n u e t h e o n e l a n e a p p r o a c h t o t h e d i r e c t c o n n e c t o r s i n e a c h d i r e c t i o n i n t h e m e d i a n o f 1 - 1 5 f r o m O n t a r i o A v e . t o C a j a l c o R d . 3 . A d d o n e G P l a n e i n e a c h d i r e c t i o n f r o m t h e S R - 7 1 i n t e r c h a n g e t o t h e S R - 2 4 1 i n t e r c h a n g e i n O r a n g e C o u n t y . 4 . A d d a n e w f r e e w a y - t o - f r e e w a y c o n n e c t o r f r o m e a s t b o u n d S R - 9 1 t o n o r t h b o u n d S R - 7 1 . A d d o t h e r r e l a t e d i m p r o v e m e n t s t o t h e S R - 9 1 / S R - 7 1 i n t e r c h a n g e 5 . A d d d i r e c t c o n n e c t o r s t o a n d f r o m t h e n o r t h a t 1 - 1 5 . A d d o n e - l a n e c o n n e c t o r s i n e a c h d i r e c t i o n f r o m t h e S R - 9 1 t o l l e d E x p r e s s L a n e s t o f u t u r e E x p r e s s L a n e s o r H O V l a n e s i n t h e m e d i a n o f 1 - 1 5 . E x t e n d t h e o n e l a n e E x p r e s s L a n e i n e a c h d i r e c t i o n i n t h e m e d i a n o f 1 - 1 5 o n e a n d o n e h a l f m i l e n o r t h t o H i d d e n V a l l e y P a r k w a y . J u s t p r i o r t o p r o c u r e m e n t , R C T C i n t e n d s t o p e r f o r m a n o t h e r u p d a t e t o t h e f i n a n c i a l p l a n f o r t h e P r o j e c t . A t t h a t t i m e , a d d i t i o n a l p h a s e s o f t h e U l t i m a t e P r o j e c t m a y b e a d d e d t o t h e s c o p e o f t h e P r o j e c t . T o d o s o , t h e d e s i g n - b u i l d p r o c u r e m e n t p r o c e s s m a y b e s t r u c t u r e d t o a l l o w f o r p r i c e d o p t i o n s t o b e a d d e d t o t h e s c o p e o f t h e s u c c e s s f u l p r o p o s e r . I f a l l p h a s e s o f t h e U l t i m a t e P r o j e c t a r e a d d e d , t h e s c o p e o f t h e P r o j e c t w o u l d b e t h a t o f t h e U l t i m a t e P r o j e c t a s c l e a r e d b y t h e o n g o i n g e n v i r o n m e n t a l s t u d i e s . T h i s a p p l i c a t i o n s e e k s d e s i g n - b u i l d a u t h o r i t y f o r t h e P r o j e c t , a s i t m a y b e e x p a n d e d t h r o u g h t h e p r o c u r e m e n t p r o c e s s t o i n c l u d e e l e m e n t s o f t h e U l t i m a t e P r o j e c t . R V P U B U i S t I A N E 1 7 7 2 5 8 7 . 3 A - 4 3 9 2 " " E X H I B I T B D E P I C T I O N O F P R O J E C T [ T o b e a t t a c h e d f o l l o w i n g c o m p l e t i o n o f a l l r e q u i r e d e n v i r o n m e n t a l r e v i e w a n d s e l e c t i o n o f t h e D e s i g n - B u i l d c o n t r a c t o r ] R V P U B \ H S H A N E 7 7 2 5 8 7 . 3 E x h i b i t B 3 9 3 " E X H I B I T C D E P I C T I O N O F N O N - T O L L P R O J E C T F A C I L I T I E S [ T o b e a t t a c h e d f o l l o w i n g c o m p l e t i o n o f a l l r e q u i r e d e n v i r o n m e n t a l r e v i e w a n d s e l e c t i o n o f t h e D e s i g n - B u i l d c o n t r a c t o r ] R V P U B l H S H A N E 1 7 7 2 5 8 7 . 3 E x h i b i t C 3 9 4 " " E X H I B I T D R E I M B U R S E D W O R K S C H E D U L E [ T o b e a t t a c h e d f o l l o w i n g w r i t t e n a p p r o v a l b y t h e P A R T I E S o f t h e f i n a l s c o p e o f R e i m b u r s e d W o r k ] R V P U 1 3 1 H S H A N E 1 7 7 2 5 8 7 . 3 E x h i b i t D 3 9 5 " E X H I B I T E C O O P E R A T I V E A G R E E M E N T C L O S U R E S T A T E M E N T R V P U B I H S H A N E \ 7 7 2 5 8 7 3 [ C a l t r a n s t o p r o v i d e ] E x h i b i t E 3 9 6 i • EXHIBIT F PROJECT COST ESTIMATE AND FUNDING [To be attached following written approval by the PARTIES of the final Project Cost Estimate and Funding breakdown] R VPUBIHSHANB772587.3 Exhibit F 397 ATTACHMENT 3 RCTC Agenda Copy July 6, 2010 COOPERATIVE AGREEMENT FOR STATE ROUTE 91 EXPRESS LANES AND CORRIDOR IMPROVEMENTS BETWEEN RIVERSIDE COUNTY TRANSPORTATION COMMISSION AND ORANGE COUNTY TRANSPORTATION AUTHORITY This Cooperative Agreement for State Route 91 Express Lanes and Corridor Improvements ("Cooperative Agreement') is made and entered into this day of 2010 by and between the Riverside County Transportation Commission ("RCTC") and the Orange County Transportation Authority ("OCTA"). RCTC and OCTA are sometimes referred to herein individually as 'Party", and collectively as the "Parties". Recitals WHEREAS, OCTA operates and maintains the existing SR-91 Express Lanes in Orange County under a franchise agreement with the State of California. WHEREAS, RCTC is studying the extension of the RCTC 91 Express Lanes on the existing State Route 91 between the Riverside/Orange County line and the State Route 15 interchange, including transition areas anticipated to commence as far north as Hidden Valley Road, as far south as Cajalco Road on State Route 15, as far east as Pierce Street on State Route 91, and as far west as Gypsum Canyon on State Route 91. WHEREAS, the Parties acknowledge that, assuming the Project is built, certain economies of scale and cost benefits for both Parties may be achieved through joint contracting and joint provision of certain services related to maintenance and operation of the 91 Express Lanes. WHEREAS, coordination between the Parties prior to and during construction of the RCTC 91 Express Lanes and during potential operation of the RCTC 91 Express Lanes is crucial to provide for integration of the toll collection and traffic management systems, mitigate potential impacts that construction may have on the OCTA 91 Express Lanes and to ultimately provide for seamless operation of the 91 Express Lanes in both Riverside and Orange Counties. WHEREAS, the Parties acknowledge that the approved California Transportation Commission (CTC) application for the Project specifies that the entire financing structure and timeline for Project delivery set forth in the CTC application is based on use of the Design -Build method of procurement. The Design -Build procurement method is identified as a key component of making the Project viable from a financial perspective by providing for schedule acceleration, innovation, risk transfer, cost certainty and other benefits. Based on the approved RV PUB\HSHANEV 72216.I 1 398 CTC application, the Parties agree that if the Project is implemented, Design -Build is the method of procurement to be used by RCTC for implementation of the Project. WHEREAS, OCTA's approval of this Agreement is based, in part, on RCTC's commitment to utilize the Design -Build method of procurement as a means of ensuring the timely completion of the Project in accordance with the tenns herein. WHEREAS, it is the intent of the Parties in entering into this Cooperative Agreement to establish certain opportunities for cooperation and coordination and to set forth various responsibilities of the Parties, all as further set forth herein. It is the further intent of the Parties that all provisions contained in this Cooperative Agreement and all actions taken hereunder shall be consistent with Sections 130240, 130244, and 130245 of the California Public Utilities Code and all other applicable laws. WHEREAS, the Parties acknowledge that full compliance with the California Environmental Quality Act (CEQA), the National Environmental Policy Act (NEPA) and other laws are a precondition to any approval or construction of the Project. WHEREAS, the Parties acknowledge and agree that nothing in this Agreement commits RCTC to approving or constructing the Project. NOW THEREFORE, for good and valuable consideration, the receipt of which is hereby acknowledged, it is mutually understood and agreed by RCTC and OCTA as follows. ARTICLE 1 DEFINITIONS For the purposes of this Cooperative Agreement, the following terms shall have the meanings hereinafter provided: 1.1 Betterments. The term `Betterments" shall mean and refer to any OCTA requested improvements to the OCTA 91 Express Lanes, the Toll Related Facilities or other facilities which RCTC may agree to complete in conjunction with the Project, at OCTA's sole cost and expense. Betterments shall not include any improvements that are inconsistent with the proposed Project's record of decision. 1.2 CEO. The tern "CEO" shall mean and refer to the Chief Executive Officer of OCTA, or his or her designee. 1.3 Closures. The term "Closures" shall mean and refer to those instances during which (1) the OCTA 91 Express Lanes are closed by RCTC or its Contractor to facilitate construction of the Project or (2) ingress to or egress from the OCTA 91 Express Lanes is completely blocked by RCTC or its Contractor to facilitate construction of the Project and no alternate access is provided. Any such instance shall be deemed a "Closure" during its duration R V PU BAHSHANE1772216_ I 2 • • • 399 " r e g a r d l e s s o f w h e t h e r C u s t o m e r s a r e s t i l l a b l e t o a c c e s s o r t r a v e l o n a p o r t i o n o f t h e 9 1 E x p r e s s L a n e s . 1 . 4 C o n t r a c t . T h e t e r m " C o n t r a c t " s h a l l m e a n a n d r e f e r t o t h e c o n t r a c t f o r d e l i v e r y o f t h e P r o j e c t , w h i c h m a y i n c l u d e s o m e o r a l l o f d e s i g n , c o n s t r u c t i o n , f i n a n c i n g , o p e r a t i o n s a n d m a i n t e n a n c e . 1 . 5 C o n t r a c t o r . T h e t e r m " C o n t r a c t o r " s h a l l m e a n t h e e n t i t y c o n t r a c t e d b y R C T C t o d e l i v e r t h e P r o j e c t , p u r s u a n t t o t h e D e s i g n - B u i l d d e l i v e r y p r o c e s s , w h i c h m a y i n c l u d e s o m e o r a l l o f d e s i g n , f i n a n c e , c o n s t r u c t i o n , o p e r a t i o n s a n d m a i n t e n a n c e o f t h e P r o j e c t . 1 . 6 C u s t o m e r . T h e t e r m " C u s t o m e r " s h a l l m e a n a n d r e f e r t o p a y i n g , o r o t h e r w i s e a u t h o r i z e d , u s e r s o f a n y p o r t i o n o f t h e 9 1 E x p r e s s L a n e s , w h i c h u s e r h a s b o t h a T r a n s p o n d e r a n d a n a c c o u n t w i t h O C T A , R C T C o r w i t h a n y O t h e r T o l l E n t i t i e s . 1 . 7 C u s t o m e r A c c o u n t s . T h e t e r m " C u s t o m e r A c c o u n t s " s h a l l m e a n a n d r e f e r t o a c c o u n t s o f C u s t o m e r s h e l d b y O C T A . 1 . 8 C u s t o m e r A c c o u n t B u s i n e s s R u l e s / O p e r a t i n g R u l e s . T h e t e r m " C u s t o m e r A c c o u n t B u s i n e s s R u l e s / O p e r a t i n g R u l e s " s h a l l m e a n a n d r e f e r t o t h e f o l l o w i n g : c h a r g e s a n d / o r d e p o s i t s f o r i n i t i a l i s s u a n c e a n d r e p l a c e m e n t o f T r a n s p o n d e r s ; e n r o l l m e n t a n d / o r m e m b e r s h i p f e e s ; m i n i m u m m o n t h l y C u s t o m e r A c c o u n t m a i n t e n a n c e f e e s ; o t h e r a d m i n i s t r a t i v e f e e s r e l a t e d t o C u s t o m e r A c c o u n t s ; t o l l v i o l a t i o n p o l i c i e s ; c o l l e c t i o n p o l i c i e s ; o t h e r s i m i l a r r u l e s r e l a t e d t o C u s t o m e r A c c o u n t s a n d u s e a n d i s s u a n c e o f T r a n s p o n d e r s ; r u l e s r e l a t e d t o u s e o f t h e 9 1 E x p r e s s L a n e s b y C u s t o m e r s , i n c l u d i n g r u l e s r e q u i r i n g a l l C u s t o m e r s t o h a v e T r a n s p o n d e r s o r C u s t o m e r A c c o u n t s ; o t h e r s i m i l a r r u l e s r e l a t e d t o u s e o f t h e 9 1 E x p r e s s L a n e s b y C u s t o m e r s . 1 . 9 D e s i g n - B u i l d . T h e t e r m " D e s i g n - B u i l d " s h a l l m e a n a n d r e f e r t o a p r o j e c t d e l i v e r y p r o c e s s i n w h i c h b o t h t h e f i n a l d e s i g n a n d c o n s t r u c t i o n o f a p r o j e c t a r e p r o c u r e d f r o m a s i n g l e e n t i t y . 1 . 1 0 D e s i g n a t e d E x e c u t i v e R e p r e s e n t a t i v e . T h e t e r m " D e s i g n a t e d E x e c u t i v e R e p r e s e n t a t i v e " s h a l l m e a n a n d r e f e r t o t h e O C T A e m p l o y e e d e s i g n a t e d b y t h e C E O a n d t o t h e R C T C e m p l o y e e d e s i g n a t e d b y t h e E x e c u t i v e D i r e c t o r t o m a k e d e c i s i o n s o n b e h a l f o f t h e P a r t i e s p u r s u a n t t o t h i s C o o p e r a t i v e A g r e e m e n t a s p r o v i d e d i n S e c t i o n 2 . 3 . 1 . 1 1 E f f e c t i v e D a t e . T h e t e r m " E f f e c t i v e D a t e " s h a l l m e a n a n d r e f e r t o t h e d a t e t h i s C o o p e r a t i v e A g r e e m e n t h a s b e e n a p p r o v e d a n d e x e c u t e d b y b o t h P a r t i e s . 1 . 1 2 E m e r g e n c y . T h e t e r m " E m e r g e n c y " s h a l l m e a n a n d r e f e r t o a n u n f o r e s e e n c i r c u m s t a n c e t h a t p o s e s a n i m m i n e n t r i s k o r d a n g e r o f s e r i o u s i n j u r y , d a m a g e o r h a r m ` t o p e r s o n s o r p r o p e r t y . 1 . 1 3 E x e c u t i v e D i r e c t o r . T h e t e r m " E x e c u t i v e D i r e c t o r " s h a l l m e a n a n d r e f e r t o t h e E x e c u t i v e D i r e c t o r o f R C T C , o r h i s o r h e r d e s i g n e e . 1 . 1 4 G A D S . T h e t e r m " G A D S " s h a l l m e a n a n d r e f e r t o t h e g e o m e t r i c a p p r o v a l d r a w i n g s t h a t R C T C i s p r e p a r i n g a s p a r t o f t h e e n v i r o n m e n t a l r e v i e w p r o c e s s f o r t h e P r o j e c t . 3 R V P U B \ H S H A N E \ 7 7 2 2 1 6 . 1 4 0 0 1.15 Marketing Commencement Date. The term "Marketing Commencement Date" shall mean the date that the Parties shall agree upon as the date upon which joint "branding" and marketing for the 91 Express Lanes shall commence, which date shall be approximately twelve (12) months prior to the projected Opening Date. 1.16 91 Express Lanes. The term "91 Express Lanes" shall mean and refer, jointly, to the OCTA 91 Express Lanes and the RCTC 91 Express Lanes. 1.17 91 Express Lanes Advisory Committee. The term "91 Express Lanes Advisory Committee" shall mean and refer to the joint RCTC and OCTA committee, comprised of elected officials, established by Section 130245 of the California Public Utilities Code. 1.18 OCTA 91 Express Lanes. The term "OCTA 91 Express Lanes" shall mean and refer to the existing four -lane, 10-mile high occupancy toll facility constructed in the median of the State Route 91 freeway, between the Orange/Riverside County line and the State Route 55 freeway. 1.19 Opening Date. The term "Opening Date" shall mean and refer to the date that the RCTC 91 Express Lanes are first made available to traffic, irrespective of whether actual tolling commences on such date. 1.20 Operator. The term "Operator" shall mean Cofiroute USA, LLC, the company currently under contract to OCTA for operations of the OCTA Express Lanes. This term shall also apply to any future entity under contract to OCTA and RCTC for joint operations of both the OCTA 91 Express Lanes and the RCTC 91 Express Lanes, if a joint operator is selected. 1.21 Operations Agreement. The term "Operations Agreement' shall mean and refer to a three -party agreement that the Parties intend to negotiate and enter into with the Operator to jointly operate the OCTA 91 Express Lanes and the RCTC 91 Express Lanes. 1.22 Other Toll Entities. The tern "Other Toll Entities" shall mean and refer to any other public agency or private entity operating a toll facility in California and with whom OCTA has entered into a cooperative user fee processing (CTOC) agreement. 1.23 Percentage Cost Split. The term "Percentage Cost Split' shall mean and refer to, as applicable, the reasonable and equitable measure of (i) cost sharing for certain contracted services to be provided for the 91 Express Lanes under single contract and for the benefit of both Parties, and (ii) Revenue sharing of certain Revenue generated by or in connection with the 91 Express Lanes. The Parties shall agree, in writing, on the Percentage Cost Split applicable to various terms of this Agreement. 1.24 Preliminary Design Plans. The term "Preliminary Design Plans" shall mean and refer to the preliminary design and engineering plans and specifications for any Betterments that RCTC has agreed to complete, which RCTC shall prepare for inclusion in the Procurement Documents. 1.25 Pre -Operations Period. The term "Pre -Operations Period" shall mean and refer to the six (6) month period prior to the anticipated Opening Date. 4 RVPUB\HSHANE1772216_ I • 401 1.26 Procurement Documents. The term "Procurement Documents" shall mean and refer to the documents, including technical specifications, to be utilized in the procurement of the Contractor. 1.27 Project. The tern "Project' shall mean and refer to the planning, design and potential construction of the RCTC 91 Express Lanes and related corridor improvements, all as further described below in this Section 1.27 and as depicted in the attached Exhibit "A". If approved, the Project is intended to be completed in one or more phases, generally described as follows: • Extension of the existing SR-91 express lanes approximately eight miles east from the Orange County line to just east of the I-15, along with transition areas on each side of the Riverside/Orange County line. • Addition of direct connectors from the express lanes to future HOV or express lanes in the median of the I-15. • Addition of one lane in each direction in the median of I-15 from Cajalco Road to the SR-91 direct connectors to and from the south. • Addition of one lane in each direction in the median of I-15 from Hidden Valley Parkway to the SR-91 direct connectors to and from the north. • Addition of one general purpose lane in each direction on SR-91 from SR-241 in Orange County to Pierce St in the City of Riverside. • Reconstruction of interchanges and the addition of auxiliary lanes as needed to allow the above improvements 1.28 contracted by including the of design and PCM. The term "PCM" shall mean the project and construction manager RCTC to assist RCTC with the implementation of the Project, if approved, procurement of the Contractor, administration of Project contracts, and oversight construction of the Project. 1.29 RCTC 91 Express Lanes. The term "RCTC 91 Express Lanes" shall mean and refer to the high occupancy toll facility that RCTC proposes to construct on the existing State Route 91 between the Orange/Riverside County line and as far east as the State Route 15 interchange, including transition areas anticipated to commence as far north as Hidden Valley Road, as far south as Cajalco Road on State Route 15 and as far east as Pierce Street on State Route 91. 1.30 Revenue or Revenues. The term "Revenue" or "Revenues" shall mean and refer to gross revenues. 1.31 Switchable Transponder. The term "Switchable "Transponder" shall mean and refer to a Transponder that allows Customers to declare when they are using the RCTC Express RVPUB\HSI IANE 772216_1 5 402 Lanes other than as a full toll paying vehicle, such as a reduced toll paying vehicle or as an exempt vehicle. 1.32 Toll Pricing Policies. The term "Toll Pricing Policies" shall mean and refer to. policies adopted by each Party for setting toll prices and rates for Customers. 1.33 Toll Related Facilities. The term "Toll Related Facilities" shall mean and refer to the toll operations center and/or the Customer service center. 1.34 Transponder. The term "Transponder" shall mean the in -vehicle electronic toll paying device issued for use or usable for the 91 Express Lanes, which allows for automatic transaction identification at electronic toll collection facilities. ARTICLE 2 RELATIONSHIP BETWEEN THE PARTIES. 2.1 Amendment of Franchise Agreement/Partial Assignment. 2.1.1 OCTA and the California Department of Transportation ("Ca!trans") are parties to that certain "Amended and Restated Development Franchise Agreement for State Route 91 Median Improvements in Orange and Riverside Counties, California", as amended ("Franchise Agreement"). 2.1.2 The Franchise Agreement includes, as part of the transportation project authorized under said agreement, toll improvements in the median of the State Route 91 into Riverside County, up to the Interchange of the State Route 91 and the Interstate 15 freeway. 2.1.3 OCTA hereby agrees, pursuant to Public Utilities Code section 130240(k), to eliminate its rights, interests and obligations relative to State Route 91 in Riverside County by amendment to the Franchise Agreement, or by partial assignment. OCTA shall timely take all reasonably required actions to effectuate such elimination of its rights, interests and obligations. 2.2 Joint Operator. The Parties acknowledge and agree that various terms of this Cooperative Agreement are based on the assumption of a joint Operator. If the Project is approved, the Parties agree and intend to negotiate and enter into an Operations Agreement at least six (6) months prior to the Opening Date. If such negotiations are unsuccessful or if, at any time during the term of this Cooperative Agreement, the Parties cease jointly contracting with a joint Operator, the Parties agree and acknowledge that the terms of this Cooperative Agreement shall be modified as necessary to reflect multiple operators of each Party's respective portion of the 91 Express Lanes. 2.3 Approval or Agreement of the Parties. Except as otherwise expressly provided, or where the context indicates otherwise, where the approval or agreement of one or both of the Parties is required by a provision of this Cooperative Agreement, such approval or agreement may be given or made by each Party's Designated Executive Representative. Notwithstanding the foregoing, this Section 2.3 is not intended to authorize the Parties' Designated Executive Representatives to make decisions or to enter into agreements for which approval of a Party's 6 RV PUB\ HSHANE1772216_I • • 403 " g o v e r n i n g b o a r d o r o t h e r p e r s o n o r b o d y i s o t h e r w i s e r e q u i r e d b y l a w o r p u r s u a n t t o a n a d o p t e d p o l i c y o f a P a r t y . M o r e o v e r , t h e P a r t i e s e x p r e s s l y a g r e e t h a t t h i s A g r e e m e n t d o e s n o t i n f a c t o p e r a t e t o a p p r o v e t h e P r o j e c t o r i t s c o n s t r u c t i o n a n d t h a t R C T C r e t a i n s t h e a b i l i t y t o s e l e c t t h e " n o b u i l d " a l t e r n a t i v e f r o m t h o s e a l t e r n a t i v e s b e i n g a n a l y z e d t h r o u g h t h e C E Q A a n d N E P A . e n v i r o n m e n t a l r e v i e w p r o c e s s . 2 . 4 C o m m u n i c a t i o n a n d C o o p e r a t i o n . 2 . 4 . 1 T h e P a r t i e s a g r e e t h a t c o m m u n i c a t i o n a n d c o o p e r a t i o n b e t w e e n O C T A a n d R C T C i s c r i t i c a l t o t h e s u c c e s s f u l a n d s e a m l e s s o p e r a t i o n o f t h e 9 1 E x p r e s s L a n e s i n b o t h R i v e r s i d e a n d O r a n g e C o u n t i e s . 2 . 4 . 2 C o m m u n i c a t i o n a n d c o o p e r a t i o n , e v e n a t t h i s e a r l y s t a g e , i s n e c e s s a r y t o f u l l y a c c o u n t f o r a n y e n v i r o n m e n t a l i m p a c t s r e s u l t i n g f r o m t h e P r o j e c t a n d t o c o m p l y w i t h C E Q A ' s g o a l o f e n c o u r a g i n g c o o r d i n a t i o n a n d c o n s u l t a t i o n b e t w e e n a g e n c i e s d u r i n g t h e e n v i r o n m e n t a l r e v i e w p r o c e s s . ( E . g . , 1 4 C a l . C o d e R e g s . , � 1 5 0 0 2 ( j ) . ) 2 . 4 . 3 C o m m u n i c a t i o n a n d c o o p e r a t i o n i s n e c e s s a r y b o t h i n t h e d e v e l o p m e n t a n d p l a n n i n g s t a g e o f t h e R C T C 9 1 E x p r e s s L a n e s , d u r i n g c o n s t r u c t i o n o f t h e R C T C 9 1 E x p r e s s L a n e s a n d d u r i n g o p e r a t i o n o f t h e 9 1 E x p r e s s L a n e s f o l l o w i n g c o m p l e t i o n o f c o n s t r u c t i o n o f t h e R C T C 9 1 E x p r e s s L a n e s . 2 . 4 . 4 I t i s t h e i n t e n t o f t h e P a r t i e s t h a t c o m m u n i c a t i o n a n d c o o p e r a t i o n b e a c c o m p l i s h e d t h r o u g h v a r i o u s f o r u m s , i n c l u d i n g a s f o l l o w s : ( a ) M e e t i n g s o f t h e 9 1 E x p r e s s L a n e s A d v i s o r y C o m m i t t e e . ( b ) M e e t i n g s o f o r c o m m u n i c a t i o n s b e t w e e n t h e D e s i g n a t e d E x e c u t i v e R e p r e s e n t a t i v e s . ( c ) I n d i v i d u a l o r s m a l l g r o u p m e e t i n g s , w h i c h s h a l l b e c a l l e d a s n e c e s s a r y t o a d d r e s s s p e c i f i c i s s u e s r e l a t e d t o t h e 9 1 E x p r e s s L a n e s . O t h e r a f f e c t e d p u b l i c a g e n c i e s o r p a r t i e s s h a l l b e i n v i t e d t o a t t e n d s u c h m e e t i n g s a s t h e P a r t i e s d e t e r m i n e n e c e s s a r y o r b e n e f i c i a l . ( d ) C o m m u n i c a t i o n s b e t w e e n o p e r a t i o n a l s t a f f o f R C T C a n d O C T A o n a n o n g o i n g a n d a s - n e e d e d b a s i s . 2 . 5 T o l l R e l a t e d F a c i l i t i e s . 2 . 5 . 1 G e n e r a l P r o v i s i o n s R e g a r d i n g T o l l R e l a t e d F a c i l i t i e s . ( a ) T h e P a r t i e s a c k n o w l e d g e a n d a g r e e t h a t a n y o p e r a t i o n o f t h e R C " f C 9 1 E x p r e s s L a n e s w i l l r e q u i r e u s e b y R C T C o f e x i s t i n g T o l l R e l a t e d F a c i l i t i e s , a s w e l l a s e x p a n s i o n o f t h e T o l l R e l a t e d F a c i l i t i e s . ( b ) T h e P a r t i e s a c k n o w l e d g e t h a t O C T A i s t h e l e a s e h o l d e r f o r t h e T o l l R e l a t e d F a c i l i t i e s , a n d t h a t e x p a n s i o n o f t h e T o l l R e l a t e d F a c i l i t i e s w i l l r e q u i r e a m e n d m e n t R V P U B I H S H A N E 1 7 7 2 2 1 6 . I 7 4 0 4 of the existing lease agreement(s) to provide additional square footage to accommodate expansion of the Toll Related Facilities, and approval of the lessor of any tenant improvements to the existing facilities. OCTA shall use reasonable efforts to obtain such consent and shall cooperate with RCTC in connection therewith. (c) It is the intent of the Parties that both Parties will jointly utilize and operate the existing and new Toll Related Facilities, and that the Parties will share in the operating and maintenance costs for the new and existing Toll Related Facilities as more particularly provided in this Cooperative Agreement. (d) It is intent of the Parties that OCTA shall remain the sole lease holder of the existing Toll Related Facilities during the lease term in effect as of the Effective Date and that, upon commencement of the joint use of the existing Toll Related Facilities, RCTC shall have an irrevocable license and right to use thereof through the term of this Cooperative Agreement, and for any additional period as further set forth herein. It is not intended that RCTC become a lessee, co -lessee or sublessee of the existing Toll -Related Facilities in their location as of the Effective Date under the lease in effect as of the Effective Date. Notwithstanding the foregoing, however, it is the intent of the Parties that, upon commencement of the joint use of the existing Toll Related Facilities, RCTC shall have equal rights of access and use of the Toll Related Facilities as does OCTA. (e) From and after the Effective Date, OCTA shall not terminate its lease for the Toll Related Facilities (unless in conjunction with a purchase of the Toll Related Facilities by OCTA), nor change any material provisions thereof, without RCTC's prior written approval, in its reasonable discretion. Purchase of the Toll Related Facilities by OCTA shall not impact, in any manner, RCTC's right to use of said facilities as set forth in paragraph (d) above. (0 If, after the Effective Date, the lease in effect as of the Effective Date expires or is terminated or the location of the Toll Related Facilities is changed as a result of the expiration or termination of OCTA's lease therefor or otherwise, the Parties shall mutually agree on the terms of any new lease and shall modify the provisions of this Cooperative Agreement to address, as applicable, the new or extended lease, the new location and relevant circumstances of the Toll Related Facilities. (g) OCTA shall confer with RCTC no less than six (6) months prior to expiration of OCTA's lease for the existing Toll Related Facilities regarding the terms and conditions for renegotiation of said lease and/or regarding any potential change in the ownership or location of the Toll Related Facilities. Notwithstanding the foregoing sentence, if the Toll Related Facilities will require relocation at the expiration of OCTA's lease for the existing Toll Related Facilities, OCTA shall confer with RCTC as soon as OCTA determines the sarne, but in no event less than twelve (12) months prior to the expiration of said lease. (h) As may be necessary, prior to commencing use of the existing Toll Related Facilities and prior to any expansion of the Toll Related Facilities as described below, or any additional future expansions, the Parties shall negotiate, in good faith, more specific details of their mutual use of and access to the Toll Related Facilities. RVPUBIHSHANE1772216. 8 • 405 " 2 . 5 . 2 U s e o f E x i s t i n g T o l l R e l a t e d F a c i l i t i e s . ( a ) U p o n w r i t t e n n o t i c e f r o m R C T C t o O C T A o f R C T C ' s n e e d t o c o m m e n c e u t i l i z a t i o n o f t h e e x i s t i n g T o l l R e l a t e d F a c i l i t i e s , O C T A a n d R C T C s h a l l e a c h h a v e . e q u a l u s e o f a n d a c c e s s t o t h e e x i s t i n g T o l l R e l a t e d F a c i l i t i e s . ( b ) A t s u c h t i m e , t h e P a r t i e s s h a l l e q u i t a b l y s h a r e i n t h e o p e r a t i n g a n d m a i n t e n a n c e c o s t s f o r t h e e x i s t i n g T o l l R e l a t e d F a c i l i t i e s , w i t h s u c h c o s t s h a r i n g t o b e b a s e d o n t h e P e r c e n t a g e C o s t S p l i t f o r t h e T o l l R e l a t e d F a c i l i t i e s , a s s h a l l b e a g r e e d u p o n b y t h e P a r t i e s . ( c ) T h e P a r t i e s a c k n o w l e d g e t h a t c e r t a i n h a r d w a r e a n d s o f t w a r e , s o f t w a r e s o u r c e c o d e a n d o t h e r i n t e l l e c t u a l p r o p e r t y u t i l i z e d f o r o p e r a t i o n o f t h e O C T A 9 1 E x p r e s s L a n e s ( " I n t e l l e c t u a l P r o p e r t y " ) a r e l o c a t e d a t o r a r e u s e d i n c o n n e c t i o n w i t h t h e T o l l R e l a t e d F a c i l i t i e s a n d t h a t a c c e s s t o a n d u s e o f s u c h I n t e l l e c t u a l P r o p e r t y i s n e c e s s a r y f o r R C T C ' s u s e o f t h e e x i s t i n g T o l l R e l a t e d F a c i l i t i e s a n d o p e r a t i o n o f t h e R C T C 9 1 E x p r e s s L a n e s . T o t h e e x t e n t t h a t O C T A h a s t h e l e g a l a b i l i t y t o g r a n t r i g h t s i n a n y s u c h I n t e l l e c t u a l P r o p e r t y t o R C T C , O C T A s h a l l g r a n t s u c h r i g h t s t o R C T C f o r p u r p o s e s o f o p e r a t i n g t h e R C T C 9 1 E x p r e s s L a n e s , u p o n m u t u a l l y a g r e e a b l e t e r m s . W i t h r e s p e c t t o a l l o t h e r I n t e l l e c t u a l P r o p e r t y , R C T C h e r e b y a c k n o w l e d g e s a n d a g r e e s t h a t i t s h a l l b e r e s p o n s i b l e , a t i t s o w n c o s t a n d e x p e n s e , f o r o b t a i n i n g a l l l i c e n s e s o r a p p r o v a l s n e c e s s a r y t o a c c e s s a n d / o r u s e t h e I n t e l l e c t u a l P r o p e r t y l o c a t e d a t o r a r e u s e d i n c o n n e c t i o n w i t h t h e T o l l R e l a t e d F a c i l i t i e s f r o m t h i r d p a r t i e s o w n i n g o r c o n t r o l l i n g s u c h I n t e l l e c t u a l P r o p e r t y ( i n c l u d i n g c e r t a i n I n t e l l e c t u a l P r o p e r t y o w n e d a n d / o r d e v e l o p e d b y t h e O p e r a t o r a n d S i r i t C o r p o r a t i o n ) , a n d O C T A h e r e b y a g r e e s t o r e a s o n a b l y c o o p e r a t e w i t h a n d a s s i s t R C T C t o o b t a i n s u c h l i c e n s e s o r a p p r o v a l s . T o t h e e x t e n t p r a c t i c a b l e , t h e P a r t i e s s h a l l e q u i t a b l y s h a r e i n t h e c o s t t o o b t a i n , o p e r a t e a n d m a i n t a i n o t h e r I n t e l l e c t u a l P r o p e r t y n e c e s s a r y f o r t h e o p e r a t i o n o f t h e 9 1 E x p r e s s L a n e s , w i t h s u c h c o s t s h a r i n g t o b e b a s e d o n t h e P e r c e n t a g e C o s t S p l i t f o r t h e o t h e r I n t e l l e c t u a l P r o p e r t y , a s s h a l l b e a g r e e d u p o n b y t h e P a r t i e s . 2 . 5 . 3 E x p a n s i o n o f T o l l R e l a t e d F a c i l i t i e s N e c e s s i t a t e d B y R C T C 9 1 E x p r e s s L a n e s . ( a ) R C T C s h a l l b e r e s p o n s i b l e f o r t h e d e s i g n a n d a n y c o n s t r u c t i o n o f t h e e x p a n s i o n o f t h e e x i s t i n g T o l l R e l a t e d F a c i l i t i e s , i f s u c h e x p a n s i o n i s n e c e s s i t a t e d b y t h e R C T C 9 1 E x p r e s s L a n e s , a s f o l l o w s : ( i ) R C T C s h a l l b e r e s p o n s i b l e f o r t h e a c t u a l c o s t s o f e x p a n s i o n t o t h e e x i s t i n g T o l l R e l a t e d F a c i l i t i e s , e x c l u d i n g t h e c o s t o f a n y B e t t e r m e n t s , n e c e s s i t a t e d b y t h e R C T C 9 1 E x p r e s s L a n e s . ( i i ) R C T C s h a l l b e t h e l e a d a g e n c y f o r t h e d e s i g n o f a n y e x p a n s i o n o f t h e T o l l R e l a t e d F a c i l i t i e s n e c e s s i t a t e d b y t h e R C T C 9 1 E x p r e s s L a n e s . A n y s u c h w o r k s h a l l b e p r o c u r e d a n d c o m p l e t e d b y R C T C p u r s u a n t t o R C T C ( a n d , a s a p p l i c a b l e , C a l i f o r n i a D e p a r t m e n t o f T r a n s p o r t a t i o n ) r u l e s , p o l i c i e s a n d p r o c e d u r e s . R V P U B \ H S H A N E 1 7 7 2 2 1 6 . 1 9 4 0 6 (iii) RCTC shall provide design plans for any expansion of the Toll Related Facilities to OCTA for OCTA's prior review and approval, in its reasonable discretion. (b) To the extent required by OCTA's lease, OCTA shall request, and use reasonable efforts to obtain, any required consent allowing RCTC to act as OCTA's agent for construction of any expansion of the Toll Related Facilities. 2.5.4 OCTA may request that RCTC complete design plans and/or construct Betterments to the Toll Related Facilities not necessitated by the RCTC 91 Express Lanes project, provided that such Betterments (i) are consistent with RCTC's expansion of the Toll Related Facilities, (ii) are acceptable to RCTC, in its reasonable discretion and (iii) shall be designed and completed at OCTA's cost and expense. 2.5.5 Upon completion of the new Toll Related Facilities, OCTA and RCTC shall each have equal use of and access to the new Toll Related Facilities, and the Parties shall share in the operating and maintenance costs for the new Toll Related Facilities pursuant to the Percentage Cost Split for the Toll Related Facilities, as shall be agreed upon by the Parties. 2.6 Objectives Regarding Operation of 91 Express Lanes. 2.6.1 Upon completion of construction of the RCTC 91 Express Lanes, RCTC shall be responsible for operating and maintaining the RCTC 91 Express Lanes in Riverside County. 2.6.2 OCTA is and shall continue to be responsible for operating and maintaining the OCTA 91 Express Lanes in Orange County. 2.6.3 It is the intent and objective of the Parties to operate the 91 Express Lanes in both Orange County and Riverside County so that Customers will experience a seamless transition between the two facilities, and will view the 91 Express Lanes as a single facility. The Parties agree to cooperate in order to facilitate this goal. 2.6.4 The Parties intend that each Party will pay its own share of the cost to operate the 91 Express Lanes and the Toll Related Facilities, as more particularly described in this Cooperative Agreement. 2.6.5 Mutual Aid in Case of 91 Express Lanes Related Emergency. (a) The Parties agree to share resources in case of emergencies, and to provide mutual aid as needed. In the case of an emergency, the Operator, if the Parties have selected a joint operator, will utilize the resources of both Parties that are under its control to respond to a 91 Express Lanes related emergency. (b) Except as may be otherwise set forth in the Operator Agreement, the Operator, if the Parties have selected a joint Operator, shall have the power and authority to utilize the tow trucks and other resources of both Parties to respond to an emergency on any portion of the 91 Express Lanes, however, if a second emergency or multiple emergencies occur, 10 R V PUBIHSHANE1772216.1 407 " t h e O p e r a t o r s h a l l r e m o v e t r u c k s a s n e e d e d f r o m t h e s i t e o f t h e f i r s t e m e r g e n c y t o a d d r e s s t h e n e e d s r e l a t e d t o t h e s u b s e q u e n t e m e r g e n c i e s . 2 . 7 C u s t o m e r A c c o u n t s . 2 . 7 . 1 T h e P a r t i e s a g r e e t h a t , a s o f t h e E f f e c t i v e D a t e , i t i s i n t h e b e s t i n t e r e s t o f b o t h P a r t i e s a n d o f C u s t o m e r s t o c r e a t e a n d m a i n t a i n C u s t o m e r A c c o u n t s t h r o u g h a s i n g l e e n t i t y . 2 . 7 . 2 E x c e p t a s o t h e r w i s e m u t u a l l y a g r e e d b y t h e P a r t i e s , i n t h e i r r e a s o n a b l e d i s c r e t i o n , o r o t h e r w i s e p r o v i d e d h e r e i n , O C T A s h a l l b e c o n s i d e r e d t h e " a c c o u n t h o l d i n g a g e n c y " f o r p u r p o s e s o f c r e a t i n g a n d m a i n t a i n i n g C u s t o m e r A c c o u n t s . U p o n t h e o p e n i n g o f t o l l f a c i l i t i e s o n S t a t e R o u t e 1 5 , w h i c h c o n n e c t t o t h e R C T C 9 1 E x p r e s s L a n e s , R C T C m a y e l e c t t o a l s o b e c o m e a n " a c c o u n t h o l d i n g a g e n c y " f o r p u r p o s e s o f c r e a t i n g a n d m a i n t a i n i n g C u s t o m e r A c c o u n t s o n a n d a f t e r t h e d a t e o f t h e o p e n i n g o f t h e S t a t e R o u t e 1 5 t o l l f a c i l i t i e s . N o P a r t y s h a l l b e r e q u i r e d t o t r a n s f e r t h e n - e x i s t i n g C u s t o m e r s a n d C u s t o m e r A c c o u n t s t o t h e o t h e r P a r t y w i t h o u t m u t u a l c o n s e n t ; h o w e v e r , i n t h e e v e n t t h a t t h e P a r t i e s d o a g r e e t o t h e t r a n s f e r o f C u s t o m e r s a n d C u s t o m e r A c c o u n t s , t h e P a r t i e s s h a l l c o o p e r a t e i n o r d e r t o p r o v i d e a s m o o t h t r a n s i t i o n f o r C u s t o m e r s . 2 . 7 . 3 T h e O p e r a t o r s h a l l c o n t i n u e m a n a g i n g t r a n s a c t i o n s f o r n e w a n d e x i s t i n g C u s t o m e r A c c o u n t s a n d C u s t o m e r s f o r b o t h t h e O C T A 9 1 E x p r e s s L a n e s a n d t h e R C T C 9 1 E x p r e s s L a n e s , i n c l u d i n g t r a n s a c t i o n s w i t h O t h e r T o l l E n t i t i e s f o r t o l l c h a r g e s i n c u r r e d b y C u s t o m e r s o n a n y p o r t i o n o f t h e 9 1 E x p r e s s L a n e s a n d f o r t o l l c h a r g e s i n c u r r e d b y C u s t o m e r s o n t o l l f a c i l i t i e s o f O t h e r T o l l E n t i t i e s . 2 . 7 . 4 I t i s t h e s p e c i f i c i n t e n t o f t h e P a r t i e s t o e x c l u d e R C T C f r o m a n y c l a i m s o r l a w s u i t s r e g a r d i n g t o l l v i o l a t i o n s a n d / o r c o l l e c t i o n p r o s e c u t i o n s a r i s i n g p r i o r t o t h e O p e n i n g D a t e , a n d n o t h i n g c o n t a i n e d i n t h i s C o o p e r a t i v e A g r e e m e n t s h a l l c r e a t e a n y l i a b i l i t y o n t h e p a r t o f R C T C f o r a n y s u c h c l a i m s o r l a w s u i t s . O C T A s h a l l i n d e m n i f y , d e f e n d a n d h o l d h a r m l e s s R C T C p u r s u a n t t o S e c t i o n 9 . 1 o f t h i s C o o p e r a t i v e A g r e e m e n t f r o m a n d a g a i n s t a n y s u c h l i a b i l i t y . 2 . 7 . 5 S u b j e c t t o R C T C ' s c o m p l i a n c e w i t h O C T A ' s e x i s t i n g a g r e e m e n t s w i t h C u s t o m e r s a n d a p p l i c a b l e l a w s r e l a t e d t o C u s t o m e r p r i v a c y a n d r e c o r d k e e p i n g , O C T A a g r e e s t o p r o v i d e R C T C e q u a l a n d t i m e l y a c c e s s t h r o u g h t h e O p e r a t o r t o t h e f u l l d a t a b a s e a n d a l l o t h e r i n f o r m a t i o n r e g a r d i n g e x i s t i n g a n d n e w C u s t o m e r A c c o u n t s . O C T A s h a l l a m e n d i t s e x i s t i n g C u s t o m e r A g r e e m e n t ( a ) t o a d v i s e C u s t o m e r s t h a t R C T C o w n s a n d o p e r a t e s a p o r t i o n o f t h e 9 1 E x p r e s s L a n e s a n d i s a n e x p r e s s t h i r d p a r t y b e n e f i c i a r y o f , a n d m a y e n f o r c e , C u s t o m e r o b l i g a t i o n s u n d e r t h e C u s t o m e r A g r e e m e n t d i r e c t l y r e l a t e d t o C u s t o m e r s ' u s e o f t h e R C T C 9 1 E x p r e s s L a n e s ; ( b ) t o r e f l e c t t h a t R C T C w i l l h a v e a c c e s s t o C a l i f o r n i a H i g h w a y P a t r o f r e p o r t s o f i n c i d e n t s o n t h e 9 1 E x p r e s s L a n e s ; ( c ) t o r e f l e c t t h a t R C T C w i l l h a v e a c c e s s t o C u s t o m e r A c c o u n t i n f o r m a t i o n f o r p u r p o s e s r e l a t e d t o R C T C ' s o w n e r s h i p a n d o p e r a t i o n o f t h e R C T C 9 1 E x p r e s s L a n e s , i n c l u d i n g , b u t n o t l i m i t e d t o , c o l l e c t i n g a n d e n f o r c i n g t o l l s , f i n e s a n d / o r o t h e r c h a r g e s ; a n d ( d ) t o a d d R C T C a s a n e x p r e s s b e n e f i c i a r y t o t h e r e l e a s e , i n d e m n i f i c a t i o n , a n d d i s c l a i m e r o f r e p r e s e n t a t i o n s / w a r r a n t i e s p r o v i s i o n s o f t h e C u s t o m e r A g r e e m e n t . O C T A s h a l l m a k e s u c h a m e n d m e n t s , a n d r e q u i r e t h e O p e r a t o r t o p r o v i d e n o t i c e t o a l l e x i s t i n g C u s t o m e r s t h a t s u c h a m e n d m e n t s w i l l b e m a d e , a t l e a s t t w e l v e ( 1 2 ) m o n t h s p r i o r t o t h e r e a s o n a b l y a n t i c i p a t e d R V P U B I H S H A N E 1 7 7 2 2 1 6 . 1 1 1 4 0 8 Opening Date. An updated Customer Account agreement, including the changes specified in the foregoing sentence, shall be utilized for all new Customers entering into a Customer Agreement within twelve (12) months of the reasonably anticipated Opening Date. 2.8 Customer Account Business Rules/Operating Rules; Toll Pricing Policies. 2.8.1 The Parties agree that, where practicable, it is in the best interest of Customers to maintain and implement consistent Customer Account Business Rules/Operating Rules. 2.8.2 RCTC agrees to utilize and adopt the Customer Account Business Rules/ Operating Rules, as such rules exist as of four (4) months prior to the scheduled close of financing for the initial phase of the Project, as such date may change from time to time. 2.8.3 Any changes to the Customer Account Business Rules/Operating Rules following four (4) months prior to the scheduled close of financing for the initial phase of the Project, as such date may change from time to time, must be reviewed and approved by the Parties' Designated Executive Representatives. 2.8.4 If the Parties' Designated Executive Representatives are unable to reach consensus on proposed changes to the Customer Account Business Rules/Operating Rules, the matter shall be referred to the CEO and the Executive Director, respectively. 2.8.5 If the CEO and Executive Director are unable to reach consensus on changes to the Customer Account Business Rules/Operating Rules, the matter may be referred to additional dispute resolution procedures as may be agreed upon by the Parties. 2.8.6 The Parties shall each be responsible for adopting and implementing their own Toll Pricing Policies, including pricing for reduced toll paying vehicles. 2.9 91 Express Lanes Marketing. 2.9.1 General Principles. (a) The Parties agree that it is in the best interest of each Party to create and implement consistent branding and marketing for the 91 Express Lanes. (b) The Parties agree that the OCTA 91 Express Lanes and any RCTC 91 Express Lanes shall be referred to jointly, for branding and marketing purposes, as the "91 Express Lanes" unless the Parties agree otherwise in writing, in their reasonable discretion. (c) The "branding" and marketing for the entirety of the 91 Express Lanes shall recognize the ownership of both OCTA and RCTC. Each Party shall cooperate on marketing and outreach efforts for the 91 Express Lanes. (d) The Parties agree to cooperate in developing marketing and branding materials and plans. If the Parties are unable to agree on a joint marketing plan, each R VPUBIHSHANE1772216.I 12 • 409 " " " P a r t y s h a l l b e e n t i t l e d t o u n d e r t a k e i t s o w n m a r k e t i n g , s u b j e c t t o t h e p r o v i s i o n s o f t h i s S e c t i o n 2 . 9 . 2 . 9 . 2 M a r k e t i n g M a t e r i a l s a n d W e b s i t e . ( a ) T h e P a r t i e s a g r e e t h a t , f o l l o w i n g t h e M a r k e t i n g C o m m e n c e m e n t D a t e , a l l a d v e r t i s e m e n t s , r e g a r d l e s s o f f o r m a t , w e b - b a s e d a n d p r i n t e d m a t e r i a l s a n d j o i n t f a c i l i t i e s a n d e q u i p m e n t u t i l i z i n g t h e 9 1 E x p r e s s L a n e s l o g o s h a l l a l s o i n c l u d e t h e l o g o s f o r b o t h O C T A a n d R C T C . ( b ) T h e P a r t i e s m a y a g r e e t o s h a r e t h e c o s t s o f m a r k e t i n g m a t e r i a l s o r p r o g r a m s f o r t h e 9 1 E x p r e s s L a n e s t h a t a r e o f m u t u a l b e n e f i t t o b o t h P a r t i e s . ( c ) F o l l o w i n g t h e M a r k e t i n g C o m m e n c e m e n t D a t e , t h e w e b s i t e f o r t h e 9 1 E x p r e s s L a n e s s h a l l i n c l u d e t h e R C T C 9 1 E x p r e s s L a n e s a n d e a c h P a r t y s h a l l h a v e j o i n t a c c e s s , a n d a b i l i t y t o p o s t m a t e r i a l s , t o t h e w e b s i t e . ( d ) F o l l o w i n g t h e M a r k e t i n g C o m m e n c e m e n t D a t e , O C T A a n d R C T C s h a l l j o i n t l y p r o d u c e t h e 9 1 E x p r e s s L a n e s q u a r t e r l y n e w s l e t t e r . 2 . 9 . 3 R e v i e w o f M a r k e t i n g M a t e r i a l s . ( a ) T h e P a r t i e s i n t e n d t h a t n e i t h e r P a r t y w i l l m a r k e t t h e 9 1 E x p r e s s L a n e s , o r a n y p o r t i o n t h e r e o f , i n a m a n n e r t h a t w i l l n e g a t i v e l y i m p a c t t h e o t h e r P a r t y o r t h e p o r t i o n o f t h e E x p r e s s L a n e s o p e r a t e d b y t h e o t h e r P a r t y . ( b ) E a c h P a r t y s h a l l s u b m i t a l l m a r k e t i n g m a t e r i a l s a n d p r o g r a m s f o r t h e 9 1 E x p r e s s L a n e s f o r r e v i e w a n d c o n c u r r e n c e o f t h e o t h e r P a r t y , i n i t s r e a s o n a b l e d i s c r e t i o n , p r i o r t o p u b l i c l y d i s s e m i n a t i n g s u c h m a t e r i a l s . ( c ) S h o u l d a d i s p u t e a r i s e r e g a r d i n g m a r k e t i n g m a t e r i a l s f o r t h e 9 1 E x p r e s s L a n e s , s u c h d i s p u t e s h a l l b e s u b m i t t e d t o t h e d i s p u t e r e s o l u t i o n p r o c e s s s e t f o r t h i n S e c t i o n 9 . 5 o f t h i s C o o p e r a t i v e A g r e e m e n t . 2 . 9 . 4 I n f u r t h e r a n c e o f t h e p r o v i s i o n s o f t h i s S e c t i o n 2 . 9 , f o r s o l o n g a s t h i s A g r e e m e n t i s i n e f f e c t , e a c h P a r t y h e r e b y a u t h o r i z e s a n d g r a n t s t h e o t h e r P a r t y t h e r i g h t t o u s e , f r e e o f c h a r g e , a l l r e g i s t e r e d t r a d e m a r k s a n d / o r s e r v i c e m a r k s h e l d b y e i t h e r P a r t y r e l a t e d t o t h e 9 1 E x p r e s s L a n e s t o t h e e x t e n t n e c e s s a r y f o r j o i n t R C T C / O C T A b r a n d i n g a n d m a r k e t i n g p u r p o s e s . F o l l o w i n g t e r m i n a t i o n o f t h i s A g r e e m e n t f o r a n y r e a s o n , e a c h P a r t y s h a l l h a v e t h e r i g h t t o c o n t i n u e t o u s e a n y r e g i s t e r e d t r a d e m a r k s a n d / o r s e r v i c e m a r k s h e l d b y t h e o t h e r P a r t y , w h i c h a r e b e i n g u t i l i z e d f o r j o i n t R C T C / O C T A b r a n d i n g a n d m a r k e t i n g p u r p o s e s a t t h e t i n e o f s u c h t e r m i n a t i o n , f o r 9 1 E x p r e s s L a n e b r a n d i n g a n d m a r k e t i n g p u r p o s e s , p r o v i d e d t h a t s u c h P a r t y p a y s t h e P a r t y h o l d i n g t h e t r a d e m a r k s a n d / o r s e r v i c e m a r k s r e a s o n a b l e c o m p e n s a t i o n i n a n a m o u n t m u t u a l l y a g r e e d u p o n b y t h e P a r t i e s i n t h e i r r e a s o n a b l e d i s c r e t i o n . 2 . 9 . 5 R C T C s h a l l e n t e r i t s o w n l i c e n s i n g a g r e e m e n t w i t h F a s t r a k p r i o r t o u t i l i z i n g t h e F a s t r a k l o g o o r o t h e r F a s t r a k m a t e r i a l s . R V P U B I H S H A N E 1 7 7 2 2 1 6 . 1 1 3 4 1 0 2.10 Changes in Technology; Interoperability. 2.10.1 The Parties acknowledge that either Party may require changes in tolling technology and that cooperation between the Parties will be required to ensure continued. interoperability of tolling technology and Transponders used on the 91 Express Lanes. 2.10.2 The Party implementing technology changes shall be responsible for covering reasonable costs associated with such changes, and shall ensure interoperability of the new technology with existing tolling technology and Toll Related Facilities. Notwithstanding the foregoing, if both Parties will benefit from adoption of a new technology, the Parties shall consider, in good faith, an equitable manner of sharing the costs for implementation of the new technology. Determinations regarding equitable cost sharing shall be part of the procedure for requests for technology changes set forth in Section 2.10.4 below. 2.10.3 Switchable Transponders. (a) The Parties specifically acknowledge that RCTC may initially require use of a Switchable Transponder. The Parties hereby agree that any Customer Accounts or Customers that desire to have an option to use the RCTC 91 Express Lanes other than as a full toll paying vehicle, such as a reduced toll paying vehicle or an exempt vehicle, shall be entitled to request a Switchable Transponder. RCTC shall be responsible for the incremental added cost of all new Switchable Transponders. (b) Any such Switchable Transponders shall be compatible with then current California standards for transponders (which are currently set forth in California Code of Regulations Title 21, Chapter 16, Articles 1 through 4 (hereinafter, "Title 21")). The Parties anticipate that Switchable Transponders will be interoperable with OCTA's tolling technology and equipment in use as of the Effective Date. Notwithstanding the foregoing, however, provided that OCTA does not independently require or need upgrades to its existing tolling technology and Toll Related Facilities to accommodate Switchable Transponders utilized by Other Toll Entities prior to the date on which Switchable Transponders are put into operation for the RCTC 91 Express Lanes, RCTC will be responsible for the costs, if any, of initial upgrades to OCTA's tolling technology and to the Toll Related Facilities necessitated by the use of Switchable Transponders on the RCTC 91 Express Lanes and for OCTA's related implementation costs. If OCTA independently requires or needs such upgrades, as set forth in the foregoing sentence, OCTA will be solely responsible for the costs thereof. (c) RCTC shall work with OCTA on matters related to adoption and use of Switchable Transponders, however, RCTC shall have final approval of such matters and the discretion to implement the same. (d) Commencing twenty-four (24) months prior to the Opening Date, if OCTA intends to purchase any new Transponders, OCTA shall first confer with RCTC regarding such purchase and shall consider any proposals by RCTC regarding Switchable Transponders. R VPUBIHSHAN E1772216.1 14 • 411 (e) It is the intent of the Parties that, to facilitate ease of use of the 9I Express Lanes by Customers, commencing as of the Pre -Operations Period, all new Customers will have the option to obtain a Switchable Transponder. (0 It is the goal of the Parties to utilize a consistent Transponder technology. In furtherance of this goal, the Parties intend that, as soon as determined practicable by both Parties, all new Transponder orders shall be for Switchable Transponders. 2.10.4 Procedure for Technology Changes. (a) From and after the Opening Date and in order to ensure that any changes in tolling technology desired by either Party are fully interoperable with the then - existing tolling and operational systems and/or will not cause the other Party to incur unapproved additional costs that will not be reimbursed by the requesting Party, prior to making any changes in Transponders, tolling hardware, tolling software or other tolling technology, the Party desiring the changes shall obtain a determination by the other Party's Designated Executive Representative that the proposed change(s) are both interoperable and will not cause any additional costs to the other Party. Any changes that are not fully interoperable with then - currently implemented and existing tolling and operational systems used for operation of the 91 Express Lanes and/or any changes that may cause the other Party to incur unapproved additional costs that will not be reimbursed by the requesting Party shall require approval of the other Party's Designed Executive Representative. Requests to the appropriate Designated Executive Representative for a determination regarding proposed changes in tolling technology or for approval of proposed changes in tolling technology shall include the following, as applicable (i) information detailing interoperability of the changed elements; (ii) information detailing any changes to the existing Toll Related Facilities, tolling systems and operational systems that may be required to incorporate the proposed changes with then -currently implemented and existing tolling systems and operational systems used for operation of the 91 Express Lanes; and (iii) information detailing compliance of the changes with Title 21 (or any subsequent equivalent standard). (b) If the Parties' Designated Executive Representatives are unable to reach consensus on adoption of any changes in Transponders, tolling hardware, tolling software or other tolling technology, on whether the proposed changes will cause additional costs to the other Party or on the interoperability of proposed changes, the matter shall be referred to the CEO and the Executive Director, respectively. (c) If the CEO and the Executive Director are unable to reach consensus on changes in Transponders, tolling hardware, tolling software or other tolling technology, on whether the proposed changes will cause additional coststothe other Party or on the interoperability of proposed changes, the matter may be referred to additional dispute resolution procedures as may be agreed upon by the Parties. (d) The Parties agree that this Section 2.10.4 shall not apply to adoption of Switchable Transponders, and that RCTC shall have the right, pursuant to Section 2.10.3 to make available Switchable Transponders to Customers without following the process set forth above. RV PUB\HSHANE1772216.1 15 412 (e) The Parties agree that any approval of technology changes as set forth herein may require further action by the governing bodies of both or either Party, and no action hereunder shall bind the governing bodies of either Party as to such action, nor shall any action be considered final until all required approvals have been obtained. 2.11 Agreements with Other Toll Entities. 2.11.1 Unless otherwise agreed upon by the Parties, OCTA, as the "account holding agency" shall represent the interests of both Parties under OCTA's existing cooperative user fee processing agreements with Other Toll Entities as relates to the 91 Express Lanes. 2.11.2 RCTC shall accept the terms of OCTA's cooperative user fee processing agreement with Other Toll Entities in effect as of four (4) months prior to the scheduled close of financing for the initial phase of the Project, as such date may change from time to time. Any changes to said agreements following six months prior to the scheduled close of financing for the initial phase of the Project, excluding any changes required solely to encompass the updated boundaries of the 91 Express Lanes, must be reviewed and approved by both Parties, acting reasonably. The Parties shall establish a mutually acceptable process to allocate payments and/or credits from Other Toll Entities between the Parties. 2.11.3 For so long as OCTA remains the sole "account holding agency", OCTA shall remain the signatory for charges to and from the Other Toll Entities incurred pursuant to the cooperative user fee processing agreements. If RCTC becomes an "account holding agency," RCTC shall enter into new and separate cooperative user fee processing agreements with Other Toll Entities and OCTA as it relates to the RCTC 91 Express Lanes. ARTICLE 3 USE OF TOLL ROAD OPERATOR 3.1 Objectives Related to Use of Toll Road Operator. 3.1.1 Prior to the Opening Date, if any, RCTC and OCTA intend to negotiate and jointly enter into an Operations Agreement with the Operator in existence as of the Effective Date. 3.1.2 It is the intent of the Parties that the Operator shall operate the 91 Express Lanes as a single toll facility in order to create a seamless experience for Customers. 3.1.3 By jointly contracting with the Operator, the Parties desire to minimize extra work and personnel and duplication of services by the Operator, and to minimize the increase in operating costs of the 91 Express Lanes, in order to lower operating costs for both OCTA and RCTC. 3.1.4 By jointly contracting with the Operator, the Parties further desire to minimize conflicting directions that may be provided to the Operator by the Parties, and to maximize the opportunity for sharing of resources and costs, as may be beneficial to both Parties. 16 R V PU HIHSHAN6 V 72216.I i 413 " 3 . 1 . 5 T h e i n t e n t o f t h i s A r t i c l e 3 o f t h e C o o p e r a t i v e A g r e e m e n t i s t o s e t f o r t h t h e g e n e r a l t e r n s a n d c o n d i t i o n s t h a t t h e P a r t i e s i n t e n d t o n e g o t i a t e w i t h t h e O p e r a t o r f o r i n c l u s i o n i n t h e O p e r a t i o n s A g r e e m e n t . T h e P a r t i e s a c k n o w l e d g e a n d a g r e e t h a t t h e t e r m s c o n t a i n e d i n t h i s A r t i c l e 3 h a v e n o t , a s o f t h e E f f e c t i v e D a t e , b e e n a g r e e d t o b y t h e O p e r a t o r , a n d t h a t a n y . t e r m s t h a t r e l a t e t o t h e r i g h t s a n d / o r o b l i g a t i o n s o f t h e O p e r a t o r s h a l l o n l y b e e f f e c t i v e u p o n a c c e p t a n c e t h e r e o f b y t h e O p e r a t o r , a n d t h e i n c l u s i o n o f s a i d t e r m s i n t h e O p e r a t i o n s A g r e e m e n t a n d t h e e x e c u t i o n t h e r e o f b y t h e O p e r a t o r , O C T A a n d R C T C . 3 . 2 O p e r a t o r S e r v i c e s D u r i n g P r e - O p e r a t i o n s P e r i o d . 3 . 2 . 1 T h e P a r t i e s a n t i c i p a t e t h a t R C T C ' s o b l i g a t i o n s u n d e r t h e O p e r a t i o n s A g r e e m e n t w i l l c o m m e n c e a s o f t h e c o m m e n c e m e n t o f t h e P r e - O p e r a t i o n s P e r i o d , s o t h a t R C T C m a y a c q u i r e s e r v i c e s f r o m t h e O p e r a t o r t o p r e p a r e f o r t h e O p e n i n g D a t e . 3 . 2 . 2 T h e O p e r a t i o n s A g r e e m e n t s h a l l p r o v i d e t h a t , d u r i n g t h e P r e - O p e r a t i o n s P e r i o d a n d e x c e p t a s m a y m a t e r i a l l y i m p a c t t h e R C T C 9 1 E x p r e s s L a n e s , t h e T o l l R e l a t e d F a c i l i t i e s , t h e d e s i g n a n d c o n s t r u c t i o n o f t h e R C T C 9 1 E x p r e s s L a n e s ( a n d a n y p o r t i o n t h e r e o f ) a n d / o r t h e P a r t i e s ' a b i l i t y t o p e r f o r m u n d e r t h i s C o o p e r a t i v e A g r e e m e n t , O C T A s h a l l h a v e t h e r i g h t t o d i r e c t t h e O p e r a t o r , w i t h o u t i n p u t o r c o n s e n t f r o m R C T C , o n a l l m a t t e r s r e l a t e d t o o p e r a t i o n a l i s s u e s o f t h e O C T A 9 1 E x p r e s s L a n e s . 3 . 2 . 3 T h e O p e r a t i o n s A g r e e m e n t s h a l l p r o v i d e t h a t d u r i n g t h e P r e - O p e r a t i o n s P e r i o d a n d e x c e p t a s m a y m a t e r i a l l y i m p a c t t h e O C T A 9 1 E x p r e s s L a n e s , t h e T o l l R e l a t e d F a c i l i t i e s a n d / o r t h e P a r t i e s ' a b i l i t y t o p e r f o r m u n d e r t h i s C o o p e r a t i v e A g r e e m e n t , R C T C s h a l l h a v e t h e r i g h t t o d i r e c t t h e O p e r a t o r , w i t h o u t i n p u t o r c o n s e n t f r o m O C T A , o n a l l m a t t e r s r e l a t e d t o t h e d e s i g n , c o n s t r u c t i o n a n d o p e r a t i o n o f t h e R C T C 9 1 E x p r e s s L a n e s . 3 . 2 . 4 T h e P a r t i e s a c k n o w l e d g e a n d a g r e e t h a t d u r i n g t h e P r e - O p e r a t i o n s P e r i o d , R C T C ' s n e e d s r e l a t e d t o t h e O p e r a t o r ' s s e r v i c e s w i l l b e d i f f e r e n t t h a n O C T A ' s n e e d s , a n d t h e g e n e r a l c o s t s h a r i n g f o r t h e J o i n t S c o p e o f W o r k , a s d e f i n e d b e l o w , s h a l l n o t c o m m e n c e u n t i l t h e O p e n i n g D a t e . I n n e g o t i a t i n g t h e O p e r a t i o n s A g r e e m e n t , t h e P a r t i e s s h a l l n e g o t i a t e a n e q u i t a b l e m e t h o d o f c o s t a l l o c a t i o n f o r t h e O p e r a t o r ' s s e r v i c e s d u r i n g t h e P r e - O p e r a t i o n s P e r i o d , r e c o g n i z i n g t h a t R C T C ' s s c o p e o f w o r k w i l l b e d i f f e r e n t t h a n O C T A ' s s c o p e o f w o r k p r i o r t o t h e O p e n i n g D a t e . 3 . 3 O p e r a t o r S c o p e o f W o r k ; C o s t s F o l l o w i n g O p e n i n g D a t e . 3 . 3 . 1 T h e P a r t i e s i n t e n d t o n e g o t i a t e a s c o p e o f w o r k d e t a i l i n g t h e s e r v i c e s t o b e p r o v i d e d b y t h e O p e r a t o r t o b o t h P a r t i e s ( " J o i n t S c o p e o f W o r k " ) u n d e r t h e O p e r a t i o n s A g r e e m e n t . T h e J o i n t S c o p e o f W o r k s h a l l i n c l u d e t h o s e s e r v i c e s g e n e r a l l y r e q u i r e d f o r t h e n o r m a l d a y - t o - d a y o p e r a t i o n a n d m a i n t e n a n c e o f t h e 9 1 E x p r e s s L a n e s a s a s i n g l e t o l l - f a c i l i t y . S p e c i a l o r a d d i t i o n a l s e r v i c e s i n c l u d e t h o s e s e r v i c e s a b o v e a n d b e y o n d t h e n o r m a l d a y - t o - d a y o p e r a t i o n s a n d m a i n t e n a n c e r e q u i r e m e n t s o f t h e 9 1 E x p r e s s L a n e s t h a t e i t h e r P a r t y m a y r e q u i r e i n c o n n e c t i o n w i t h t h e i r r e s p e c t i v e p o r t i o n s o f t h e 9 1 E x p r e s s L a n e s ( " A d d i t i o n a l O p e r a t o r S e r v i c e s " ) . R V P U 6 1 H S H A N E \ 7 7 2 2 1 6 . 1 1 7 4 1 4 3.3.2 The Parties intend to negotiate with the Operator a monthly lump sum price for the Operator's services under the Joint Scope of Work ("Monthly Lump Sum Price') and anticipate that the Operator will bill each Party separately for its respective share of the Monthly Lump Sum Price, as shall be subsequently agreed to in writing by the Parties and the Operator. 3.3.3 The Operations Agreement shall provide that the Joint Scope of Work may not be modified and the Monthly Lump Sum Price shall not be increased, except as adjusted pursuant to the terns of the Operations Agreement or by written amendment, signed by all parties to the Operations Agreement. 3.4 Extra Work/Change Orders for Additional Operator Services. (a) The Parties intend that the Operations Agreement shall provide that any Additional Operator Services required by both Parties shall be jointly issued to the Operator and approved in writing by both Parties and the Operator. (b) The Parties intend that the Operations Agreement shall provide. that a Party may unilaterally request Additional Operator Services that affect only that Parry's portion of the 91 Express Lanes, provided that the extra work order, change order, or other document relating to such Additional Operator Services shall not be effective unless and until the requesting Party has provided written notice and a copy of the extra work order, change order, or other relevant document to the other Party. The requesting Party shall bear full responsibility for the entire cost of such Additional Operator Services, with no right to reimbursement from the other Party. This paragraph is intended only to address the unilateral rights of each Party to authorize Additional Operator Services and is not intended to allow a unilateral amendment to the Operations Agreement, and the Parties agree that any amendment to the Operations Agreement will require written consent of both Parties and the Operator. 3.4.2 Disputes Regarding Additional Operator Services. Any dispute between the Parties regarding Additional Operator Services shall be resolved through the dispute resolution procedures set forth in Section 9.5 of this Cooperative Agreement. 3.4.3 Operator Not a Third Party Beneficiary. Nothing contained in this Cooperative Agreement is intended to provide or vest any third party beneficiary rights in the Operator or any other party. 3.5 Coordination under Operations Agreement. 3.5.1 The Executive Director and the CEO shall each appoint a designated representative to act on behalf of RCTC and OCTA, respectively," under the Operations Agreement ("Operations Agreement Representatives"). 3.5.2 The Parties intend that the Operator shall appoint a designated representative of the Operator who will be authorized to represent and act on behalf of the Operator under the Operations Agreement ("Operator Representative"). R V P U 611i S H AN E\772216.1 l8 • 415 " 3 . 5 . 3 T o f a c i l i t a t e e f f e c t i v e p e r f o r m a n c e o f t h e O p e r a t i o n s A g r e e m e n t b y t h e O p e r a t o r , t h e P a r t i e s i n t e n d t h a t t h e O p e r a t i o n s A g r e e m e n t R e p r e s e n t a t i v e s a n d t h e O p e r a t o r R e p r e s e n t a t i v e s h a l l m e e t p e r i o d i c a l l y t o a d d r e s s t h e n e e d s a n d c o n c e r n s o f R C T C a n d O C T A r e l a t e d t o o p e r a t i o n o f t h e 9 1 E x p r e s s L a n e s . T h e P a r t i e s s h a l l e n d e a v o r t o p r o v i d e a n y n e c e s s a r y d i r e c t i o n t o t h e O p e r a t o r r e g a r d i n g t h e O p e r a t o r ' s s e r v i c e s d u r i n g s u c h p e r i o d i c m e e t i n g s . 3 . 5 . 4 T h e O p e r a t i o n s A g r e e m e n t R e p r e s e n t a t i v e s s h a l l e n d e a v o r t o k e e p o n e a n o t h e r i n f o r m e d o f a n y c o m m u n i c a t i o n s w i t h o r d i r e c t i o n s p r o v i d e d t o t h e O p e r a t o r . W r i t t e n a n d / o r e l e c t r o n i c c o r r e s p o n d e n c e b e t w e e n t h e O p e r a t o r a n d e i t h e r O p e r a t i o n s A g r e e m e n t R e p r e s e n t a t i v e s h a l l b e p r o m p t l y c o p i e d t o t h e o t h e r O p e r a t i o n s A g r e e m e n t R e p r e s e n t a t i v e . 3 . 5 . 5 O p e r a t o r ' s R i g h t s a n d O b l i g a t i o n s R e g a r d i n g D i r e c t i o n s f r o m t h e P a r t i e s . I t i s t h e i n t e n t o f t h e P a r t i e s t h a t t h e O p e r a t i o n s A g r e e m e n t s h a l l c o n t a i n p r o v i s i o n s a d d r e s s i n g t h e f o l l o w i n g : ( a ) T h e O p e r a t o r s h a l l h a v e t h e r i g h t t o t a k e d i r e c t i o n f r o m O C T A o n m a t t e r s s o l e l y r e l a t e d t o o p e r a t i o n o f t h e O C T A 9 1 E x p r e s s L a n e s . T h e O p e r a t o r s h a l l h a v e t h e r i g h t t o t a k e d i r e c t i o n f r o m R C T C o n m a t t e r s s o l e l y r e l a t e d t o o p e r a t i o n o f t h e R C T C 9 1 E x p r e s s L a n e s , i n c l u d i n g a n y m a t t e r s r e l a t e d t o d e s i g n a n d c o n s t r u c t i o n o f t h e R C T C 9 1 E x p r e s s L a n e s . ( b ) N o t w i t h s t a n d i n g p a r a g r a p h ( b ) a b o v e , i f i t i s r e a s o n a b l y f o r e s e e a b l e b y t h e O p e r a t o r o r a P a r t y , e x e r c i s i n g i t s r e s p e c t i v e g o o d f a i t h j u d g m e n t , t h a t d i r e c t i o n r e c e i v e d f r o m o n e P a r t y m a y m a t e r i a l l y i m p a c t t h e o t h e r P a r t y ' s p o r t i o n o f t h e 9 1 E x p r e s s L a n e s , t h e n , e x c e p t i n t h e c a s e o f E m e r g e n c i e s , t h e O p e r a t o r a n d / o r s u c h P a r t y s h a l l i n f o r m t h e o t h e r P a r t y a n d o b t a i n i t s w r i t t e n a p p r o v a l o f s u c h d i r e c t i o n p r i o r t o t a k i n g a n y a c t i o n . ( c ) I f , i n t h e c a s e o f a n E m e r g e n c y , t h e O p e r a t o r a c c e p t s d i r e c t i o n f r o m t h e O p e r a t i o n s A g r e e m e n t R e p r e s e n t a t i v e o f o n e P a r t y r e g a r d i n g a m a t t e r w h i c h t h e O p e r a t o r , e x e r c i s i n g i t s g o o d f a i t h j u d g m e n t , b e l i e v e s c o u l d a f f e c t b o t h p o r t i o n s o f t h e 9 1 E x p r e s s L a n e s , t h e O p e r a t o r s h a l l t a k e o n l y s u c h a c t i o n a s i s n e c e s s a r y t o i m m i n e n t l y a d d r e s s t h e E m e r g e n c y a n d s h a l l n o t i f y , a s s o o n a s r e a s o n a b l y p o s s i b l e , t h e o t h e r O p e r a t i o n s A g r e e m e n t R e p r e s e n t a t i v e o f s u c h d i r e c t i o n a n d a n y a c t i o n s t a k e n p u r s u a n t t h e r e t o . ( d ) N e i t h e r P a r t y s h a l l h a v e t h e r i g h t t o u n i l a t e r a l l y a f f e c t a c h a n g e t o a n y t e r m s o f t h e O p e r a t i o n s A g r e e m e n t , o r , e x c e p t i n t h e c a s e o f a n E m e r g e n c y , t o u n i l a t e r a l l y d i r e c t a n y s e r v i c e s t h a t w o u l d r e s u l t i n a n i n c r e a s e i n t h e M o n t h l y L u m p S u m P r i c e o r a c h a n g e i n t h e J o i n t S c o p e o f W o r k . ( e ) i f t h e O p e r a t o r r e c e i v e s c o n f l i c t i n g d i r e c t i o n s f r o m t h e O p e r a t i o n s A g r e e m e n t R e p r e s e n t a t i v e s , t h e O p e r a t o r s h a l l b e o b l i g a t e d t o i n f o r m t h e O p e r a t i o n s A g r e e m e n t R e p r e s e n t a t i v e s o f s u c h c o n f l i c t a n d s h a l l n o t , e x c e p t i n t h e c a s e o f a n E m e r g e n c y , t a k e a n y a c t i o n u n t i l t h e c o n f l i c t i s r e s o l v e d . 3 . 5 . 6 I f t h e O p e r a t i o n s A g r e e m e n t R e p r e s e n t a t i v e s a r e u n a b l e t o a g r e e u p o n a n a c t i o n t h a t m a y a f f e c t b o t h p o r t i o n s o f t h e 9 1 E x p r e s s L a n e s o r t o r e s o l v e a c o n f l i c t i n d i r e c t i o n s R V P U M H S H A N E \ 7 7 2 2 1 6 . 1 1 9 4 1 6 provided to the Operator, the matter shall be referred to the dispute resolution process set forth in Section 9.5 of this Cooperative Agreement. 3.5.7 During the pendency of a dispute, as described in Section 3.5.6 and except in the case of an Emergency, the Operator shall take no action regarding the disputed matter until the dispute has been resolved. If an Emergency exists, the Operator shall take the minimum action(s) necessary to address such Emergency prior to resolution of the dispute. 3.6 provide that: Operator Services. The Parties intend that the Operations Agreement shall 3.6.1 The Operator shall, to the extent reasonably possible, operate the 91 Express Lanes as a single toll facility. 3.6.2 In operating the 91 Express Lanes customer service center, the Operator shall not differentiate between RCTC and OCTA in providing services to Customers. 3.6.3 In responding to Emergencies, the Operator shall utilize all of its resources under the Operations Agreement in the most efficient manner to protect the public and the 91 Express Lanes and to reduce any liability that either Party may incur. 3.6.4 In complying with reporting requirements under the Operations Agreement, it is the intent of the Parties that the Operator shall use the same performance measures and reporting format for both Parties, as the same may be modified for compliance with each Party's financing requirements. Special reporting needs shall be accommodated by the Operator upon request of either Party. 3.7 Indemnification/Default. 3.7.1 Indemnification; Allocation of Damages. (a) The Operations Agreement shall include an indemnification provision acceptable to the Parties requiring the Operator to indemnify, defend and hold harmless RCTC and OCTA and their respective officers, officials, employees, agents and consultants from any negligent act, omission, fraud, breach or violation of law, breach of contract or willful misconduct of the Operator. (b) The Operations Agreement shall provide that RCTC shall not be responsible for the acts or omission of OCTA under the Operations Agreement, and that OCTA shall not be responsible for the acts or omissions of RCTC under the Operations Agreement. 3.7.2 Default of Either Party. The Parties intend that, subject to negotiation with the Operator, the Operations Agreement shall provide as follows: (a) Neither RCTC nor OCTA, respectively, shall be held liable for any default of the other Party, including any default in payment. RV PUB\HSHANE1772216.I 20 • 417 " " " ( b ) R e g a r d l e s s o f a n y d e f a u l t o f o n e P a r t y , i n c l u d i n g a n y d e f a u l t i n p a y m e n t , t h e O p e r a t o r s h a l l c o n t i n u e t o p r o v i d e s e r v i c e s t o t h e n o n - d e f a u l t i n g P a r t y . 3 . 8 T e r m a n d T e r m i n a t i o n o f O p e r a t i o n s A g r e e m e n t . 3 . 8 . 1 T e r m . ( a ) T h e P a r t i e s i n t e n d t o n e g o t i a t e a n i n i t i a l t e r m a n d e x t e n s i o n t e r m ( s ) c o n s i s t e n t w i t h A r t i c l e 4 o f A g r e e m e n t N o . C - 5 - 0 3 0 0 b e t w e e n O C T A a n d t h e O p e r a t o r , a s a m e n d e d , ( " A g r e e m e n t N o . C - 5 - 0 3 0 0 " ) o r a s o t h e r w i s e m u t u a l l y a g r e e d b e t w e e n O C T A , R C T C , a n d t h e O p e r a t o r . ( b ) E x c e p t a s o t h e r w i s e p r o v i d e d b e l o w , a t l e a s t o n e ( 1 ) y e a r p r i o r t o e x p i r a t i o n o f t h e t e r m o f t h e O p e r a t i o n s A g r e e m e n t , a s e x t e n d e d , t h e P a r t i e s s h a l l m e e t a n d c o n f e r t o d e t e r m i n e w h e t h e r o r n o t t o e x e r c i s e a n a p p l i c a b l e e x t e n s i o n o p t i o n , i f a n y , t o n e g o t i a t e a n a m e n d m e n t t o t h e e x i s t i n g O p e r a t i o n s A g r e e m e n t e x t e n d i n g t h e t e r n t h e r e o f , t o n e g o t i a t e a n e w O p e r a t i o n s A g r e e m e n t w i t h t h e O p e r a t o r , o r t o p r o c u r e a n e w o p e r a t o r j o i n t l y o r i n d i v i d u a l l y f o r t h e 9 1 E x p r e s s L a n e s . N o t w i t h s t a n d i n g t h e f o r e g o i n g , u n l e s s a n d t o t h e e x t e n t m o d i f i e d i n t h e O p e r a t i o n s A g r e e m e n t , O C T A s h a l l r e t a i n t h e s o l e a u t h o r i t y a n d d i s c r e t i o n t o m a k e e a c h o f t h e f o l l o w i n g d e t e r m i n a t i o n s : ( i ) t o d e t e r m i n e w h e t h e r t h e O p e r a t o r h a s a c h i e v e d " S u b s t a n t i a l C o m p l e t i o n o f t h e S o f t w a r e " i n a c c o r d a n c e w i t h A g r e e m e n t N o . C - 5 - 0 3 0 0 ; ( i i ) w h e t h e r t o e x t e n d t h e t e r m o f t h e O p e r a t i o n s A g r e e m e n t f o r t h e " O p t i o n T e r m " i n a c c o r d a n c e w i t h i n S u b p a r a g r a p h B ( 2 ) o f A r t i c l e 4 o f A g r e e m e n t N o . C - 5 - 0 3 0 0 ; ( i i i ) t o d e t e r m i n e w h e t h e r t h e O p e r a t o r h a s p e r f o r m e d i t s o b l i g a t i o n s a n d i s n o t i n d e f a u l t i n a c c o r d a n c e w i t h S u b p a r a g r a p h C ( 2 ) o f A r t i c l e 4 o f A g r e e m e n t N o . C - 5 - 0 3 0 0 ; a n d ( i v ) t o d e t e r m i n e w h e t h e r t h e O p e r a t o r ' s f a i l u r e t o a c h i e v e " S u b s t a n t i a l C o m p l e t i o n o f t h e S o f t w a r e " o n o r p r i o r t o J a n u a r y 2 , 2 0 1 1 i s c a u s e d b y t h e a c t s o r o m i s s i o n s o f i n d e p e n d e n t t h i r d p a r t i e s b e y o n d t h e O p e r a t o r ' s c o n t r o l i n a c c o r d a n c e w i t h P a r a g r a p h D o f A r t i c l e 4 o f A g r e e m e n t N o . C - 5 - 0 3 0 0 . 3 . 8 . 2 T e r m i n a t i o n . ( a ) T h e P a r t i e s i n t e n d t h a t , s u b j e c t t o n e g o t i a t i o n w i t h t h e O p e r a t o r , t h e O p e r a t i o n s A g r e e m e n t s h a l l p r o v i d e t h a t b o t h P a r t i e s m a y t e r m i n a t e t h e O p e r a t i o n s A g r e e m e n t f o r c a u s e , o r p o t e n t i a l l y f o r o t h e r r e a s o n s , i n w h o l e , a n d / o r e i t h e r P a r t y m a y t e r m i n a t e t h e O p e r a t i o n s A g r e e m e n t f o r c a u s e a s t o t h a t P a r t y ' s r i g h t s a n d o b l i g a t i o n s t h e r e u n d e r , i n e a c h c a s e , a f t e r a l l o w i n g a n y p e r i o d f o r c u r e , a s s h a l l b e f u r t h e r s e t f o r t h i n t h e O p e r a t i o n s A g r e e m e n t . R V P U B \ H S H A N E 1 7 7 2 2 1 6 . I 2 1 4 1 8 (b) The Parties intend that, subject to negotiation with the Operator, a unilateral termination affected by either RCTC or OCTA shall apply only as to the rights and obligations of the terminating Party. The Parties intend that the Operations Agreement shall provide that upon such unilateral termination, the Operator and the non -terminating Party shall renegotiate the terms of the agreement to accommodate the changed circumstances and to keep the Operations Agreement in effect as to the non -terminating Party. (c) If one Party believes that the Operator is in default under the Operations Agreement, the Designated Executive Representatives shall meet and confer regarding the alleged Operator default. Following such meeting, and in addition to any other procedures required pursuant to the Operations Agreement, the Parties shall jointly meet with the Operator regarding the default to determine if cure is possible and to facilitate, as the Parties deem desirable, such cure. 3.8.3 Procedures and Party's Rights in Event of Disagreement Regarding Continued Use of the Operator. (a) If the Operations Agreement Representatives are in disagreement regarding an alleged uncured or uncurable default of the Operator per the terms of the Operations Agreement and whether to terminate all or a portion of the Operations Agreement pursuant to the Parties' termination rights thereunder, or if the Operations Agreement Representatives are unable to reach consensus regarding the continued use of the same Operator prior to termination of the initial term or any extension terms of the Operations Agreement, prior to a recommendation being made to either Party's full Board: (i) The matter shall be referred for further discussion and negotiation to the Designated Executive Representatives; and, (ii) The matter shall be submitted to the dispute resolution process described in Section 9.5 of this Agreement. (b) If, following completion of the dispute resolution process contained in Section 9.5 of this Agreement, the Parties are unable to reach agreement regarding continued joint use of the Operator's services then: (i) In the case of the Operator's alleged uncured or uncurable default and provided that the Parties are able to negotiate such right under the Operations Agreement, either Party shall have the right to unilaterally terminate the Operations Agreement as per said Party's rights and obligations, as the Parties intend shall be further set forth in the Operations Agreement. (ii) In the case of the failure of the Parties to agree upon the continued use of the Operator's services following the initial term or any extension term, either Party shall have the right to continue contracting with the Operator or procure its own operating services with another operator. RVPU FN ISHANEV 72216. I 22 • • • 419 " ( c ) I f t h e P a r t i e s a r e u n a b l e t o r e a c h a g r e e m e n t o n t h e c o n t i n u e d j o i n t u s e o f t h e O p e r a t o r a n d e i t h e r P a r t y d e t e r m i n e s t o e x e r c i s e i t s r i g h t s p u r s u a n t t o s u b p a r a g r a p h ( b ) a b o v e , t h e n , f o r a p e r i o d o f u p t o t w o ( 2 ) , y e a r s f o l l o w i n g a n y t e r m i n a t i o n o f t h e O p e r a t i o n s A g r e e m e n t f o r c a u s e , o r t w o ( 2 ) y e a r s f o l l o w i n g t h e e x p i r a t i o n o f t h e O p e r a t i o n s A g r e e m e n t a s t o e i t h e r P a r t y u p o n t h a t P a r r y ' s d e t e r m i n a t i o n n o t t o c o n t i n u e c o n t r a c t i n g w i t h t h e O p e r a t o r , R C T C s h a l l b e e n t i t l e d t o c o n t i n u e d u s e o f t h e T o l l R e l a t e d F a c i l i t i e s . I n s u c h c a s e , t h e P a r t i e s s h a l l d e t e r m i n e a n e q u i t a b l e m a n n e r , c o n s i s t e n t w i t h t h e t e r m s o f t h i s C o o p e r a t i v e A g r e e m e n t , o f a c c o m m o d a t i n g t h e c o n t i n u e d j o i n t u s e o f t h e T o l l R e l a t e d F a c i l i t i e s b y b o t h P a r t i e s . ( d ) F o l l o w i n g t h e t w o ( 2 ) y e a r p e r i o d o f c o n t i n u e d s h a r e d u s e o f t h e T o l l R e l a t e d F a c i l i t i e s a s s e t f o r t h i n s u b p a r a g r a p h ( c ) a b o v e , R C T C s h a l l r e l o c a t e i t s p o r t i o n o f t h e T o l l R e l a t e d F a c i l i t i e s t o a n o t h e r l o c a t i o n a n d t h e P a r t i e s s h a l l d e t e r m i n e a n e q u i t a b l e m e a n s o f d i s t r i b u t i n g a n y j o i n t l y p r o c u r e d e q u i p m e n t , s o f t w a r e , T r a n s p o n d e r s a n d o t h e r p r o p e r t y . ( e ) I f t h e P a r t i e s a r e u n a b l e t o d e t e r m i n e a n e q u i t a b l e m a n n e r , f o r a c c o m m o d a t i n g t h e c o n t i n u e d s h a r e d u s e o f t h e T o l l R e l a t e d F a c i l i t i e s a s r e q u i r e d a b o v e i n s u b p a r a g r a p h ( d ) , o r i f t h e P a r t i e s a r e u n a b l e t o d e t e r m i n e a n e q u i t a b l e m e a n s o f d i s t r i b u t i n g a n y j o i n t l y p r o c u r e d e q u i p m e n t , e i t h e r m a t t e r s h a l l b e r e f e r r e d t o t h e d i s p u t e r e s o l u t i o n p r o c e s s d e s c r i b e d i n S e c t i o n 9 . 5 o f t h i s C o o p e r a t i v e A g r e e m e n t . A R T I C L E 4 C O S T S H A R I N G F O R O P E R A T O R C O S T S 4 . 1 O p e r a t o r C o s t s R e l a t e d t o C o n s t r u c t i o n o f R C T C 9 1 E x p r e s s L a n e s . I f i m p r o v e m e n t s p r o p o s e d t o b e c o m p l e t e d b y t h e O p e r a t o r r e l a t e d t o c o n s t r u c t i o n a n d o p e r a t i o n o f t h e R C T C 9 1 E x p r e s s L a n e s w i l l b e n e f i t b o t h R C T C a n d O C T A , t h e P a r t i e s s h a l l m u t u a l l y d e t e r m i n e a n e q u i t a b l e m a n n e r o f s h a r i n g t h e c o s t s o f s u c h i m p r o v e m e n t s . T h e c o s t s p l i t f o r s u c h i m p r o v e m e n t s s h a l l b e d e t e r m i n e d i n g o o d f a i t h , b a s e d o n a r e v i e w o f t h e p r o p o s e d i m p r o v e m e n t s a n d t h e b e n e f i t o f t h e i m p r o v e m e n t s t o e a c h P a r t y . A d e t e r m i n a t i o n r e g a r d i n g t h e a g r e e d u p o n c o s t s p l i t s h a l l b e m a d e i n w r i t i n g b e f o r e c o m m e n c e m e n t o f t h e r e l e v a n t w o r k b y t h e O p e r a t o r . 4 . 2 O p e r a t o r C o s t s D u r i n g P r e - O p e r a t i o n s P e r i o d . A s f u r t h e r s e t f o r t h i n S e c t i o n 3 . 2 . 4 , t h e P a r t i e s s h a l l n e g o t i a t e a n e q u i t a b l e m e t h o d o f c o s t a l l o c a t i o n f o r t h e O p e r a t o r ' s s e r v i c e s d u r i n g t h e P r e - O p e r a t i o n s P e r i o d . 4 . 3 O p e r a t o r C o s t s A s o f O p e n i n g D a t e . 4 . 3 . 1 C o m m e n c i n g a s o f t h e O p e n i n g D a t e , i f a n y , R C T C a n d O C T A i n t e n d t o j o i n t l y a n d e q u i t a b l y s h a r e t h e c o s t o f t h e O p e r a t o r ' s s e r v i c e s u n d e r t h e J o i n t S c o p e o f W o r k , w h i c h s e r v i c e s s h a l l b e p r o v i d e d a t t h e M o n t h l y L u m p S u m P r i c e , a s t h a t t e r m i s d e f i n e d i n S e c t i o n 3 . 3 . 2 o f t h i s A g r e e m e n t . T h e P e r c e n t a g e C o s t S p l i t f o r O p e r a t o r C o s t s , a s s h a l l b e a g r e e d u p o n b y t h e P a r t i e s , s h a l l r e p r e s e n t a r e a s o n a b l e a n d e q u i t a b l e m e a s u r e o f s u c h c o s t s h a r i n g . 4 . 3 . 2 I f A d d i t i o n a l O p e r a t o r S e r v i c e s , a s t h a t t e r m i s d e f i n e d i n 3 . 3 . 1 o f t h i s R V P U B I H S H A N E 7 7 2 2 1 6 . I 2 3 4 2 0 Agreement, are required by both Parties following the Opening Date, as set forth in Section 3.4(a), the Parties shall mutually agree on the cost sharing for such Additional Operator Services at the time of negotiation of the Operations Agreement amendment, extra work order or change order relating to such Additional Operator Services. ARTICLE 5 IMPROVEMENTS TO OCTA 91 EXPRESS LANES AND NON -TOLL FREEWAY FACILITIES IN ORANGE COUNTY AS PART OF RCTC 91 EXPRESS LANES CONSTRUCTION 5.1 Project -Related Toll Improvements in Orange County. 5.1.1 The Parties agree and acknowledge that the Project, if approved and constructed, will include certain improvements to the OCTA 91 Express Lanes and/or the Toll Related Facilities in Orange County that are necessary for construction of the RCTC 91 Express Lanes, and that will not preclude the potential future construction of a connector to State Route 241 ("241 Connector"). The Parties agree that the potential construction of a 241 Connector will be addressed pursuant to a separate agreement between the Parties, as may be appropriate. 5.1.2 The improvements to the OCTA 91 Express Lanes and/or the Toll Related Facilities in Orange County that will be constructed as part of the Project, if approved, will be described in more detail following selection of the Contractor. At such time the Parties shall attach to this Agreement a detailed exhibit describing and depicting such improvements ("Toll Improvements in Orange County"). • 5.1.3 The GADs for the Toll Improvements in Orange County and any performance specifications for staging, scheduling, traffic handling, and interim or temporary improvements directly related to the Toll Improvements in Orange County included within the Procurement Documents, and any material modifications to such GADs or performance specifications made prior to award of the Contract, shall be subject to OCTA's review and approval, which shall not be unreasonably withheld and shall be provided in a timely manner as described in Section 5.5 of this Agreement. OCTA shall provide any comments on such GADs and/or performance specifications for the Toll Improvements in Orange County to RCTC in a manner that is consistent with the timelines established by RCTC herein. The standard of OCTA's review and approval shall be limited to issues which involve safety and/or potential material adverse impacts to the operations and revenues of the OCTA 91 Express Lanes, however, OCTA will respect RCTC's design preferences. Should OCTA fail to provide comments or requested revisions to, and/or approval of such GADs and/or performance specifications for the Toll Improvements in Orange County in accordance with. the, timelines described in Section 5.5 or in a manner consistent with the standard of review set forth above, such GADs and/or performance specifications shall be deemed approved by OCTA. 5.1.4 Following award of the Contract, any change order with respect to the design and construction of the Toll Improvements in Orange County which (i) is not materially consistent with the GADs and/or performance specifications previously approved by OCTA; (ii) materially change the geometric configuration, width or length of the express lanes, shoulders, or R V PU BIH SH AN E V 72216.1 24 • • 421 " " b u f f e r s o f t h e T o l l I m p r o v e m e n t s ; a n d ( i i i ) w h i c h m a t e r i a l l y a d v e r s e l y i m p a c t s a f e t y o r t h e r e v e n u e s a n d o p e r a t i o n s o f t h e O C T A 9 1 E x p r e s s L a n e s s h a l l b e s u b j e c t t o O C T A ' s r e v i e w a n d a p p r o v a l , w h i c h s h a l l n o t b e u n r e a s o n a b l y w i t h h e l d a n d s h a l l b e p r o v i d e d i n a t i m e l y m a n n e r a s d e s c r i b e d i n S e c t i o n 5 . 5 o f t h i s A g r e e m e n t . T h e s t a n d a r d o f O C T A ' s r e v i e w a n d a p p r o v a l s h a l l b e l i m i t e d t o i s s u e s w h i c h i n v o l v e s a f e t y a n d / o r p o t e n t i a l m a t e r i a l a d v e r s e i m p a c t t o t h e o p e r a t i o n s a n d r e v e n u e s o f t h e O C T A 9 1 E x p r e s s L a n e s , h o w e v e r , O C T A w i l l r e s p e c t R C T C ' s a n d t h e C o n t r a c t o r ' s d e s i g n p r e f e r e n c e s . S h o u l d O C T A f a i l t o p r o v i d e c o m m e n t s o n s u c h c h a n g e o r d e r i n a c c o r d a n c e w i t h t h e t i m e l i n e s d e s c r i b e d i n S e c t i o n 5 . 5 o r i n a m a n n e r c o n s i s t e n t w i t h t h e s t a n d a r d o f r e v i e w s e t f o r t h a b o v e , s u c h c h a n g e o r d e r s h a l l b e d e e m e d a p p r o v e d b y O C T A . T h e P a r t i e s a c k n o w l e d g e t h a t a n y s u c h c h a n g e o r d e r m a y a l s o r e q u i r e s u p p l e m e n t a l e n v i r o n m e n t a l r e v i e w d e p e n d i n g o n t h e c i r c u m s t a n c e s . 5 . 1 . 5 W h e t h e r a c h a n g e i s m a t e r i a l , a s t h a t t e r m i s u s e d i n t h i s s e c t i o n , s h a l l b e d e t e r m i n e d b y R C T C i n i t s r e a s o n a b l e d i s c r e t i o n . 5 . 1 . 6 I n t h e e v e n t o f a n y a p p r o v a l b y C a l t r a n s r e l a t i n g t o m a t t e r s a f f e c t i n g s a f e t y , a n y a p p r o v a l b y O C T A a s r e q u i r e d h e r e u n d e r , s h a l l b e d e e m e d p r o v i d e d b y O C T A . I n t h e e v e n t o f a n y c o n t r a r y d i r e c t i o n o r c o m m e n t b y C a l t r a n s a n d O C T A , C a l t r a n s d i r e c t i o n a n d c o m m e n t s h a l l b e c o n t r o l l i n g . 5 . 2 B e t t e r m e n t s R e q u e s t e d b y O C T A . 5 . 2 . 1 I f O C T A d e s i r e s a n y B e t t e r m e n t s t o b e c o m p l e t e d d u r i n g t h e c o u r s e o f P r o j e c t c o n s t r u c t i o n , O C T A m a y t i m e l y r e q u e s t t h e d e s i r e d B e t t e r m e n t s f o r i n c l u s i o n i n t h e P r o c u r e m e n t D o c u m e n t s a n d p r o v i d e R C T C w i t h a d e t a i l e d d e s c r i p t i o n o f t h e B e t t e r m e n t s i n c l u d i n g s u f f i c i e n t i n f o r m a t i o n a n d d e t a i l a s w o u l d b e r e q u i r e d f o r i n c l u s i o n i n t h e P r o c u r e m e n t D o c u m e n t s . O C T A ' s r e q u e s t m u s t b e d e l i v e r e d n o l e s s t h a n o n e h u n d r e d t w e n t y ( 1 2 0 ) d a y s p r i o r t o t h e a n t i c i p a t e d i s s u a n c e b y R C T C o f t h e P r o c u r e m e n t D o c u m e n t s . 5 . 2 . 2 R C T C s h a l l h a v e n o o b l i g a t i o n t o u n d e r t a k e t h e B e t t e r m e n t s . I f t h e B e t t e r m e n t s a r e a c c e p t a b l e t o R C T C , i n i t s s o l e d i s c r e t i o n , R C T C s h a l l i n c l u d e t h e m i n t h e s c o p e o f w o r k f o r t h e P r o j e c t . N o B e t t e r m e n t t h a t i s i n c o n s i s t e n t w i t h t h e P r o j e c t ' s r e c o r d o f d e c i s i o n s h a l l b e c o n s i d e r e d . 5 . 2 . 3 B e t t e r m e n t s s h a l l b e a t O C T A ' s s o l e c o s t a n d e x p e n s e , i n c l u d i n g ( i ) t h e c o s t s i n c u r r e d t o i n c o r p o r a t e a c c e p t a b l e B e t t e r m e n t s i n t o t h e s c o p e o f w o r k o f t h e P r o j e c t , ( i i ) a d d i t i o n a l d e s i g n , c o n s t r u c t i o n a n d o v e r s i g h t c o s t s a r i s i n g f r o m o r a s s o c i a t e d w i t h t h e B e t t e r m e n t s , i n c l u d i n g c h a n g e o r d e r s r e l a t e d t h e r e t o ; ( i i i ) a d d i t i o n a l o p e r a t i o n s a n d m a i n t e n a n c e c o s t s a r i s i n g f r o m o r a s s o c i a t e d w i t h t h e B e t t e r m e n t s , i n c l u d i n g c h a n g e o r d e r s r e l a t e d t h e r e t o ; a n d ( i v ) c o s t s a s s o c i a t e d w i t h a n y i m p a c t o n t h e d e s i g n a n d c o n s t r u c t i o n s c h e d u l e , a s s o c i a t e d w i t h t h e B e t t e r m e n t s . 5 . 2 . 4 T h e P r e l i m i n a r y D e s i g n P l a n s o f a n y B e t t e r m e n t s a n d / o r p e r f o r m a n c e s p e c i f i c a t i o n s f o r s t a g i n g , s c h e d u l i n g , t r a f f i c h a n d l i n g , a n d i n t e r i m o r t e m p o r a r y i m p r o v e m e n t s r e l a t e d t o t h e B e t t e r m e n t s i n c l u d e d w i t h i n t h e P r o c u r e m e n t D o c u m e n t s , a n d a n y m a t e r i a l m o d i f i c a t i o n s t o s u c h P r e l i m i n a r y D e s i g n P l a n s a n d p e r f o r m a n c e s p e c i f i c a t i o n s m a d e p r i o r t o a w a r d o f t h e C o n t r a c t s h a l l b e s u b j e c t t o O C T A ' s r e v i e w a n d a p p r o v a l , w h i c h s h a l l n o t b e R V P U B 1 I 1 S I 1 A N E 1 7 7 2 2 1 6 . 1 2 5 4 2 2 unreasonably withheld and shall be provided in a timely manner as described in Section 5.5 of this Agreement. The standard of OCTA's review and approval shall be limited to issues which involve safety and/or potential material adverse impact to the operations and revenues of the OCTA 91 Express Lanes; however OCTA will respect RCTC's design preferences. Should OCTA fail to provide comments on, requested revisions to, and/or approval of such Preliminary Design and/or performance specifications for any Betterments in accordance with the timelines described in Section 5.5 or in a manner consistent with the standard of review set forth above, such Preliminary Design Plans and/or performance specifications shall be deemed approved by OCTA. 5.2.5 Following award of the Contract, any change order to add or revise design plans and specifications for the construction of the Betterments which is not materially consistent with the Preliminary Design Plans and/or performance specifications previously approved by OCTA, shall require advance written approval of OCTA, which shall not be unreasonably withheld and shall be provided in a timely manner as described in Section 5.5 of this Agreement. The standard of OCTA's review and approval shall be limited to issues which involve safety and/or potential material adverse impact to the operations and revenues of the OCTA 91 Express Lanes, however, OCTA will respect RCTC's design preferences. Should OCTA fail to provide comments on such change order in accordance with the timelines described in Section 5.5 or in a manner consistent with the standard of review set forth above, such change order shall be deemed approved by OCTA. The Parties acknowledge that any such change order may require supplemental environmental review depending on the circumstances. 5.2.6 Whether a change is material, as that tern is used in this section, shall be determined by RCTC in its reasonable discretion. 5.3 Project -Related Non -Toll Improvements in Orange County. 5.3.1 The Parties agree and acknowledge that the Project, if approved, may include certain non -toll improvements in Orange County. The Parties further agree that OCTA will pay the cost of such improvements, if any, up to a fixed amount, as shall be agreed upon, in advance, by the Parties pursuant to a separate written agreement. 5.3.2 The non -toll improvements in Orange County that may be constructed as part of the Project, if any, shall be further described following selection of the Contractor. At such time the Parties shall attach to this Agreement a description and depiction of such improvements ("Non -Toll Improvements in Orange County"). 5.3.3 The GADS for the Non -Toll Improvements in Orange County and/or any performance specifications for staging, scheduling, traffic handling, and interim or ,temporary improvements directly related to the Non -Toll Improvements in Orange County included within the Procurement Documents, and any material modifications to such GADS or performance specifications made prior to award of the Contract shall be subject to OCTA's review and approval, which shall not be unreasonably withheld and shall be provided in a timely manner as described in Section 5.5 of this Agreement. The standard of OCTA's review and approval shall be limited to issues which involve safety and/or potential material adverse impact to the operations and revenues of the OCTA 9l Express Lanes; however, OCTA will endeavor to R V PU BMSHAN E1772216. I 26 • • • 423 i respect RCTC's design preferences. Should OCTA fail to provide comments on, requested revisions to, and/or approval of such GADs and/or performance specifications for the Non -Toll Improvements in Orange County in accordance with the timelines described in Section 5.5 or in a manner consistent with the standard of review set forth above, such GADs and/or performance specifications shall be deemed approved by OCTA. 5.3.4 Following award of the Contract, any change order to add or revise design plans and specifications for the construction of the Non -Toll Improvements in Orange County which (i) is not materially consistent with the GADs and/or performance specifications previously approved by OCTA; (ii) materially change the geometric configuration, width or length of the express lanes, shoulders, or buffers of the Toll Improvements; and (iii) which materially adversely impact safety or the revenues and operations of the OCTA 91 Express Lanes shall require advance written approval of OCTA. The standard of OCTA's review and approval shall be limited to issues which involve safety and/or potential material adverse impact to the operations and revenues of the OCTA 91 Express Lanes; however, OCTA will respect RCTC's design preferences. Should OCTA fail to provide comments on such change order in accordance with the timelines described in Section 5.5 or in a manner consistent with the standard of review set forth above, such change order shall be deemed approved by OCTA. The Parties acknowledge that any such change order may require supplemental environmental review depending on the circumstances. 5.3.5 Whether a change is material, as that term is used in this section, shall be determined by RCTC in its reasonable discretion. 5.3.6 In the event of any approval by Caltrans relating to matters affecting safety, any approval by OCTA as required hereunder, shall be deemed provided by OCTA. In the event of any contrary direction or comment by Caltrans and OCTA, Caltrans direction and comment shall be controlling. 5.4 Mitigation of Environmental Impacts of Project in Orange County. 5.4.1 The Parties agree that the Non -Toll Improvements in Orange County may require environmental mitigation within the boundaries of Orange County. 5.4.2 During the environmental review process for the Project, OCTA may participate in Project working groups related to the development of mitigation measures for any environmental impacts of the Project within Orange County. Any "on -site" environmental mitigation measures to be implemented in Orange County shall be subject to OCTA's review and approval, which shall not be unreasonably withheld, and shall be provided in a timely manner as described in Section 5.5 of this Agreement. OCTA shall endeavor to provide any comments on such mitigation measures to RCTC in a manner that is consistent with the timelines established by RCTC herein. The standard of OCTA's review and approval shall be limited to issues involving safety and material adverse impact to the operations and revenues of the OCTA 91 Express Lanes, and RCTC's preferences shall be respected. Should OCTA fail to provide comments to and/or approval of the mitigation measures proposed to be implemented in Orange County in accordance with the timelines described in Section 5.5 or in a manner consistent with the standard of review set forth above, said mitigation measures shall be deemed approved by R V PU B\ H S H A N E\772216.1 27 424 OCTA. In no event shall OCTA have the right to disapprove of mitigation measures required under the issued record of decision or any other final environmental document that has been considered by OCTA as a responsible agency. 5.4.3 Unless otherwise agreed upon by the Parties, RCTC shall be responsible for implementing required environmental mitigation measures in Orange County for the Project, pursuant to the final environmental documents for the Project, as approved by all relevant regulatory agencies. 5.4.4 The Parties shall mutually determine reasonable cost sharing for such environmental mitigation, provided that OCTA, acting reasonably and consistently with the environmental assessment documents and approvals, approves and agrees with the environmental mitigation measures to be implemented in Orange County. 5.5 Schedule Requirements for OCTA's Review and Approval of Preliminary Design Plan, Plans and Specifications and Environmental Mitigation Measures Prior to Award of Contract. 5.5.1 OCTA acknowledges that timely completion of the environmental review process for the Project and issuance, if any, by RCTC of the Procurement Documents in accordance with the schedules adopted therefor is critical to the overall feasibility and financeability of the Project and requires timely review and approval by OCTA of any Preliminary Design Plans submitted to OCTA, the GADs for the Toll and Non -Toll Improvements in Orange County, any performance specifications included within the Procurement Documents, any change orders requiring OCTA approval and the environmental mitigation measures to be implemented in Orange County (collectively referred to in this section as "Documents Submitted for OCTA Approval"). 5.5.2 OCTA's review and/or approval of any Documents Submitted for OCTA Approval shall conform to the following schedule: (a) Initial comments on, requested revisions to, and/or approval of any Documents Submitted for OCTA Approval, excluding change orders or any other post -award review of the Contract approvals expressly included herein, shall be provided to RCTC within thirty (30) calendar days after delivery by RCTC to OCTA of such documents. (b) OCTA shall provide comments and/or approval of any such resubmitted documents, excluding change orders or any other post -award of the Contract approvals expressly included herein, within fourteen (14) calendar days after delivery by RCTC to OCTA of such documents. (c) Initial comments on, requested revisions to, and/or approval of any change order or any other post -award of the Contract approvals expressly included herein submitted to OCTA for approval shall be provided to RCTC within five (5) calendar days after delivery by RCTC to OCTA of such document. R V PUBIHSHANE1772216.1 28 s 425 " " " ( d ) O C T A s h a l l p r o v i d e c o m m e n t s a n d / o r a p p r o v a l o f a n y s u c h r e s u b m i t t e d c h a n g e o r d e r o r a n y o t h e r p o s t - a w a r d o f t h e C o n t r a c t a p p r o v a l s e x p r e s s l y i n c l u d e d h e r e i n w i t h i n t h r e e ( 3 ) c a l e n d a r d a y s a f t e r d e l i v e r y b y R C T C t o O C T A o f s u c h d o c u m e n t . 5 . 5 . 3 S h o u l d O C T A f a i l t o p r o v i d e t i m e l y c o m m e n t s o n r e q u e s t e d r e v i s i o n s t o , a n d / o r a p p r o v a l o f a n y D o c u m e n t s S u b m i t t e d f o r O C T A A p p r o v a l i n a c c o r d a n c e w i t h S e c t i o n 5 . 5 . 2 , a b o v e , s u c h d o c u m e n t s s h a l l b e d e e m e d a p p r o v e d b y O C T A . 5 . 5 . 4 A l l O C T A c o m m e n t s a n d / o r r e q u e s t e d r e v i s i o n s s h a l l b e p r o v i d e d w i t h r e a s o n a b l e d e t a i l , a n d O C T A s h a l l i n d i c a t e t h e n a t u r e a n d b a s i s o f t h e i s s u e o r c o n c e r n u n d e r l y i n g e a c h o f t h e c o m m e n t s o r r e q u e s t e d r e v i s i o n s . 5 . 6 A d d i t i o n a l P r o v i s i o n s R e g a r d i n g I m p r o v e m e n t s i n O r a n g e C o u n t y . 5 . 6 . 1 O C T A s h a l l n o t h a v e a n y r i g h t t o a p p r o v e t h e C o n t r a c t o r o r t h e a w a r d o f t h e C o n t r a c t . O C T A s h a l l p r o v i d e a n y c o m m e n t s t o R C T C s t a f f a n d c o n s u l t a n t s a n d n o t d i r e c t l y t o t h e C o n t r a c t o r . O C T A s h a l l n o t h a v e t h e r i g h t o r p o w e r t o d i r e c t t h e w o r k o f R C T C ' s c o n s u l t a n t s o r t h e C o n t r a c t o r . 5 . 6 . 2 N o t h i n g i n t h i s A g r e e m e n t i s i n t e n d e d t o c o m m i t R C T C t o c o m p l e t e t h e P r o j e c t , o r a n y p h a s e t h e r e o f . T h e P a r t i e s a c k n o w l e d g e t h a t c o m p l e t i o n o f a n y p h a s e o f t h e P r o j e c t i s d e p e n d e n t o n R C T C o b t a i n i n g f i n a n c i n g s u f f i c i e n t t o c o v e r t h e c o s t s o f s u c h P r o j e c t p h a s e . 5 . 6 . 3 I n n o e v e n t s h a l l R C T C b e r e s p o n s i b l e o r l i a b l e f o r t h e q u a l i t y , s u i t a b i l i t y , o p e r a b i l i t y o r c o n d i t i o n o f a n y d e s i g n o r c o n s t r u c t i o n b y t h e C o n t r a c t o r a n d R C T C e x p r e s s l y d i s c l a i m s a n y a n d a l l e x p r e s s o r i m p l i e d r e p r e s e n t a t i o n s o r w a r r a n t i e s w i t h r e s p e c t t h e r e t o , i n c l u d i n g a n y w a r r a n t i e s o f s u i t a b i l i t y o r f i t n e s s f o r u s e . O C T A s h a l l h a v e n o r e c o u r s e a g a i n s t R C T C a s a r e s u l t o f t h e a c t i o n s , o m i s s i o n s , n e g l i g e n c e , b r e a c h o f p e r m i t , b r e a c h o f c o n t r a c t o r a p p l i c a b l e l a w b y , o r f a u l t o f t h e C o n t r a c t o r ; p r o v i d e d , h o w e v e r , t h a t R C T C s h a l l r e q u i r e a n d e n s u r e t h a t t h e C o n t r a c t o r ' s i n d e m n i t y , d e f e n s e , h o l d h a r m l e s s , a n d i n s u r a n c e o b l i g a t i o n s u n d e r t h e C o n t r a c t b e n e f i t O C T A t o t h e s a m e e x t e n t a s R C T C ( e x c e p t t o t h e e x t e n t t h a t s u c h i n s u r a n c e a n d i n d e m n i t y , d e f e n s e a n d o b l i g a t i o n s w o u l d n o t a p p l y t o a n e n t i t y t h a t i s n o t t h e o w n e r o f t h e f a c i l i t y ) . 5 . 6 . 4 U p o n c o m p l e t i o n o f t h e T o l l R e l a t e d i m p r o v e m e n t s i n O r a n g e C o u n t y a n d / o r a n y B e t t e r m e n t s , a s d e t e r m i n e d b y R C T C p u r s u a n t t o t h e t e r m s o f t h e C o n t r a c t , O C T A s h a l l a c c e p t s o l e c o n t r o l o f s u c h i m p r o v e m e n t s a n d , a s b e t w e e n O C T A a n d R C T C , O C T A s h a l l b e s o l e l y r e s p o n s i b l e a n d l i a b l e f o r t h e o p e r a t i o n , m a i n t e n a n c e a n d u s e o f , i n c l u d i n g a l l s u b s e q u e n t p u b l i c u s e o f , s u c h i m p r o v e m e n t s , a t n o c o s t o r e x p e n s e t o R C T C . R V P U R I H S H A N E 1 7 7 2 2 1 6 . 1 2 9 4 2 6 ARTICLE 6 COORDINATION OF DESIGN AND CONSTRUCTION WITH CURRENT OCTA 91 EXPRESS LANES OPERATIONS 6.1 Coordination of Project Design and Construction. 6.1.1 In the event the Project is approved, the Parties agree to work together to coordinate planning, design and construction of the Project with the current operation of the OCTA 91 Express Lanes. To the extent reasonably practicable, RCTC will not design, or approve design of, the Project, in a manner that will result in a foreseeable permanent adverse impact on toll revenues for the OCTA 91 Express Lanes. The Parties recognize, however, that construction may have some temporary impact on the current operations of the OCTA 91 Express Lanes. 6.1.2 The required coordination shall be achieved through implementation of the following measures: (a) RCTC shall establish an integrated Project office and various working groups for Project matters and activities such as review of engineering and design plans, review of construction schedules and review of construction staging plans. (b) OCTA shall provide, at OCTA's cost, qualified staff to participate in the review and comment on matters related to engineering, design, construction, scheduling and coordination of all portions of the Project that may impact the OCTA 91 Express Lanes. Such participation shall include attendance at Project related working group meetings. OCTA shall provide any comments to RCTC staff and consultants and not directly to the Contractor. OCTA shall not have the right or power to direct the work of RCTC's consultants or the Contractor. (c) All plans for construction of the Project in Orange County prepared after award of the Contract shall be provided to OCTA for OCTA's timely review and comment. Any comments provided by OCTA must be delivered in a manner that is consistent with the timelines and standards set forth in the Contract, including affording RCTC reasonable time to review and assess OCTA's comments before it must provide any comments to the Contractor. RCTC shall consider any comments timely received from OCTA and shall reasonably endeavor to accommodate any such comments. (d) This Section 6.1.2 is supplemental to, and is not intended to, affect or supersede any approval rights OCTA may otherwise have for those improvements to be constructed in Orange County pursuant to Article 5. R V PU BIHSHANF.1772216_ I 30 • • • 427 " " 6 . 2 M i t i g a t i o n o f R e v e n u e I m p a c t s o f P r o j e c t o n O C T A 9 1 E x p r e s s L a n e s . 6 . 2 . 1 T h e P a r t i e s a g r e e t h a t i t i s i n t h e i r b e s t i n t e r e s t t o c o o p e r a t e i n o r d e r t o m i t i g a t e a n y p o t e n t i a l i m p a c t s o f P r o j e c t c o n s t r u c t i o n o n t h e O C T A 9 1 E x p r e s s L a n e s a n d t o . e n s u r e O C T A i s c o m p e n s a t e d f o r l o s s o f t o l l r e v e n u e s a t t r i b u t a b l e t o C l o s u r e s . 6 . 2 . 2 I f t h e P r o j e c t i s a p p r o v e d , R C T C s h a l l d e v e l o p , a n d s h a l l p r o v i d e t o O C T A f o r t i m e l y r e v i e w a n d c o m m e n t , t e c h n i c a l p r o v i s i o n s r e g a r d i n g l a n e c l o s u r e s , d e t o u r s , o p e r a t i o n s , a n d o t h e r s u c h m a t t e r s f o r i n c l u s i o n i n t h e P r o c u r e m e n t D o c u m e n t s t o a t t e m p t t o m i t i g a t e a n y i m p a c t s t o t h e O C T A 9 1 E x p r e s s L a n e s r e l a t e d t o t h e P r o j e c t . W h i l e t h e P a r t i e s r e c o g n i z e t h a t t h e s t a g i n g a n d c o n s t r u c t i o n o f t h e P r o j e c t w i l l l i k e l y r e q u i r e s o m e C l o s u r e s a n d r e s u l t i n o t h e r i m p a c t s , i t i s R C T C ' s i n t e n t t o c o n s t r u c t t h e P r o j e c t i n a m a n n e r t h a t w i l l r e a s o n a b l y m i n i m i z e i m p a c t s t o t h e o n g o i n g o p e r a t i o n s o f t h e 9 1 E x p r e s s L a n e s a n d p u r s u a n t t o a d e f i n e d C l o s u r e r e g i m e d e s i g n e d t o l i m i t C l o s u r e s a n d t o a v o i d a n y s i g n i f i c a n t a n d u n p e r m i t t e d C l o s u r e s . R C T C s h a l l i n c l u d e l a n g u a g e t o t h i s e f f e c t i n t h e P r o c u r e m e n t D o c u m e n t s a n d r e s u l t i n g C o n t r a c t . 6 . 2 . 3 C l o s u r e s o f O C T A 9 1 E x p r e s s L a n e s . ( a ) O C T A s h a l l t i m e l y d e v e l o p a n d p r o v i d e t o R C T C , f o r i n c l u s i o n i n t h e P r o c u r e m e n t D o c u m e n t s , a c c e p t a b l e c r i t e r i a f o r i m p a c t s t o t h e O C T A 9 1 E x p r e s s L a n e s , i n c l u d i n g w i n d o w s d u r i n g w h i c h C l o s u r e s m a y b e p e r m i t t e d . U n l e s s o t h e r w i s e a p p r o v e d b y O C T A , n o C l o s u r e s s h a l l b e p e r m i t t e d t o o c c u r a t a n y t i m e o t h e r t h a n b e t w e e n t h e h o u r s t o b e s p e c i f i e d b y O C T A i n i t s C l o s u r e c r i t e r i a t o b e p r o v i d e d t o R C T C . R C T C s h a l l i n c l u d e s u c h c r i t e r i a p r o v i d e d b y O C T A i n t h e P r o c u r e m e n t D o c u m e n t s a n d C o n t r a c t . ( b ) U p o n a d v a n c e w r i t t e n n o t i c e t o O C T A a s f u r t h e r p r o v i d e d b e l o w , C l o s u r e s o c c u r r i n g p u r s u a n t t o s u c h c r i t e r i a a n d C l o s u r e r e g i m e s h a l l b e p e r m i t t e d d u r i n g t h e c o u r s e o f s t a g i n g a n d c o n s t r u c t i o n o f t h e P r o j e c t . E x c e p t i n c a s e s o f e m e r g e n c y , C l o s u r e s t h a t a r e n o t i n a c c o r d a n c e w i t h s u c h c r i t e r i a a n d C l o s u r e r e g i m e s h a l l b e p r o h i b i t e d u n l e s s a p p r o v e d i n a d v a n c e b y O C T A , a c t i n g i n i t s r e a s o n a b l e d i s c r e t i o n . ( c ) E x c e p t i n c a s e s o f e m e r g e n c y , R C T C s h a l l p r o v i d e , o r c a u s e i t s C o n t r a c t o r t o p r o v i d e , O C T A w i t h n o l e s s t h a n s e v e n t y - t w o ( 7 2 ) h o u r s a d v a n c e w r i t t e n n o t i c e , a n d s h a l l e n d e a v o r t o p r o v i d e a t l e a s t s e v e n ( 7 ) d a y s a d v a n c e w r i t t e n n o t i c e , o f a n y a n t i c i p a t e d C l o s u r e s . ( d ) E x c e p t f o r C l o s u r e s r e q u i r e d s o l e l y f o r a B e t t e r m e n t , O C T A s h a l l b e c o m p e n s a t e d f o r t h e l o s s o f t o l l r e v e n u e s a n d o t h e r i m p a c t s t o t h e O C T A 9 1 E x p r e s s L a n e s a t t r i b u t a b l e t o C l o s u r e s , r e g a r d l e s s o f w h e t h e r s u c h C l o s u r e s o c c u r i n a c c o r d a n c e w i t h t h e c r i t e r i a a n d c l o s u r e r e g i m e i n c o r p o r a t e d i n t o t h e P r o c u r e m e n t D o c u m e n t s a n d C o n t r a c t , a r e o t h e r w i s e a p p r o v e d b y O C T A , o r a r e n e c e s s i t a t e d b y a n e m e r g e n c y . T h e P a r t i e s u n d e r s t a n d a n d a g r e e t h a t t h e p r e c i s e a m o u n t o f l o s t t o l l r e v e n u e s a n d o t h e r i m p a c t s t o t h e 9 1 E x p r e s s L a n e s a t t r i b u t a b l e t o C l o s u r e s i s i m p r a c t i c a b l e , i f n o t i m p o s s i b l e , t o c a l c u l a t e w i t h c e r t a i n t y o r t o r e a s o n a b l y a s c e r t a i n a s o f t h e d a t e o f a d o p t i o n o f t h e C l o s u r e C o m p e n s a t i o n S c h e d u l e . N o n e t h e l e s s , i n o r d e r t o f a c i l i t a t e t h e P r o j e c t , t h e P a r t i e s a g r e e t h a t i t i s i n t h e i r m u t u a l i n t e r e s t t o e s t a b l i s h t h e a m o u n t o f c o m p e n s a t i o n t o b e p a i d t o O C T A i n t h e e v e n t o f C l o s u r e s . R V P U B \ H S H A N E \ 7 7 2 2 1 6 . 1 3 1 4 2 8 Accordingly, the Parties hereby agree that the amount of compensation to be paid to OCTA for each Closure shall be calculated in accordance with the Closure Compensation Schedule to be agreed upon by the Parties prior to publication of the Procurement Documents. The Parties further agree that compensation shall be based on the length of the Closure and the date and time during which the Closure occurs. The Parties hereby agree that the assessment amounts to be set forth in the Closure Compensation Schedule shall represent a reasonable estimate of appropriate compensation to be paid to OCTA for anticipated lost toll revenues and other impacts (including the significant additional impacts that will result from daytime Closures) to the OCTA 91 Express Lanes attributable to Closures that occur at various dates and times during the anticipated period of Project construction. (e) Payment of compensation to OCTA for Closures shall be made by the Contractor directly to OCTA in conjunction with the provision by the Contractor of notice of a Closure to OCTA. OCTA agrees that the compensation to be paid pursuant to the Closure Compensation Schedule shall be OCTA's sole remedy for any revenue impacts to OCTA related to or arising out of Closures. 6.2.4 Disputes Related to Payment for Closures. The PCM shall maintain inspection diaries validating the duration of any Closures and shall, upon request of OCTA, provide copies of such inspection diaries to OCTA for review. In the case of any dispute between OCTA and RCTC regarding the duration of a Closure, or the payment due to OCTA for any Closure, RCTC may pay OCTA the disputed amount under protest, and the Parties agree to submit the dispute to the Dispute Resolution Process set forth in Section 9.5 of this Agreement. During the pendency of any dispute, provided that RCTC has made such payment, OCTA shall continue to allow Closures pursuant to the terms of this Agreement. 6.2.5 Other Project Construction Impacts to OCTA 91 Express Lanes. Except in cases of emergency, RCTC shall provide, or cause its Contractor to provide, OCTA with no less than seventy-two (72) hours advance written notice, and shall endeavor to provide at least seven (7) days advance written notice, of any lane closures, detours, operations, or other construction activities related to the Project in either Orange County or Riverside County, other than a Closure, that may otherwise foreseeably impact the operations or revenues of the OCTA 91 Express Lanes. 6.3 OCTA Cooperation During Project Construction. 6.3.1 OCTA agrees to provide reasonable cooperation to RCTC during any Project construction. 6.3.2 Cooperation to be provided by OCTA shall include reasonable,assistance with any required permitting, licensing and other approvals required for construction of the Project. 6.3.3 OCTA shall also designate qualified staff for participation in Project working groups and task groups, as further detailed above in Section 6.1 and shall have such staff participate in schedule meetings and calls concerning the Project. R V PU B\H SH A N E1772216.1 32 • 429 " 6 . 4 R e l o c a t i o n o f O C T A E q u i p m e n t D u r i n g P r o j e c t C o n s t r u c t i o n . 6 . 4 . 1 T h e P a r t i e s a c k n o w l e d g e a n d a g r e e t h a t c e r t a i n O C T A e q u i p m e n t a n d f a c i l i t i e s , s u c h a s O C T A ' s t o l l - r e l a t e d v a r i a b l e m e s s a g e s i g n s , m a y r e q u i r e t e m p o r a r y o r p e r m a n e n t r e l o c a t i o n d u r i n g P r o j e c t c o n s t r u c t i o n . 6 . 4 . 2 R C T C s h a l l p r o v i d e a d v a n c e n o t i c e t o O C T A a n d s h a l l o b t a i n O C T A ' s p r i o r a p p r o v a l , w h i c h s h a l l n o t b e u n r e a s o n a b l y w i t h h e l d , o f a n y p l a n s f o r r e l o c a t i o n o f O C T A e q u i p m e n t a n d / o r f a c i l i t i e s . N o t w i t h s t a n d i n g t h e f o r e g o i n g , R C T C s h a l l n o t b e r e q u i r e d t o p r o v i d e n o t i c e t o O C T A f o r a n y r e l o c a t i o n o f O C T A e q u i p m e n t a n d / o r f a c i l i t i e s t h a t O C T A a p p r o v e d i n a d v a n c e f o r i n c l u s i o n i n t h e t e c h n i c a l p r o v i s i o n s o f t h e P r o c u r e m e n t D o c u m e n t s , u n l e s s r e q u i r e d b y t h e P r o c u r e m e n t D o c u m e n t s . 6 . 4 . 3 R C T C s h a l l b e r e s p o n s i b l e f o r t h e a c t u a l a n d r e a s o n a b l e c o s t s a s s o c i a t e d w i t h a n y r e l o c a t i o n o f O C T A f a c i l i t i e s a n d / o r e q u i p m e n t d u r i n g P r o j e c t c o n s t r u c t i o n . 6 . 5 P r o j e c t - R e l a t e d C o s t s I n c u r r e d b y O C T A . 6 . 5 . 1 T h e P a r t i e s a g r e e a n d a c k n o w l e d g e t h a t O C T A m a y r e q u i r e a n a m e n d m e n t t o i t s e x i s t i n g a g r e e m e n t w i t h i t s O p e r a t o r t o a d d t h e f o l l o w i n g P r o j e c t r e l a t e d s e r v i c e s r e l a t i n g t o t h e c o n s t r u c t i o n o f t h e P r o j e c t t o t h e O p e r a t o r ' s e x i s t i n g s c o p e o f w o r k : ( a ) E n g i n e e r i n g a n d c o n s t r u c t i o n p l a n r e v i e w s a n d t e c h n i c a l i n p u t f o r p o r t i o n s o f t h e P r o j e c t i n O r a n g e C o u n t y o r t h a t d i r e c t l y a f f e c t O C T A ' s e x i s t i n g f a c i l i t i e s a n d / o r t o l l o p e r a t i o n s . ( b ) M e e t i n g s w i t h R C T C a n d t h e P C M , b e f o r e R C T C h a s a w a r d e d a n d e x e c u t e d a n a g r e e m e n t f o r t h e d e s i g n a n d c o n s t r u c t i o n o f t h e P r o j e c t , t o r e p r e s e n t O C T A ' s i n t e r e s t s d u r i n g P r o j e c t p l a n n i n g a n d i n i t i a l d e s i g n . ( c ) M e e t i n g s w i t h R C T C , t h e P C M a n d t h e C o n t r a c t o r , t o r e p r e s e n t O C T A ' s i n t e r e s t s , d u r i n g P r o j e c t d e s i g n a n d c o n s t r u c t i o n . ( d ) P r o v i s i o n o f t e c h n i c a l i n p u t f o r e l e c t r o n i c t o l l c o l l e c t i o n a n d t r a f f i c m a n a g e m e n t s y s t e m s i n t e r f a c e w i t h O C T A ' s e x i s t i n g e q u i p m e n t a n d s o f t w a r e . ( e ) O t h e r s i m i l a r P r o j e c t r e l a t e d s e r v i c e s . 6 . 5 . 2 R C T C a g r e e s t o r e i m b u r s e O C T A f o r t h e a c t u a l a n d r e a s o n a b l e c o s t s i n c u r r e d b y O C T A f o r t h e O p e r a t o r ' s s e r v i c e s a s d e s c r i b e d i n S e c t i o n 6 . 5 . 1 p r o v i d e d t h a t O C T A s h a l l f i r s t p r o v i d e a c o p y o f t h e p r o p o s e d a m e n d m e n t t o O C T A ' s a g r e e m e n t w i t h i t s � O p e r a t o r , i n c l u d i n g t h e m a x i m u m a u t h o r i z e d c o m p e n s a t i o n f o r s u c h a m e n d m e n t , f o r R C T C ' s p r i o r r e v i e w a n d w r i t t e n a p p r o v a l . 6 . 5 . 3 D u r i n g t h e P r o j e c t d e v e l o p m e n t a n d c o n s t r u c t i o n p h a s e s o f t h e P r o j e c t , t h e P a r t i e s a g r e e t h a t O C T A s h a l l b e a r i t s o w n s t a f f r e l a t e d c o s t s a n d , u n l e s s o t h e r w i s e a g r e e d u p o n i n a d v a n c e b y t h e P a r t i e s o r o t h e r w i s e s p e c i f i e d i n t h i s C o o p e r a t i v e A g r e e m e n t , a n y o t h e r P r o j e c t r e l a t e d c o s t s t h a t m a y b e i n c u r r e d b y O C T A . 3 3 R V P U B \ H S H A N E \ 7 7 2 2 1 6 . I 4 3 0 ARTICLE 7 COST SHARING FOR ADDITIONAL SERVICES RELATED TO OPERATION OF THE 91 EXPRESS LANES 7.1 Additional Vendor Contracts. As of the Effective Date, the Parties have identified certain existing OCTA contracts for services that RCTC will require in order to effectively and efficiently operate the RCTC 91 Express Lanes (in addition to the existing contract with the Operator). These contracts are identified in Exhibit "B" of this Agreement and are referred to herein, collectively, as the "Additional Vendor Contracts". OCTA and RCTC intend and anticipate that, by either jointly contracting with the consultants/vendors under certain of the Additional Vendor Contracts, or by adding RCTC's scope of work to such existing Additional Vendor Contracts with OCTA remaining the sole contracting entity (as between RCTC and OCTA), the Parties will minimize extra work and duplication of services by the identified consultants/vendors, and will thereby reduce the operating costs of the OCTA 91 Express Lanes and the RCTC 91 Express Lanes. Notwithstanding the foregoing, the Parties understand and agree that it may be necessary or desirable for the Parties to separately contract for some of the services covered by the Additional Vendor Contracts. 7.1.1 For any Additional Vendor Contract that is amended to include RCTC as a contracting party, the Parties agree to negotiate changes to the Additional Vendor Contract to include RCTC's required scope of work and any additional joint scope of work, and to incorporate terms and conditions mutually acceptable to the Parties (the intent being that such terms and conditions shall be consistent to those terms and conditions set forth in Section 3.2 through 3.8 of this Agreement, as applicable to the relevant Additional Vendor Contract) and the relevant vendor/consultant. 7.1.2 For any Additional Vendor Contract under which OCTA remains the sole contracting party, but adds RCTC's required scope and any additional joint scope of work, OCTA agrees as follows: (a) The Additional Vendor Contract shall be amended to include indemnification and additional insured requirements to benefit RCTC, RCTC shall be a designated third party beneficiary, and, as applicable, an RCTC designated representative shall be added under the contract. (b) OCTA shall not terminate its rights under the relevant Additional Vendor Contract, exercise any extension option or change any material provisions thereof, without RCTC's prior written approval, in its reasonable discretion. (c) OCTA shall confer with RCTC no less than six (6) months prior to expiration of the term of the relevant Additional Vendor Contract regarding the terms and conditions for extension or renegotiation of said contract. R V PUB\HSHANE1772216. I 34 431 " ( d ) R C T C ' s d e s i g n a t e d r e p r e s e n t a t i v e u n d e r t h e r e l e v a n t A d d i t i o n a l V e n d o r C o n t r a c t s h a l l h a v e t h e s a m e r i g h t s a s O C T A ' s d e s i g n a t e d r e p r e s e n t a t i v e t h e r e u n d e r t o d i r e c t t h e s e r v i c e s o f t h e r e l e v a n t c o n s u l t a n t / v e n d o r . ( e ) N e i t h e r P a r t y s h a l l u n i l a t e r a l l y p r o v i d e a n y d i r e c t i o n t o t h e c o n s u l t a n t / v e n d o r u n d e r t h e r e l e v a n t A d d i t i o n a l V e n d o r C o n t r a c t t h a t w o u l d m a t e r i a l l y i m p a c t t h e o t h e r P a r t y ' s p o r t i o n o f t h e 9 1 E x p r e s s L a n e s , o r t h a t w o u l d r e s u l t i n h a r m , i n c r e a s e d c o s t s o r l o s s o f R e v e n u e t o t h e o t h e r P a r t y . ( 0 F o l l o w i n g t h e e x p i r a t i o n o r t e r m i n a t i o n o f a n y A d d i t i o n a l V e n d o r C o n t r a c t , t h e P a r t i e s s h a l l c o n f e r o n h o w t o c o n t r a c t f o r s u c h s e r v i c e s f r o m a n d a f t e r s u c h e x p i r a t i o n o r t e r m i n a t i o n , i t b e i n g t h e i n t e n t o f t h e P a r t i e s t h a t s u c h f u t u r e c o n t r a c t i n g s h a l l b e o n a j o i n t b a s i s . 7 . 1 . 3 T h e P a r t i e s r e c o g n i z e t h a t d u r i n g t h e P r e - O p e r a t i o n s P e r i o d , R C T C ' s r e q u i r e m e n t s r e l a t e d t o t h e A d d i t i o n a l V e n d o r C o n t r a c t s s h a l l b e d i f f e r e n t t h a n O C T A ' s r e q u i r e m e n t s , a n d , f o r t h o s e A d d i t i o n a l V e n d o r C o n t r a c t s w h i c h h a v e b e e n a m e n d e d t o i n c l u d e R C T C a s a p a r t y o r t o i n c l u d e R C T C ' s s c o p e o f w o r k , t h e P a r t i e s s h a l l d e t e r m i n e a n e q u i t a b l e m e a n s o f s h a r i n g c o s t s u n d e r t h e A d d i t i o n a l V e n d o r C o n t r a c t s b a s e d o n t h e a c t u a l s e r v i c e s r e q u i r e d b y R C T C d u r i n g s u c h P r e - O p e r a t i o n s P e r i o d . 7 . 1 . 4 A s o f t h e O p e n i n g D a t e , c o s t s h a r i n g u n d e r t h o s e A d d i t i o n a l V e n d o r C o n t r a c t s t h a t h a v e b e e n a m e n d e d t o i n c l u d e R C T C a s a p a r t y o r t o i n c l u d e R C T C ' s s c o p e o f w o r k s h a l l b e b a s e d o n t h e P e r c e n t a g e C o s t S p l i t f o r t h e A d d i t i o n a l V e n d o r C o n t r a c t s , a s s h a l l b e a g r e e d u p o n b y t h e P a r t i e s . 7 . 2 R e i m b u r s e m e n t f o r S t a f f T i m e . l f , f o l l o w i n g t h e O p e n i n g D a t e , e i t h e r P a r t y r e q u e s t s t h e u s e o f t h e o t h e r P a r t y ' s s t a f f f o r t h e b e n e f i t o f t h e r e q u e s t i n g P a r r y ' s o p e r a t i o n o f i t s s e g m e n t o f t h e 9 1 E x p r e s s L a n e s , t h e r e q u e s t i n g P a r t y s h a l l c o m p e n s a t e t h e o t h e r P a r t y f o r t h e a c t u a l c o s t o f s u c h s t a f f t i m e . A R T I C L E 8 8 . 1 E s t a b l i s h m e n t o f A c c o u n t s ; H a n d l i n g a n d A l l o c a t i o n o f D e p o s i t s . 8 . 1 . 1 N o l e s s t h a n s i x ( 6 ) m o n t h s p r i o r t o t h e d a t e o n w h i c h R C T C e x p e c t s t o c l o s e i t s b o n d f i n a n c i n g f o r t h e P r o j e c t , a s s h a l l b e s e t f o r t h i n t h e P r o j e c t t i m e l i n e t o b e p r o v i d e d b y R C T C t o O C T A , t h e P a r t i e s s h a l l a g r e e u p o n t h e f o r m o f t h e c u s t o d i a l a c c o u n t a g r e e m e n t d a t e t o b e e n t e r e d i n t o b y O C T A , R C T C a n d a c u s t o d i a l f i n a n c i a l i n s t i t u t i o n a c c e p t a 6 1 6 ' t o b o t h P a r t i e s ( " C u s t o d i a n " ) w h i c h w i l l g o v e r n t h e c u s t o d y a n d p r o c e s s i n g o f a l l t o l l a n d T r a n s p o n d e r R e v e n u e s g e n e r a t e d o n t h e 9 1 E x p r e s s L a n e s ( t h e " C u s t o d i a l A c c o u n t A g r e e m e n t " ) . 8 . 1 . 2 T h e P a r t i e s a g r e e t o k e e p i n p l a c e t h e C u s t o d i a l A c c o u n t A g r e e m e n t o r a r e p l a c e m e n t c u s t o d i a l a g r e e m e n t i n f u l l f o r c e a n d e f f e c t t h r o u g h o u t t h e t e r m o f t h i s A g r e e m e n t , p r o v i d e d , h o w e v e r , i f R C T C b e c o m e s a n a c c o u n t h o l d i n g a g e n c y a s p e r m i t t e d u n d e r t h i s A g r e e m e n t t h e n R C T C s h a l l h a v e t h e r i g h t t o t e r m i n a t e t h e p r o v i s i o n s o f t h i s S e c t i o n r e l a t e d t o 3 5 R V P U B \ H S H A N E 1 7 7 2 2 1 6 . 1 4 3 2 maintenance of RCTC toll Revenues with the Custodian, and its rights and obligations under the Custodial Agreement, and to enter into its own separate agreement with a financial institution for such purpose. 8.1.3 The Custodial Account Agreement shall provide for: (a) The establishment of a Customer Account, and Other Toll Entities Account, as defined in Exhibit "C", under the Custodial Agreement (the "Master Custodial Accounts"). (b) Handling and allocation of deposits to and from the Master Custodial Accounts shall be as further set forth in Exhibit "C". 8.2 Customer Accounts. 8.2.1 Unless and until RCTC becomes an "account holding agency", as further set forth in Section 2.7.2, OCTA shall continue to maintain Customer Accounts, and to hold funds for such accounts in the 91 Express Lanes Customer Account and the 91 Express Lanes Customer Funds Account, as those terms are defined in Exhibit "C", as applicable, in accordance with the Custodial Account Agreement and, to the extent not inconsistent with such Custodial Account Agreement, OCTA policies and practices in effect as of six months prior to the scheduled close of financing for the initial phase of the Project. 8.2.2 Debits and credits to the 91 Express Lanes Customer Account and the 91 Express Lanes Customer Funds Account shall be managed in accordance with the Custodial Account Agreement and, to the extent not inconsistent with such Custodial Account Agreement, OCTA policies and practices in effect as of six months prior to the scheduled close of financing for the initial phase of the Project. 8.2.3 Following six months prior to the scheduled close of financing for the initial phase of the Project, any changes to OCTA policies and practices related to Customer Accounts, including changes in the processing and payment of tolls and other charges, and/or handling of funds and deposits thereunder, must be reviewed and approved by the Parties' Designated Executive Representatives. 8.2.4 The Parties agree that any minimum cash, credit card or other deposits required to be maintained by Customers to fund their Customer Accounts shall not constitute toll or Transponder Revenues earned by either of the Parties or be due to either Party until debited from the respective Customer Account and allocated to one of the Parties as provided herein for the Customer's use of the 91 Express Lanes in accordance with the Custodial Account Agreement. ` 8.2.5 The Parties agree that all interest earned on Customer deposits from Customer Accounts shall be split between the Parties based on the formula to be developed by the Parties no less than six (6) months prior to the date on which RCTC expects to close its bond financing for the Project. Interest on Customer deposits to which RCTC is entitled shall be transferred to an RCTC account, as directed by RCTC, on a monthly basis. R V PU B\ H S H A N E1772216. I 36 • 433 " " " 8 . 3 T o l l R e v e n u e s a n d O t h e r F u n d s . 8 . 3 . 1 T h e P a r t i e s a g r e e , a n d a n y a g r e e m e n t w i t h t h e C u s t o d i a n s h a l l e x p r e s s l y s t a t e , t h a t R C T C t o l l , a c c o u n t a n d o t h e r R e v e n u e s a l l o c a t e d t o R C T C a s p r o v i d e d h e r e i n s h a l l a t . n o t i m e b e p l e d g e d o r t r a n s f e r r e d t o a n y O C T A a c c o u n t a n d s h a l l o n l y b e p l e d g e d o r t r a n s f e r r e d t o a n a c c o u n t d e s i g n a t e d b y R C T C p u r s u a n t t o t h e t e r m s o f t h e C u s t o d i a l A c c o u n t A g r e e m e n t . O C T A s h a l l h a v e n o i n t e r e s t i n s u c h R e v e n u e s ; a n d s h a l l n o t b e e n t i t l e d t o a c c e s s s u c h f u n d s f o r i t s o w n u s e a n d O C T A b o n d h o l d e r s a n d l e n d e r s s h a l l h a v e n o c l a i m , r i g h t o r i n t e r e s t i n a n d t o s u c h f u n d s . T o t h e e x t e n t t h a t O C T A r e c e i v e s o r o t h e r w i s e o b t a i n s s u c h R e v e n u e s , O C T A s h a l l h o l d s u c h R e v e n u e s a s a n a g e n t a n d b a i l e e a n d s h a l l p r o m p t l y r e m i t s u c h R e v e n u e s t o t h e C u s t o d i a n f o r d e p o s i t i n t o t h e a p p r o p r i a t e M a s t e r C u s t o d i a l A c c o u n t u n d e r t h e M a s t e r L o c k b o x a n d C u s t o d i a l A c c o u n t A g r e e m e n t . 8 . 3 . 2 T h e P a r t i e s a g r e e , a n d a n y a g r e e m e n t w i t h t h e C u s t o d i a n s h a l l e x p r e s s l y s t a t e , t h a t O C T A t o l l , a c c o u n t a n d o t h e r R e v e n u e s a l l o c a t e d t o O C T A a s p r o v i d e d h e r e i n s h a l l a t n o t i m e b e p l e d g e d o r t r a n s f e r r e d t o R C T C o r t o a n y R C T C a c c o u n t a n d s h a l l o n l y b e p l e d g e d o r t r a n s f e r r e d t o a n a c c o u n t d e s i g n a t e d b y O C T A p u r s u a n t t o t h e t e r m s o f t h e M a s t e r L o c k b o x a n d C u s t o d i a l A c c o u n t A g r e e m e n t . R C T C s h a l l h a v e n o i n t e r e s t i n s u c h R e v e n u e s ; a n d s h a l l n o t b e e n t i t l e d t o a c c e s s s u c h f u n d s a n d R C T C b o n d h o l d e r s a n d l e n d e r s s h a l l h a v e n o c l a i m , r i g h t o r i n t e r e s t i n a n d t o s u c h f u n d s . T o t h e e x t e n t t h a t R C T C r e c e i v e s o r o t h e r w i s e o b t a i n s s u c h R e v e n u e s , R C T C s h a l l h o l d s u c h R e v e n u e s a s a n a g e n t a n d b a i l e e a n d s h a l l p r o m p t l y r e m i t s u c h R e v e n u e s t o t h e C u s t o d i a n f o r d e p o s i t i n t o t h e a p p r o p r i a t e C u s t o d i a l A c c o u n t u n d e r t h e C u s t o d i a l A c c o u n t A g r e e m e n t . 8 . 3 . 3 T h e P a r t i e s a g r e e , a n d a n y a g r e e m e n t w i t h t h e C u s t o d i a n s h a l l e x p r e s s l y s t a t e , t h a t s h o u l d e i t h e r P a r t y d e f a u l t o n a n y o f i t s d e b t s , b o n d h o l d e r s o r o t h e r s e c u r e d i n t e r e s t s o f t h e d e f a u l t i n g P a r t y s h a l l h a v e n o r i g h t t o a c c e s s a n y f u n d s a l l o c a t e d t o t h e o t h e r P a r t y o r t o w h i c h t h e o t h e r P a r t y i s e n t i t l e d . 8 . 3 . 4 R C T C s h a l l d i r e c t t h a t a n y a n d a l l R e v e n u e s t r a n s f e r r e d o r a l l o c a t e d t o R C T C f r o m t h e C u s t o d i a n s h a l l b e d e p o s i t e d w i t h t h e t r u s t e e f o r t h e b o n d s o r o t h e r d e p o s i t o r y t h a t s h a l l b e d i r e c t e d t o u s e s u c h R e v e n u e s f i r s t t o p a y O C T A f o r a n y o u t s t a n d i n g o p e r a t i n g e x p e n s e s , t h e O p e r a t o r o r a n y o t h e r v e n d o r p r o v i d i n g j o i n t s e r v i c e s , a s a p p l i c a b l e , f o r a n y a m o u n t s o w e d b y R C T C t o O C T A h e r e u n d e r f o r o p e r a t i n g e x p e n s e s o r t o t h e O p e r a t o r o r s u c h v e n d o r , a s a p p l i c a b l e , p r i o r t o t h e u s e o f s u c h R e v e n u e s f o r p a y m e n t o f d e b t s e r v i c e , f u n d i n g r e s e r v e s o r a n y o t h e r p u r p o s e . 8 . 3 . 5 O C T A r e p r e s e n t s a n d w a r r a n t s t o R C T C t h a t c o m m e n c i n g a s o f s i x m o n t h s p r i o r t o t h e O p e n i n g D a t e i t s e x i s t i n g a g r e e m e n t s a n d f i n a n c i n g d o c u m e n t s s h a l l p r o v i d e t h a t t h e C u s t o d i a n m u s t d e p o s i t w i t h t h e t r u s t e e f o r t h e b o n d s o r o t h e r d e p o s i t o r y s u c h , R e v e n u e s a n d t h e t r u s t e e o r o t h e r d e p o s i t o r y i s r e q u i r e d f i r s t t o p a y R C T C f o r a n y o u t s t a n d i n g o p e r a t i n g e x p e n s e s , t h e O p e r a t o r o r a n y o t h e r v e n d o r p r o v i d i n g j o i n t s e r v i c e s , a s a p p l i c a b l e , f o r a n y a m o u n t s o w e d b y O C T A t o R C T C h e r e u n d e r f o r o p e r a t i n g e x p e n s e s o r t o t h e O p e r a t o r o r s u c h v e n d o r , a s a p p l i c a b l e , p r i o r t o t h e u s e o f s u c h R e v e n u e s f o r p a y m e n t o f d e b t s e r v i c e , f u n d i n g r e s e r v e s o r a n y o t h e r p u r p o s e . O C T A s h a l l , i n n o e v e n t , m o d i f y o r a l t e r t h e f o r e g o i n g o b l i g a t i o n s a n d f l o w o f f u n d s w i t h o u t t h e p r i o r w r i t t e n a p p r o v a l o f R C T C , i n i t s s o l e d i s c r e t i o n . R V P U B \ H S H A N E 1 7 7 2 2 1 6 . I 3 7 4 3 4 8.3.6 The parties agree that neither party shall have ownership of any Revenues while Revenues are held by the Custodian but shall have the rights granted under the Master Lockbox and Custodial Account Agreement to have Revenues allocated to either party as provided in the Master Lockbox and Custodial Account Agreement. 8.4 Administrative Fees. 8.4.1 The Parties acknowledge that certain administrative fees are currently imposed on Customer Accounts including minimum monthly Customer Account maintenance fees. After the effective date of the Master Lockbox and Custodial Account Agreement, all of such fees shall be deposited and paid to a Master Lockbox Account pursuant to the terms of the Master Lockbox and Custodial Account Agreement [will this depend on what the parties agree to as far as the split of such fees?]. 8.4.2 RCTC accepts OCTA's schedule of administrative fees, as such schedule of fees exists as of six months prior to the scheduled close of financing for the initial phase of the Project. 8.4.3 The Parties agree that any changes to the schedule of administrative fees including changes in the amounts or nature of such administrative fees, the elimination or suspension of such administrative fees or the addition of new administrative fees, following six months prior to the scheduled close of financing for the initial phase of the Project must be reviewed and approved by the Parties' Designated Executive Representatives. 8.4.4 All Revenues generated from administrative fees shall be equitably split by the Parties based on the Percentage Cost Split for such fees, as shall be agreed upon by the Parties. 8.5 Transponder Issuance Deposit. The Parties agree that the Party that purchased the relevant Transponder shall be entitled to all Revenue generated from interest on Transponder issuance deposits. If Transponders are jointly purchased, the Parties agree that all Revenues generated from interest on Transponder deposits shall be split between the Parties based on the formula to be developed by the Parties no less than six (6) months prior to the date on which RCTC expects to close its bond financing for the Project. After the effective date of the Custodial Account Agreement, all of such Transponder issuance deposits shall be deposited and paid to a Master Account pursuant to the terms of the Custodial Account Agreement. 8.6 Handling of Toll Violations. 8.6.1 The Parties agree that Customers and other users of the 91 Express Lanes shall incur separate fines and administrative fees for toll violations on the OCTA 91 Express Lanes and the RCTC 91 Express Lanes, respectively, and shall be separately notified and billed for such violations. 8.6.2 Each Party shall be solely responsible for handling toll violations, consistent with the Customer Account Business Rules, occurring on that Party's portion of the 91 38 R V PU BAFISH ANEA772216.1 • • • 435 " E x p r e s s L a n e s i n c l u d i n g e n f o r c e m e n t a n d c o l l e c t i o n o f o u t s t a n d i n g t o l l s , a n d i m p o s i t i o n o f p e n a l t i e s a n d f i n e s . E a c h P a r t y s h a l l s o l e l y b e a r t h e i r o w n c o s t s i n c o n n e c t i o n w i t h s u c h e f f o r t s t o h a n d l e s u c h t o l l v i o l a t i o n s . S u c h d i s c r e t i o n i n c l u d e s t h e r i g h t t o o u t s o u r c e t o l l v i o l a t i o n c o l l e c t i o n s t o a c o l l e c t i o n s a g e n c y . 8 . 6 . 3 E a c h P a r t y s h a l l h a v e t h e s o l e r i g h t t o r e d u c e f i n e s / p e n a l t i e s , s e t t l e t o l l v i o l a t i o n s a n d / o r t o p r o s e c u t e t o l l v i o l a t o r s . 8 . 7 I n s u f f i c i e n t F u n d s i n C u s t o m e r A c c o u n t . 8 . 7 . 1 I f a C u s t o m e r h a s i n s u f f i c i e n t f u n d s i n h i s / h e r C u s t o m e r A c c o u n t , a n d t h e C u s t o m e r i n c u r s a t o l l c h a r g e o n b o t h t h e R C T C 9 1 E x p r e s s L a n e s a n d t h e O C T A 9 1 E x p r e s s L a n e s , t h e P a r t i e s a g r e e t h a t f u n d s s h a l l b e a l l o c a t e d b a s e d o n t h e t i m i n g o f t h e t o l l t r a n s a c t i o n , w i t h t h e f i r s t t r a n s a c t i o n t o b e p a i d f i r s t a n d t h e s e c o n d t r a n s a c t i o n t o b e p a i d w i t h r e m a i n i n g f u n d s , i f a n y . 8 . 7 . 2 M o n i e s r e c o v e r e d f r o m C u s t o m e r s f o r p e n a l t i e s a n d t o l l v i o l a t i o n s s h a l l b e a l l o c a t e d o n a p r o - r a t a b a s i s b a s e d o n t h e a m o u n t s o w e d t o e a c h P a r t y a t t h e t i m e o f r e c e i p t o f p a y m e n t . 8 . 8 R e p o r t i n g R e q u i r e m e n t s / A u d i t R i g h t s . T h e P a r t i e s s h a l l h a v e t h e r i g h t t o r e q u i r e t h e O p e r a t o r a n d / o r t h e C u s t o d i a n , a s a p p l i c a b l e , t o p r o v i d e q u a r t e r l y r e p o r t i n g r e l a t i n g t o t h e n u m b e r o f n e w T r a n s p o n d e r s i s s u e d , t h e n u m b e r o f n e w C u s t o m e r A c c o u n t s , t h e n u m b e r o f c a n c e l l e d o r s u s p e n d e d C u s t o m e r A c c o u n t s , t h e t o t a l n u m b e r o f T r a n s p o n d e r s i n s e r v i c e , t h e t o t a l n u m b e r o f C u s t o m e r A c c o u n t s , t h e t o t a l C u s t o m e r d e p o s i t s a n d i n t e r e s t e a r n e d o n s u c h d e p o s i t s , t h e t o l l , a c c o u n t a n d o t h e r R e v e n u e g e n e r a t e d o n t h e 9 1 E x p r e s s L a n e s , a n d e a c h p o r t i o n t h e r e o f , a d m i n i s t r a t i v e f e e s c h a r g e d , a n d o t h e r f e e s c h a r g e d a n d / o r c o s t s i n c u r r e d r e l a t e d t o t h e o p e r a t i o n o f t h e 9 1 E x p r e s s L a n e s . E i t h e r P a r t y m a y r e q u e s t m o r e f r e q u e n t r e p o r t i n g , p r o v i d e d t h a t t h e c o s t s t h e r e o f s h a l l b e p a i d b y t h e r e q u e s t i n g P a r t y . 8 . 9 R e c o u r s e f o r L o s t F u n d s . A s b e t w e e n t h e P a r t i e s , i f e i t h e r P a r t y , a t a n y t i m e , h o l d s f u n d s t h a t s h o u l d h a v e b e e n a l l o c a t e d t o t h e o t h e r P a r t y , t h e P a r t y h o l d i n g s u c h f u n d s s h a l l b e f u l l y r e s p o n s i b l e t o t h e o t h e r P a r t y f o r a n y l o s s t h e r e o f . I n n o e v e n t s h a l l s u c h P a r t y h o l d i n g s u c h f u n d s h a v e a n y r i g h t s , c l a i m , i n t e r e s t o r t i t l e i n a n d t o s u c h f u n d s a n d t h e p r o v i s i o n s o f S e c t i o n 8 . 3 s h a l l e x p r e s s l y a p p l y t o s u c h f u n d s . 8 . 1 0 A c c o u n t i n g T r e a t m e n t . E a c h P a r t y s h a l l b e s o l e l y r e s p o n s i b l e f o r i t s o w n a c c o u n t i n g r e l a t e d t o o p e r a t i o n o f t h a t P a r t y ' s p o r t i o n o f t h e 9 1 E x p r e s s L a n e s , a n d f o r w r i t i n g o f f l o s t t o l l , a c c o u n t a n d o t h e r R e v e n u e s i n s u c h m a n n e r a s t h a t P a r t y d e t e r m i n e s l e g a l a n d a p p r o p r i a t e . I n n o e v e n t s h a l l e i t h e r P a r t y b e d e e m e d t o m a k e a n y r e p r e s e n t a t i o n s o r w a r r a n t i e s a s t o t h e o t h e r P a r t y ' s a c c o u n t i n g t r e a t m e n t . _ 8 . 1 1 C o o r d i n a t i n g C h a n g e s i n T o l l R a t e s . T h e P a r t i e s s h a l l m a k e a g o o d f a i t h e f f o r t t o c o o r d i n a t e t h e t i m i n g o f a n y c h a n g e s i n t o l l r a t e s . R V P U B I H S H A N E 1 7 7 2 2 1 6 . 1 3 9 4 3 6 ARTICLE 9 GENERAL MATTERS 9.1 Indemnification. 9.1.1 RCTC shall indemnify, defend and hold OCTA, its directors, officials, officers, employees, agents, consultants and contractors free and harmless from any and all claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries, in law or in equity, to property or persons, including wrongful death, in any manner arising out of or incident to any breach of contract, negligent acts, omissions or breach of law, or willful misconduct of RCTC, its officials, officers, employees, agents, consultants or contractors (other than the joint Operator or other contractors with which the Parties have a separate joint agreement) arising out of or in connection with performance under this Cooperative Agreement, including the payment of all reasonable attorneys fees. 9.1.2 OCTA shall indemnify, defend and hold RCTC, its directors, officials, officers, employees, agents, consultants and contractors free and harmless from any and all claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries, in law or in equity, to property or persons, including wrongful death, in any manner arising out of or incident to any breach of contract, negligent acts, omissions or breach of law, or willful misconduct of OCTA, its officials, officers, employees, agents, consultants or contractors (other than the joint Operator or other contractors with which the Parties have a separate joint agreement) arising out of or in connection with performance under this Cooperative Agreement, including the payment of all reasonable attorneys fees. 9.1.3 Neither Party shall be liable to the other Party for any consequential, special, incidental or indirect damages. 9.2 Recovery of Damages Under Joint Agreements. In the case of recovery of damages from the Operator under the Operations Agreement, or from any other consultant or contractor under any joint agreement of the Parties related to the 91 Express Lanes, such recovery shall be proportionately allocated between the Parties based on the percentage of damage or loss incurred by each Party, taking into account any contributory negligence of either Party. 9.3 Insurance. Each Party agrees to maintain appropriate insurance in such amounts and with such coverage as determined necessary, in its sole discretion. Each Party shall name the other Party as an additional insured under all of its insurance policies related to the use and operation of the 91 Express Lanes, unless provision for additional insureds is not generally available for a policy covered under this Cooperative Agreement. Alternatively, the Parties may determine to jointly procure insurance required for the use and operation of the 91 Express Lanes. 9.4 Termination. The Parties may terminate this Cooperative Agreement in whole or in part as follows: R V PUBIHSHANEV 72216.1 40 • 437 " " " 9 . 4 . 1 T e r m i n a t i o n f o r C o n v e n i e n c e . U n l e s s t h e " n o b u i l d " a l t e r n a t i v e i s c h o s e n a s a r e s u l t o f t h e c o m p l e t i o n o f e n v i r o n m e n t a l r e v i e w , i n w h i c h c a s e t h i s C o o p e r a t i v e A g r e e m e n t s h a l l i m m e d i a t e l y t e r m i n a t e , n e i t h e r P a r t y s h a l l h a v e t h e r i g h t t o t e r m i n a t e t h i s C o o p e r a t i v e A g r e e m e n t f o r c o n v e n i e n c e f o r t h e f i r s t t e n ( 1 0 ) y e a r s f o l l o w i n g t h e E f f e c t i v e D a t e . F o l l o w i n g . s u c h p e r i o d , e i t h e r P a r t y s h a l l h a v e t h e r i g h t t o t e r m i n a t e t h i s C o o p e r a t i v e A g r e e m e n t , i n w h o l e o r i n p a r t , f o r c o n v e n i e n c e o f t h e t e r m i n a t i n g P a r t y , a f t e r p r o v i d i n g t w o ( 2 ) y e a r s ' p r i o r w r i t t e n n o t i c e o f t e r m i n a t i o n t o t h e o t h e r P a r t y , p r o v i d e d t h a t t h e e f f e c t i v e d a t e o f s u c h t e r m i n a t i o n m u s t c o i n c i d e w i t h a t e r m i n a t i o n o f t h e O p e r a t i o n s A g r e e m e n t , e i t h e r i n w h o l e o r a s t o t h e t e r m i n a t i n g P a r r y ' s r i g h t s a n d o b l i g a t i o n s t h e r e u n d e r , a s s e t f o r t h i n S e c t i o n 3 . 8 . 2 . T h e n o t i c e s h a l l s p e c i f y t h e g r o u n d s f o r t e r m i n a t i o n a n d t h e e f f e c t i v e d a t e t h e r e o f . 9 . 4 . 2 T e r m i n a t i o n f o r C a u s e . ( a ) D e f a u l t . S u b j e c t t o t h e e x t e n s i o n s o f t i m e s e t f o r t h i n S e c t i o n 9 . 7 o f t h i s C o o p e r a t i v e A g r e e m e n t a n d / o r a n y e x t e n s i o n s a g r e e d u p o n b y t h e P a r t i e s , f a i l u r e o r d e l a y b y e i t h e r P a r t y t o p e r f o r m a n y m a t e r i a l t e r m o r p r o v i s i o n o f t h i s C o o p e r a t i v e A g r e e m e n t c o n s t i t u t e s a d e f a u l t u n d e r t h i s C o o p e r a t i v e A g r e e m e n t . T h e P a r t y w h o s o f a i l s o r d e l a y s m u s t i m m e d i a t e l y c o m m e n c e t o c u r e , c o r r e c t , o r r e m e d y s u c h f a i l u r e o r d e l a y , a n d s h a l l c o m p l e t e s u c h c u r e , c o r r e c t i o n o r r e m e d y w i t h r e a s o n a b l e d i l i g e n c e . ( b ) N o t i c e o f D e f a u l t . T h e n o n - d e f a u l t i n g P a r t y s h a l l g i v e w r i t t e n n o t i c e o f d e f a u l t t o t h e P a r t y i n d e f a u l t , s p e c i f y i n g t h e d e f a u l t c o m p l a i n e d o f b y t h e n o n - d e f a u l t i n g P a r t y . E x c e p t a s o t h e r w i s e e x p r e s s l y p r o v i d e d i n t h i s C o o p e r a t i v e A g r e e m e n t , a n y f a i l u r e s o r d e l a y s b y e i t h e r p a r t y i n a s s e r t i n g a n y o f i t s r i g h t s o r r e m e d i e s a s t o a n y d e f a u l t s h a l l n o t o p e r a t e a s a w a i v e r o f a n y d e f a u l t o r o f a n y s u c h r i g h t s o r r e m e d i e s . D e l a y s b y e i t h e r P a r t y i n a s s e r t i n g a n y o f i t s r i g h t s a n d r e m e d i e s s h a l l n o t d e p r i v e e i t h e r P a r t y o f i t s r i g h t t o i n s t i t u t e a n d m a i n t a i n a n y a c t i o n s o r p r o c e e d i n g s w h i c h i t m a y d e e m n e c e s s a r y t o p r o t e c t , a s s e r t o r e n f o r c e a n y s u c h r i g h t s o r r e m e d i e s . ( c ) F a i l u r e t o C u r e . I n t h e e v e n t t h a t t h e d e f a u l t i n g P a r t y f a i l s t o c o m m e n c e t o c u r e , c o r r e c t o r r e m e d y a d e f a u l t w i t h i n t h i r t y ( 3 0 ) c a l e n d a r d a y s f o l l o w i n g r e c e i p t o f w r i t t e n n o t i c e , o r t h e r e a f t e r f a i l s t o d i l i g e n t l y c o m p l e t e s u c h c u r e , c o r r e c t i o n o r r e m e d y , a d e f a u l t o f t h i s C o o p e r a t i v e A g r e e m e n t s h a l l b e d e e m e d t o h a v e o c c u r r e d , a n d t h e d e f a u l t i n g P a r t y s h a l l b e l i a b l e t o t h e n o n - d e f a u l t i n g P a r t y f o r a n y d a m a g e s c a u s e d b y s u c h d e f a u l t . I n t h e e v e n t o f a d e f a u l t , t h e n o n - d e f a u l t i n g P a r t y m a y e x e r c i s e a l l r i g h t s a n d r e m e d i e s a v a i l a b l e a t l a w o r i n e q u i t y , i n c l u d i n g t h e r i g h t t o s e e k d a m a g e s , s e e k s p e c i f i c p e r f o r m a n c e o r o t h e r i n j u n c t i v e o r e q u i t a b l e r e l i e f a n d / o r t e r m i n a t e t h i s C o o p e r a t i v e A g r e e m e n t t h r o u g h a w r i t t e n n o t i c e o f t e r m i n a t i o n , t h e e f f e c t i v e d a t e o f w h i c h s h a l l b e n o l e s s t h a n n i n e t y ( 9 0 ) d a y s f r o m t h e d a t e o f t h e n o t i c e . D i s p u t e s r e g a r d i n g t h e e x i s t e n c e o f a d e f a u l t t h a t m a y h a v e g i v e n r i s e t o t e r m i n a t i o n u n d e r t h i s s e c t i o n s h a l l b e s u b j e c t t o t h e d i s p u t e r e s o l u t i o n p r o v i s i o n s p r o v i d e d b e l o w , b u t t h e r i g h t t o e x e r c i s e r i g h t s a n d r e m e d i e s f o r s u c h r e a s o n s h a l l n o t b e s u b j e c t t o r e v i e w . T h e e x e r c i s e o f a P a r t y ' s r i g h t s a n d r e m e d i e s s h a l l b e c u m u l a t i v e w i t h t h e e x e r c i s e o f o t h e r r i g h t s a n d r e m e d i e s . N o t w i t h s t a n d i n g a n y t h i n g c o n t a i n e d i n t h i s p a r a g r a p h , n e i t h e r P a r t y s h a l l h a v e t h e r i g h t t o t e r m i n a t e t h i s A g r e e m e n t w h i l e t h e s u b j e c t o f s u c h t e r m i n a t i o n i s i n t h e p r o c e s s o f r e v i e w p u r s u a n t t o t h e d i s p u t e r e s o l u t i o n p r o c e d u r e s c o n t a i n e d i n t h i s A g r e e m e n t . R V P l l B \ H S H A N G 1 7 7 2 2 I 6 . 1 4 1 4 3 8 9.4.3 RCTC's Right to Continued Use of Toll Related Facilities. Notwithstanding any termination of this Cooperative Agreement for cause, except if such termination is pursuant to a final trial court determination of default by RCTC for nonpayment, RCTC shall have the right to continued use of the Toll Related Facilities for up to two (2) years from the date of the notice of termination. In such case, the Parties shall determine an equitable manner, consistent with the terms of this Cooperative Agreement, of accommodating the continued joint use of the Toll Related Facilities by both Parties. Following the two (2) year period of continued shared use of the Toll Related Facilities as set forth in this section, RCTC shall relocate its portion of the Toll Related Facilities to another location and the Parties shall determine an equitable means of distributing any jointly procured equipment software, Transponders and other property. 9.4.4 Cooperation Prior to Termination. Prior to the effective date of either a termination for cause or for convenience, the Parties shall cooperate in good faith to facilitate the transfer of services, agreements, materials, software, equipment and information, as necessary for the continued successful operation by each Party of its portion of the 91 Express Lanes. 9.4.5 Survival Following Termination. Notwithstanding any termination of this Agreement, and for the best interest of Customers of the 91 Express Lanes, the Parties shall continue to cooperate and coordinate operation of the 91 Express Lanes. (a) The following provisions shall survive any termination of this Agreement and shall continue in full force and effect so long as both Parties operate their portion of the 91 Express Lanes as a toll facility: Section 2.5.2(c), Section 2.10.4, Section 5.6.3, Section 5.6.4 and Section 9.1. (b) The provisions of Section 2.4 shall remain in full force and effect during the term of any continued use of the Toll Related Facilities by RCTC, and until such continued use has ceased. 9.5 Dispute Resolution. Unless otherwise specified herein, the Parties shall comply with the following procedures in the case of a dispute, claim or controversy arising under or in relation to this Cooperative Agreement. If one of the procedures below has already been completed pursuant to another section of this Cooperative Agreement, the matter shall immediately be submitted to the subsequent procedure. 9.5.1 Submission to Executive Director and CEO. The dispute shall be referred for negotiation to the Executive Director and the CEO. The Executive Director and the CEO agree to undertake good faith attempts to resolve said dispute, claim or controversy within ten (10) calendar days after the receipt of written notice from the Party alleging that a dispute, claim or controversy exists. The Parties additionally agree to cooperate with the other Party in scheduling negotiation sessions. However, if said matter is not resolved within thirty (30) calendar days after conducting the first negotiating session, either Party may then request that the matter be submitted to further dispute resolution procedures, as may be agreed upon by the Parties. R VPUBIHSHAN E1772216.1 42 • • • 439 " " 9 . 5 . 2 L e g a l A c t i o n . I f a m a t t e r i s n o t r e s o l v e d w i t h i n t h i r t y ( 3 0 ) c a l e n d a r d a y s a f t e r t h e f i r s t n e g o t i a t i n g s e s s i o n b e t w e e n t h e E x e c u t i v e D i r e c t o r a n d t h e C E O , , u n l e s s o t h e r w i s e a g r e e d u p o n i n w r i t i n g b y t h e P a r t i e s , e i t h e r P a r t y m a y p r o c e e d w i t h a n y o t h e r r e m e d y a v a i l a b l e i n l a w o r i n e q u i t y . 9 . 6 T e r m . T h i s C o o p e r a t i v e A g r e e m e n t s h a l l r e m a i n i n f u l l f o r c e a n d e f f e c t , u n l e s s o t h e r w i s e t e r m i n a t e d a s p r o v i d e d h e r e i n , s o l o n g a s b o t h P a r t i e s o p e r a t e t h e i r p o r t i o n o f t h e 9 1 E x p r e s s L a n e s a s a t o l l f a c i l i t y . 9 . 7 F o r c e m a j e u r e . T h e f a i l u r e o f p e r f o r m a n c e b y e i t h e r P a r t y ( e x c e p t f o r p a y m e n t o b l i g a t i o n s ) h e r e u n d e r s h a l l n o t b e d e e m e d t o b e a d e f a u l t w h e r e d e l a y s o r d e f a u l t s a r e d u e t o w a r ; i n s u r r e c t i o n ; s t r i k e s ; l o c k - o u t s ; r i o t s ; f l o o d s ; e a r t h q u a k e s ; f i r e s ; c a s u a l t i e s ; a c t s o f G o d ; a c t s o f t h e p u b l i c e n e m y ; e p i d e m i c s ; q u a r a n t i n e r e s t r i c t i o n s ; f r e i g h t e m b a r g o e s ; l a c k o f t r a n s p o r t a t i o n ; g o v e r n m e n t a l r e s t r i c t i o n s ; u n u s u a l l y s e v e r e w e a t h e r ; i n a b i l i t y t o s e c u r e n e c e s s a r y l a b o r , m a t e r i a l s o r t o o l s ; d e l a y s o f a n y c o n t r a c t o r , s u b c o n t r a c t o r , r a i l r o a d , o r s u p p l i e r s ; a c t s o f t h e o t h e r P a r t y ; a c t s o r f a i l u r e t o a c t o f a n y o t h e r p u b l i c o r g o v e r n m e n t a l a g e n c y o r e n t i t y ( o t h e r t h a n t h a t a c t s o r f a i l u r e t o a c t o f t h e P a r t i e s ) ; o r a n y o t h e r c a u s e s b e y o n d t h e c o n t r o l o r w i t h o u t t h e f a u l t o f t h e P a r t y c l a i m i n g a n e x t e n s i o n o f t i m e t o p e r f o r m o r r e l i e f f r o m d e f a u l t . A n e x t e n s i o n o f t i m e f o r a n y s u c h c a u s e s h a l l b e f o r t h e p e r i o d o f t h e e n f o r c e d d e l a y a n d s h a l l c o m m e n c e t o r u n f r o m t h e t i m e o f t h e c o m m e n c e m e n t o f t h e c a u s e , i f n o t i c e b y t h e p a r t y c l a i m i n g s u c h e x t e n s i o n i s s e n t t o t h e o t h e r p a r t y w i t h i n t h i r t y ( 3 0 ) d a y s o f t h e c o m m e n c e m e n t o f t h e c a u s e . T i m e s o f p e r f o r m a n c e u n d e r t h i s C o o p e r a t i v e A g r e e m e n t m a y a l s o b e e x t e n d e d i n w r i t i n g b y m u t u a l a g r e e m e n t b e t w e e n t h e P a r t i e s . 9 . 8 A m e n d m e n t s . T h i s A g r e e m e n t m a y b e a m e n d e d a t a n y t i m e b y t h e m u t u a l c o n s e n t o f t h e P a r t i e s b y a n i n s t r u m e n t i n w r i t i n g ; h o w e v e r , n o a m e n d m e n t s o r o t h e r m o d i f i c a t i o n s o f t h i s A g r e e m e n t s h a l l b e b i n d i n g u n l e s s e x e c u t e d i n w r i t i n g b y b o t h P a r t i e s h e r e t o , o r t h e i r r e s p e c t i v e s u c c e s s o r s o r a s s i g n s . 9 . 9 A s s i g n m e n t o f A g r e e m e n t . N e i t h e r P a r t y m a y a s s i g n o r t r a n s f e r i t s r e s p e c t i v e r i g h t s o r o b l i g a t i o n s u n d e r t h i s A g r e e m e n t w i t h o u t t h e e x p r e s s w r i t t e n c o n s e n t o f t h e o t h e r P a r t y . A n y p u r p o r t e d a s s i g n m e n t o r t r a n s f e r b y o n e P a r t y w i t h o u t t h e e x p r e s s w r i t t e n c o n s e n t o f t h e o t h e r P a r t y s h a l l b e n u l l a n d v o i d a n d o f n o f o r c e o r e f f e c t . 9 . 1 0 W a i v e r . N o d e l a y o r o m i s s i o n i n t h e e x e r c i s e o f a n y r i g h t o r r e m e d y o f a n o n - d e f a u l t i n g P a r t y o n a n y d e f a u l t s h a l l i m p a i r s u c h r i g h t o r r e m e d y o r b e c o n s t r u e d a s a w a i v e r . N o c o n s e n t o r a p p r o v a l o f e i t h e r P a r t y s h a l l b e d e e m e d t o w a i v e o r r e n d e r u n n e c e s s a r y s u c h P a r t y ' s c o n s e n t t o o r a p p r o v a l o f a n y s u b s e q u e n t a c t o f t h e o t h e r P a r t y . A n y w a i v e r b y e i t h e r P a r t y o f a n y d e f a u l t m u s t b e i n w r i t i n g a n d s h a l l n o t b e a w a i v e r o f a n y o t h e r d e f a u l t c o n c e r n i n g t h e s a m e o r a n y o t h e r p r o v i s i o n o f t h i s A g r e e m e n t . 9 . 1 1 G e n e r a l I n t e r p r e t a t i o n . 9 . 1 1 . 1 A s u s e d i n t h i s A g r e e m e n t , u n l e s s o t h e r w i s e s p e c i f i e d , t h e t e r m " i n c l u d i n g " s h a l l m e a n i n c l u d i n g , b u t n o t l i m i t e d t o , o r w i t h o u t l i m i t a t i o n . 9 . 1 1 . 2 A s u s e d i n t h i s A g r e e m e n t , u n l e s s o t h e r w i s e s p e c i f i e d , t h e t e r m s " s h a l l " R V P U B \ H S H A N E \ 7 7 2 2 1 6 . I 4 3 4 4 0 and "will' shall have the same meaning. 9.12 Severability. In the event that any one or more of the phrases, sentences, clauses, paragraphs, or sections contained in this Agreement shall be declared invalid or unenforceable by. valid judgment or decree of a court of competent jurisdiction, such invalidity or unenforceability shall not affect any of the remaining phrases, sentences, clauses, paragraphs, or sections of this Agreement, which shall be interpreted to carry out the intent of the parties hereunder. R VPUB\H SH ANF\772216.1 [Signatures on following page] 44 441 " " " S I G N A T U R E P A G E T O C O O P E R A T I V E A G R E E M E N T F O R S T A T E R O U T E 9 1 E X P R E S S L A N E S A N D C O R R I D O R I I V I P R O V E M E N T S B E T W E E N R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N A N D O R A N G E C O U N T Y T R A N S P O R T A T I O N A U T H O R I T Y R I V E R S I D E C O U N T Y O R A N G E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N T R A N S P O R T A T I O N A U T H O R I T Y B y : B y : I t s : I t s : A P P R O V E D A S T O F O R M : A P P R O V E D A S T O F O R M : B E S T B E S T & K R I E G E R L L P B y : B y : C o u n s e l t o t h e R i v e r s i d e G e n e r a l C o u n s e l t o O r a n g e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n C o u n t y T r a n s p o r t a t i o n A u t h o r i t y R V P U B I H S H A N E 1 7 7 2 2 1 6 . 1 4 5 4 4 2 Exhibit "A" Description of Entire Scope of RCTC Project Approved by CTC [Attached behind this page] A-1 • • 443 " P r o i e c t D e t a i l s T h e E n v i r o n m e n t a l I m p a c t S t a t e m e n t a n d E n v i r o n m e n t a l I m p a c t R e p o r t c u r r e n t l y u n d e r d e v e l o p m e n t f o r t h e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t e n v i s i o n s e v e r a l c o n s t r u c t i o n s t e p s o r p h a s e s s t a r t i n g w i t h t h e P r o j e c t ( t h e s u b j e c t o f t h i s a p p l i c a t i o n ) a n d e n d i n g w i t h t h e U l t i m a t e P r o j e c t b e f o r e 2 0 3 5 . S e e F i g u r e 1 f o r a m a p o f t h e P r o j e c t a n d t o n o t e t h e d i s t i n c t i o n b e t w e e n t h e P r o j e c t a n d U l t i m a t e P r o j e c t . F i g u r e 1 - P r o j e c t M a p L E G E N D V I M P i l l e d # / u E b r r P m j e n . t a g m a i n d L a m E : t O w o d l w w l P i t ��{ V l l h ' y a P r o f e a * t M o i M O O a d U P I 4 5 a l l t 6 0 1 1 1 1 1 . 1 M f . A - 2 4 4 4 In the segment of the SR-91 corridor between SR-71 and I-15, the Project will result in a total of seven lanes in each direction — five GP lanes and two tolled Express Lanes. This compares to the existing freeway which has a total of five lanes in each direction — four GP lanes and one HOV lane. This will be accomplished by modifying one HOV lane to an Express Lane and by widening the SR-91 freeway by the equivalent of approximately three lanes in each direction. One of the lanes is a new GP lane, one is an " additional GP lane to replace an existing inside GP lane that is modified to an Express Lane (so that there are two Express Lanes in each direction), and the third is to add the pavement necessary to widen all of the existing lanes from eleven feet to twelve feet and to provide standard inside shoulders. This segment of the freeway will then have five GP lanes and two tolled Express Lanes in each direction with one ingress point and one egress point. See Figure 2 for typical cross sections. Specific details of the roadway features and components of the Project are noted in Attachment 7. Figure 2 - Typical Cross Sections Existing (4+1) S. 9F% WESTBOUND Project (1+5+2) fma WE STBOOND ERST80VRD EASTBOUND A-3 445 " " " T h e a d d i t i o n a l p h a s e s t h a t w i l l s u p p l e m e n t t h e P r o j e c t a s p a r t o f t h e U l t i m a t e P r o j e c t a r e : 1 . E x t e n d t h e P r o j e c t t h r e e m i l e s f u r t h e r e a s t b y a d d i n g o n e E x p r e s s L a n e a n d o n e G P l a n e i n e a c h d i r e c t i o n f r o m 1 - 1 5 t o P i e r c e S t r e e t i n t h e C i t y o f R i v e r s i d e . 2 . E x t e n d t h e P r o j e c t t w o m i l e s f u r t h e r s o u t h o n 1 - 1 5 . C o n t i n u e t h e o n e l a n e a p p r o a c h t o t h e d i r e c t c o n n e c t o r s i n e a c h d i r e c t i o n i n t h e m e d i a n o f 1 - 1 5 f r o m O n t a r i o A v e . t o C a j a l c o R d . 3 . A d d o n e G P l a n e i n e a c h d i r e c t i o n f r o m t h e S R - 7 1 i n t e r c h a n g e t o t h e S R - 2 4 1 i n t e r c h a n g e i n O r a n g e C o u n t y . 4 . A d d a n e w f r e e w a y - t o - f r e e w a y c o n n e c t o r f r o m e a s t b o u n d S R - 9 1 t o n o r t h b o u n d S R - 7 1 . A d d o t h e r r e l a t e d i m p r o v e m e n t s t o t h e S R - 9 1 / S R - 7 1 i n t e r c h a n g e 5 . A d d d i r e c t c o n n e c t o r s t o a n d f r o m t h e n o r t h a t 1 - 1 5 . A d d o n e - l a n e c o n n e c t o r s i n e a c h d i r e c t i o n f r o m t h e S R - 9 1 t o l l e d E x p r e s s L a n e s t o f u t u r e E x p r e s s L a n e s o r H O V l a n e s i n t h e m e d i a n o f 1 - 1 5 . E x t e n d t h e o n e l a n e E x p r e s s L a n e i n e a c h d i r e c t i o n i n t h e m e d i a n o f 1 - 1 5 o n e a n d o n e h a l f m i l e n o r t h t o H i d d e n V a l l e y P a r k w a y . J u s t p r i o r t o p r o c u r e m e n t , R C T C i n t e n d s t o p e r f o r m a n o t h e r u p d a t e t o t h e f i n a n c i a l p l a n f o r t h e P r o j e c t . A t t h a t t i m e , a d d i t i o n a l p h a s e s o f t h e U l t i m a t e P r o j e c t m a y b e a d d e d t o t h e s c o p e o f t h e P r o j e c t . T o d o s o , t h e d e s i g n - b u i l d p r o c u r e m e n t p r o c e s s m a y b e s t r u c t u r e d t o a l l o w f o r p r i c e d o p t i o n s t o b e a d d e d t o t h e s c o p e o f t h e s u c c e s s f u l p r o p o s e r . I f a l l p h a s e s o f t h e U l t i m a t e P r o j e c t a r e a d d e d , t h e s c o p e o f t h e P r o j e c t w o u l d b e t h a t o f t h e U l t i m a t e P r o j e c t a s c l e a r e d b y t h e o n g o i n g e n v i r o n m e n t a l s t u d i e s . T h i s a p p l i c a t i o n s e e k s d e s i g n - b u i l d a u t h o r i t y f o r t h e P r o j e c t , a s i t m a y b e e x p a n d e d t h r o u g h t h e p r o c u r e m e n t p r o c e s s t o i n c l u d e e l e m e n t s o f t h e U l t i m a t e P r o j e c t . R V P U B I H S H A N E 1 7 7 2 2 1 6 . 1 A - 4 4 4 6 " E x h i b i t " B " A D D I T I O N A L V E N D O R C O N T R A C T S C u r r e n t V e n d o r D e s c r i p t i o n K n o b b e M a r t e n T r a d e m a r k C o u n s e l S i r i t T r a n s p o n d e r s N L D C T o l l P r o M a i n t e n a n c e A g r e e m e n t N o r t e l / I n t e g r a t e d T e l e p h o n e M a i n t e n a n c e A g r e e m e n t B a n k o f A m e r i c a M e r c h a n t S e r v i c e s A g r e e m e n t - C r e d i t C a r d s P a c i f i c L i t h o N e w s l e t t e r p r i n t i n g C P I P r o p e r t i e s C o r o n a L e a s e K - I I F u l l e r t o n A n a h e i m L e a s e S e c t r a n A r m o r C a r S e r v i c e s S C E C o r o n a C S C U t i l i t i e s G r i f f i t h s P r i n t i n g W e l c o m e P o s t c a r d s , B r o c h u r e s P a y p a l P a y m e n t P r o c e s s i n g V S / M C / A m e x / D i s c C r e d i t C a r d P r o c e s s i n g v a r i o u s E q u i p m e n t / S e r v e r s m a i n t e n a n c e a g r e e m e n t s v a r i o u s C o m p u t e r H a r d w a r e / S o f t w a r e l i c e n s e s / u p g r a d e s v a r i o u s E q u i p m e n t r e p a i r s S e p t e m b e r 1 1 , 2 0 0 9 R e v i s e d F e b r u a r y 1 5 , 2 0 1 0 R V P U B W S H A N E 1 7 7 2 2 1 6 . 1 E x h i b i t B 4 4 7 " " E x h i b i t " C " T O L L R E V E N U E A L L O C A T I O N 1 . C u s t o d i a l A g r e e m e n t . R C T C a n d O C T A s h a l l j o i n t l y e n t e r i n t o a C u s t o d i a l A g r e e m e n t w i t h a C u s t o d i a n i n s u b s t a n t i a l l y t h e f o r m a t t a c h e d t o t h e C o o p e r a t i v e A g r e e m e n t , p u r s u a n t t o w h i c h t h e a c c o u n t s d e s c r i b e d b e l o w s h a l l b e e s t a b l i s h e d b y t h e C u s t o d i a n . R C T C a n d O C T A s h a l l n e g o t i a t e w i t h t h e O p e r a t o r t o i n c l u d e t h e O p e r a t o r o b l i g a t i o n s b e l o w u n d e r t h e O p e r a t i o n s A g r e e m e n t . 2 . 9 1 E x p r e s s L a n e s C u s t o m e r A c c o u n t T r a n s a c t i o n s . S i x ( 6 ) m o n t h s p r i o r t o t h e a n t i c i p a t e d O p e n i n g D a t e , O C T A w i l l d e l i v e r i n s t r u c t i o n s t o e a c h C u s t o m e r t h a t h a s a C u s t o m e r A c c o u n t ( " 9 1 E x p r e s s L a n e s C u s t o m e r " ) a s w e l l a s t o a n y c r e d i t c a r d c o m p a n y f o r w h i c h O C T A h a s a u t h o r i z a t i o n t o r e q u e s t a d v a n c e s o n b e h a l f o f a 9 1 E x p r e s s L a n e s C u s t o m e r t o m a k e o r c a u s e t o b e m a d e a l l p a y m e n t s w i t h r e s p e c t t o s a i d c u s t o m e r ' s C u s t o m e r A c c o u n t n o t t o O C T A b u t i n s t e a d i n t o a s i n g l e m a s t e r a c c o u n t m a i n t a i n e d b y t h e C u s t o d i a n u n d e r t h e C u s t o d i a l A g r e e m e n t ( t h e " 9 1 E x p r e s s L a n e s C u s t o m e r A c c o u n t " ) , w h i c h w i l l b e c o l l e c t e d d a i l y , p r o c e s s e d a n d c a s h p r o c e e d s t r a n s f e r r e d b y t h e C u s t o d i a n i n t o a s i n g l e m a s t e r C u s t o d i a l a c c o u n t m a i n t a i n e d b y t h e C u s t o d i a n u n d e r t h e C u s t o d i a l A g r e e m e n t ( t h e " 9 1 E x p r e s s L a n e s C u s t o m e r F u n d s A c c o u n t " ) . O p e r a t o r w i l l u s e c o m m e r c i a l l y r e a s o n a b l e e f f o r t s t o i n s u r e t h a t b a l a n c e s i n t h e 9 1 E x p r e s s L a n e s C u s t o m e r F u n d s A c c o u n t a r e m a i n t a i n e d . F o r C u s t o m e r A c c o u n t h o l d e r s t h a t h a v e a g r e e d t o p e r m i t O C T A t o r e q u e s t a d v a n c e s o n c r e d i t c a r d s o f s u c h C u s t o m e r A c c o u n t h o l d e r s , O p e r a t o r s h a l l t i m e l y r e q u e s t a n d p r o c e s s s u c h a d v a n c e s w h e n e v e r t h e c u r r e n t b a l a n c e o f f u n d s o n d e p o s i t t o t h e c r e d i t o f s u c h C u s t o m e r A c c o u n t s a r e n o t s u f f i c i e n t t o e i t h e r p a y a n y a m o u n t s p a y a b l e w i t h r e s p e c t t o s u c h C u s t o m e r A c c o u n t , i n c l u d i n g f o r a n y u s e o f t h e 9 1 E x p r e s s L a n e s , o r t o s a t i s f y a n y m i n i m u m c a s h b a l a n c e r e q u i r e m e n t s a p p l i c a b l e t o s u c h C u s t o m e r A c c o u n t . 2 . 1 F o r e a c h 9 1 E x p r e s s L a n e s C u s t o m e r T r a n s p o n d e r t r a n s a c t i o n o n t h e R C T C 9 1 E x p r e s s L a n e s , O p e r a t o r a g r e e s t h a t b y n o l a t e r t h a n t h e d a t e s p e c i f i e d i n S e c t i o n 4 . 1 o f t h i s E x h i b i t , O p e r a t o r w i l l i n s t r u c t t h e C u s t o d i a n t o ( i ) d e b i t t h e 9 1 E x p r e s s L a n e s C u s t o m e r F u n d s A c c o u n t i n o r d e r t o e f f e c t p a y m e n t i n t o a d e s i g n a t e d R C T C 9 1 E x p r e s s L a n e s t o l l R e v e n u e a c c o u n t ( " R C T C 9 1 E x p r e s s L a n e s T o l l R e v e n u e A c c o u n t " ) , o f t h e t o l l R e v e n u e f o r s u c h t r a n s a c t i o n d e t e r m i n e d b y t h e O p e r a t o r a s d e s c r i b e d i n S e c t i o n 4 . 1 a n d ( i i ) t r a n s f e r s u c h f u n d s t o t h e d e s i g n a t e d R C T C p a y e e a c c o u n t ( " R C T C P a y e e A c c o u n t " ) . 2 . 2 F o r e a c h 9 1 E x p r e s s L a n e s C u s t o m e r T r a n s p o n d e r t r a n s a c t i o n o n t h e O C T A 9 1 E x p r e s s L a n e s , O p e r a t o r a g r e e s t h a t b y n o l a t e r t h a n t h e d a t e s p e c i f i e d i n S e c t i o n 4 . 2 o f t h i s E x h i b i t , O p e r a t o r w i l l i n s t r u c t t h e C u s t o d i a n t o ( i ) d e b i t t h e C u s t o m e r F u n d s A c c o u n t i n o r d e r t o e f f e c t p a y m e n t i n t o a d e s i g n a t e d O C T A 9 1 E x p r e s s L a n e s t o l l R e v e n u e a c c o u n t ( " O C T A 9 1 E x p r e s s L a n e s T o l l R e v e n u e A c c o u n t " ) , o f t h e t o l l R e v e n u e f o r s u c h t r a n s a c t i o n d e t e r m i n e d b y t h e O p e r a t o r a s d e s c r i b e d i n S e c t i o n 4 . 2 a n d ( i i ) t r a n s f e r s u c h f u n d s t o t h e d e s i g n a t e d O C T A p a y e e a c c o u n t ( " O C T A P a y e e A c c o u n t " ) . 3 . O t h e r T o l l E n t i t y T r a n s a c t i o n s . S i x ( 6 ) m o n t h s p r i o r t o t h e a n t i c i p a t e d O p e n i n g D a t e , O C T A w i l l d e l i v e r i n s t r u c t i o n s t o e a c h O t h e r T o l l E n t i t y t o m a k e o r c a u s e t o b e m a d e a l l p a y m e n t s w i t h r e s p e c t t o T r a n s p o n d e r t r a n s a c t i o n s b y t h e i r c u s t o m e r s o n t h e 9 1 E x p r e s s L a n e s R V P U B I H S H A N D 7 7 2 2 1 6 . 1 C - 1 4 4 8 not to OCTA but instead either (i) into a single master account maintained by the Custodian under the Custodial Agreement (the "Other Toll Entity Account") [question: it looks like there are two accounts — this one and the Other Toll Entity Revenue Account — that are doing the same thing?], which will be collected daily, processed and cash proceeds transferred by the Custodian into a single master Custodial account maintained by the Custodian under the Custodial Agreement (the "Other Toll Entity Revenue Account") or (ii) directly to the Custodian by electronic funds transfer for deposit into the Other Toll Entity Revenue Account. 3.1 For each Other Toll Entity Transponder transaction on the RCTC 91 Express Lanes, Operator will instruct the Custodian to (i) debit the Other Toll Entity Revenue Account in order to effect payment into the RCTC 91 Express Lanes Toll Revenue Account, of the toll Revenue for such transaction and (ii) transfer such funds to the RCTC Payee Account. 3.2 For each Other Toll Entity Transponder transaction on the OCTA 91 Express Lanes, Operator will instruct the Custodian to (i) debit the Other Toll Entity Revenue Account in order to effect payment into the OCTA 91 Express Lanes Toll Revenue Account, of the toll Revenue for such transaction and (ii) transfer such funds to the OCTA Payee Account. 4. Toll Transaction Payments [please confirm that this will pick up revenue received from other toll entity accountholders]. 4.1 Operator shall direct the Custodian to pay to the designated RCTC Payee Account, in arrears, the toll Revenue for each Transponder transaction on the RCTC 91 Express Lanes within five (5) business days after the date that all required transaction data for such Transponder transaction has been acquired by the Operator. 4.2 Operator shall direct the Custodian to pay to the designated OCTA Payee Account, in arrears, the toll Revenue for each Transponder transaction on the OCTA 91 Express Lanes within five (5) business days after the date that all required transaction data for such Transponder transaction has been acquired by the Operator. 4.3 Operator shall specify the date of each required distribution by the Custodian in its payment instructions to the Custodian under the Custodial Agreement and Operator agrees that such dates shall be on or before the date that payments are required under Sections 4.1 and 4.2 above. 4.4 Operator acknowledges that Operator is an intermediary of RCTC and has no beneficial interest in the toll Revenues collected and held by the Custodian with respect to any Transponder trips on the RCTC 91 Express Lanes. 4.5 Operator acknowledges that Operator is an intermediary of OCTA arid- has no beneficial interest in the toll Revenues collected and held by the Custodian with respect to any Transponder trips on the OCTA 91 Express Lanes. 4.6 OCTA acknowledges that OCTA is an intermediary of RCTC and has no beneficial interest in the toll Revenues collected by OCTA, if any, with respect to any Transponder trips on the RCTC 91 Express Lanes. R V PUB1FiSHAN E\772216.1 C-2 • • 449 " 5 . T r a n s p o n d e r T r i p s . F o r t h e a v o i d a n c e o f d o u b t , a n d f o r p u r p o s e s o f p a y m e n t u n d e r t h i s E x h i b i t o n l y , t r a n s a c t i o n d a t a f o r a T r a n s p o n d e r t r i p s h a l l b e d e e m e d t o b e t r a n s m i t t e d t o t h e O p e r a t o r o n l y i f a n d w h e n t h e O p e r a t o r d e t e r m i n e s t h a t : ( a ) T h e v e h i c l e i s a s s o c i a t e d w i t h a v a l i d T r a n s p o n d e r i s s u e d t o a C u s t o m e r A c c o u n t o r b y a n O t h e r T o l l E n t i t y ; ( 6 ) T h e a c c o u n t b a l a n c e a t t h e r e l e v a n t p r o c e s s i n g t i m e o f t h e t r a n s a c t i o n i s s u f f i c i e n t t o p a y t h e T r a n s p o n d e r t o l l r a t e ; ( c ) T h e T r a n s p o n d e r i s p r o p e r l y r e a d o r w r i t t e n , t o o r c a n n o t b e r e a d o r w r i t t e n t o d u e t o a d e f e c t i n o r i m p r o p e r m o u n t i n g o f t h e T r a n s p o n d e r ; a n d ( d ) I f t h e T r a n s p o n d e r i s n o t p r o p e r l y r e a d o r w r i t t e n t o , t h e v e h i c l e n e v e r t h e l e s s i s r e g i s t e r e d u n d e r a C u s t o m e r A c c o u n t , o r h a s a n a c t i v e a c c o u n t w i t h a n O t h e r T o l l E n t i t y , a s e v i d e n c e d b y a p h o t o g r a p h i c o r v i d e o i m a g e c o l l e c t e d o f t h e v e h i c l e l i c e n s e p l a t e ( " C a n d i d a t e V e h i c l e " ) . T h e a b o v e s h a l l a p p l y e x c e p t a s t h e P a r t i e s m a y o t h e r w i s e a g r e e b a s e d o n t h e p r o t o c o l t o b e e s t a b l i s h e d w i t h t h e O p e r a t o r u n d e r t h e O p e r a t i n g A g r e e m e n t . 6 . N o T r i p o r T r a n s a c t i o n . N o T r a n s p o n d e r T r i p s h a l l b e d e e m e d t o o c c u r , a n d n o t o l l s s h a l l b e d u e f r o m a m a s t e r C u s t o d i a l a c c o u n t t o R C T C o r t o O C T A , r e s p e c t i v e l y , f o r a n y v e h i c l e t r a v e l i n g o n t h e R C T C 9 1 E x p r e s s L a n e s o r t h e O C T A 9 1 E x p r e s s L a n e s , r e s p e c t i v e l y , i f : ( a ) E i t h e r t h e v e h i c l e l a c k s a T r a n s p o n d e r , o r ( b ) T h e v e h i c l e i s n o t a C a n d i d a t e V e h i c l e . T h e a b o v e s h a l l a p p l y e x c e p t a s t h e P a r t i e s m a y o t h e r w i s e a g r e e b a s e d o n t h e p r o t o c o l t o b e e s t a b l i s h e d w i t h t h e O p e r a t o r u n d e r t h e O p e r a t i n g A g r e e m e n t . 7 . T o l l C o l l e c t i o n P r o v i s i o n s . 7 . 1 O p e r a t o r s h a l l c a u s e a l l d e b i t s t o t h e a c c o u n t s o f T r a n s p o n d e r h o l d e r s f o r r e g i s t e r e d T r a n s p o n d e r t r i p s o n t h e R C T C 9 1 E x p r e s s L a n e s t o b e t r a n s f e r r e d t o t h e R C T C 9 1 E x p r e s s L a n e s T o l l R e v e n u e A c c o u n t f o r d e p o s i t n o l a t e r t h a n t h e d a t e s s e t f o r t h i n S e c t i o n 4 . 1 . 7 . 2 O p e r a t o r s h a l l c a u s e a l l d e b i t s t o t h e a c c o u n t s o f T r a n s p o n d e r h o l d e r s f o r r e g i s t e r e d T r a n s p o n d e r t r i p s o n t h e O C T A 9 1 E x p r e s s L a n e s t o b e t r a n s f e r r e d t o t h e O C T A 9 1 E x p r e s s L a n e s T o l l R e v e n u e A c c o u n t f o r d e p o s i t n o l a t e r t h a n t h e d a t e s s e t f o r t h i n S e c t i o n 4 . 2 . 7 . 3 O C T A s h a l l m a i n t a i n C u s t o m e r A c c o u n t f u n d s s e p a r a t e a n d a p a r t f r o m O C T A f u n d s a s p r o v i d e d h e r e i n a n d i n t h e C u s t o d i a l A g r e e m e n t . D u r i n g t h e t e r m o f t h i s A g r e e m e n t , R V P U B I H S H A N E 1 7 7 2 2 1 6 . C - 3 4 5 0 OCTA will cause the collection and deposit of all toll Revenues, Customer Account deposits, Customer Account payments, and funds owed to Other Toll Entities or other public agency and private toll operators, into the master Custodial accounts established under the Custodial Agreement. 8. Payments to Other Toll Entities. For each 91 Express Lanes Customer Transponder transaction on the toll road of any Other Toll Entity, Operator will instruct the Custodian to debit the 91 Express Lanes Customer Funds Account in order to transfer payment to the appropriate Other Toll Entity in the manner and as required by the respective interoperability agreements with the Other Toll Entities. 9. Accounting Records. Operator shall maintain, in accordance with the terms of the Operating Agreement and with good industry practice, accurate and complete books and records, including electronic data, of or relating to all toll transactions on the 91 Express Lanes ("Accounting Records"). Either RCTC or OCTA shall have the right, at any time during normal business hours of Operator, to review the Accounting Records and to demand an independent third -party review and audit thereof RVPUB1HSHAND772216_ C-4 • 451 ATTACHMENT 4 MASTER INDENTURE between RIVERSIDE COUNTY TRANSPORTATION COMMISSION and U.S. BANK NATIONAL ASSOCIATION as Trustee Dated as of 1, 201 Riverside County Transportation Commission Toll Revenue Bonds OHS West260935709.4 452 " T A B L E O F C O N T E N T S P a g e A R T I C L E I D E F I N I T I O N S S e c t i o n 1 . 0 1 D e f i n i t i o n s 4 A R T I C L E I I T H E B O N D S S e c t i o n 2 . 0 1 A u t h o r i z a t i o n a n d P u r p o s e s 1 9 S e c t i o n 2 . 0 2 G e n e r a l T e r m s o f B o n d s 2 0 S e c t i o n 2 . 0 3 E x e c u t i o n 2 0 S e c t i o n 2 . 0 4 C e r t i f i c a t e o f A u t h e n t i c a t i o n 2 0 S e c t i o n 2 . 0 5 F o r m s o f B o n d s 2 1 S e c t i o n 2 . 0 6 I s s u a n c e , S a l e a n d D e l i v e r y o f B o n d s ; A p p l i c a t i o n o f P r o c e e d s 2 1 S e c t i o n 2 . 0 7 M u t i l a t e d , L o s t , S t o l e n o r D e s t r o y e d B o n d s 2 1 S e c t i o n 2 . 0 8 E x c h a n g e a b i l i t y a n d T r a n s f e r o f B o n d s ; P e r s o n s T r e a t e d a s H o l d e r s 2 1 S e c t i o n 2 . 0 9 C a n c e l l a t i o n 2 2 S e c t i o n 2 . 1 0 B o n d s R a t a b l y S e c u r e d 2 3 S e c t i o n 2 . 1 1 B o o k - E n t r y O n l y S y s t e m 2 3 A R T I C L E I I I A D D I T I O N A L B O N D S , P A R I T Y O B L I G A T I O N S , A N D S U B O R D I N A T E D O B L I G A T I O N S S e c t i o n 3 . 0 1 R e s t r i c t i o n s o n I s s u a n c e o f A d d i t i o n a l B o n d s a n d P a r i t y O b l i g a t i o n s 2 4 S e c t i o n 3 . 0 2 P r o c e e d i n g s f o r I s s u a n c e o f A d d i t i o n a l B o n d s a n d P a r i t y O b l i g a t i o n s 2 5 S e c t i o n 3 . 0 3 S u b o r d i n a t e d O b l i g a t i o n s ; T I F I A L o a n s 2 6 A R T I C L E I V R E D E M P T I O N A N D T E N D E R S e c t i o n 4 . 0 1 R e d e m p t i o n , T e n d e r a n d P u r c h a s e o f B o n d s 2 6 S e c t i o n 4 . 0 2 N o t i c e o f R e d e m p t i o n 2 6 S e c t i o n 4 . 0 3 C o n d i t i o n a l N o t i c e o f R e d e m p t i o n ; R e s c i s s i o n 2 6 S e c t i o n 4 . 0 4 E f f e c t o f R e d e m p t i o n 2 7 S e c t i o n 4 . 0 5 P a r t i a l R e d e m p t i o n o f B o n d s 2 7 A R T I C L E V P L E D G E ; F U N D S A N D A C C O U N T S S e c t i o n 5 . 0 1 P l e d g e o f R e v e n u e ; T o l l R e v e n u e F u n d 2 7 S e c t i o n 5 . 0 2 E s t a b l i s h m e n t a n d A p p l i c a t i o n o f t h e B o n d F u n d 2 8 S e c t i o n 5 . 0 3 E s t a b l i s h m e n t , F u n d i n g a n d A p p l i c a t i o n o f t h e R e s e r v e F u n d 2 9 S e c t i o n 5 . 0 4 E s t a b l i s h m e n t a n d A p p l i c a t i o n o f t h e R e b a t e F u n d 3 1 S e c t i o n 5 . 0 5 E s t a b l i s h m e n t a n d A p p l i c a t i o n o f t h e R e d e m p t i o n F u n d 3 1 S e c t i o n 5 . 0 6 R e c o r d s 3 1 S e c t i o n 5 . 0 7 I n v e s t m e n t b y T r u s t e e 3 1 S e c t i o n 5 . 0 8 S u b s i d y P a y m e n t s 3 2 O H S W e s c 2 6 0 9 3 5 7 0 9 . 4 4 5 3 TABLE OF CONTENTS (continued) Page ARTICLE VI COVENANTS OF THE COMMISSION Section 6.01 Punctual Payment and Performance 32 Section 6.02 Against Encumbrances 33 Section 6.03 Toll and Revenue Covenants 33 Section 6.04 Annual Budget 34 Section 6.05 Operation and Maintenance of the Toll Road 35 Section 6.06 Retention of Assets 35 Section 6.07 Insurance 35 Section 6.08 Payment of Claims 35 Section 6.09 Receipt and Deposit of Cash Advances 35 Section 6.10 Design -Build Procurement and Construction 36 Section 6.11 Construction and Maintenance From Other Sources Permitted 36 Section 6.12 Tax Covenants 36 Section 6.13 Accounting Records; Financial Statements and Other Reports 37 Section 6.14 Protection of Revenue and Rights of Holders 37 Section 6.15 Payment of Governmental Charges and Compliance with Governmental Regulations 37 Section 6.16 Maintenance of Powers 37 Section 6.17 Covenants Binding on The Commission and Successors 38 Section 6.18 Continuing Disclosure 38 Section 6.19 Further Assurances 38 ARTICLE VII DEFAULT PROVISIONS AND REMEDIES Section 7.01 Events of Default 38 Section 7.02 Application of Revenue and Other Funds After Default 39 Section 7.03 No Acceleration 39 Section 7.04 Suits at Law or in Equity and Mandamus 39 Section 7.05 Waivers 40 ARTICLE VIII THE TRUSTEE Section 8.01 Trustee 40 Section 8.02 Compensation and Indemnification of Trustee 42 Section 8.03 Qualifications of Trustee; Resignation; Removal •42 Section 8.04 Instrument of Bondholders 44 Section 8.05 Issuing and Paying Agents 45 ARTICLE IX AMENDMENTS Section 9.01 Amendments to Indenture Not Requiring Consent of Bondholders 45 Section 9.02 Amendments to Indenture Requiring Consent of Bondholders 46 OHS West 260935709.4 -II- 454 " " " T A B L E O F C O N T E N T S ( c o n t i n u e d ) P a g e S e c t i o n 9 . 0 3 N o t i c e t o a n d C o n s e n t o f B o n d h o l d e r s 4 6 S e c t i o n 9 . 0 4 E x e c u t i o n a n d E f f e c t o f S u p p l e m e n t a l I n d e n t u r e s 4 7 S e c t i o n 9 . 0 5 B o n d s O w n e d b y C o m m i s s i o n 4 7 A R T I C L E X D I S C H A R G E O F L I E N S e c t i o n 1 0 . 0 1 D i s c h a r g e o f L i e n a n d S e c u r i t y I n t e r e s t 4 7 S e c t i o n 1 0 . 0 2 P r o v i s i o n f o r P a y m e n t o f B o n d s 4 8 S e c t i o n 1 0 . 0 3 U n c l a i m e d M o n e y s 4 9 A R T I C L E X I M I S C E L L A N E O U S S e c t i o n 1 1 . 0 1 L i a b i l i t y o f C o m m i s s i o n L i m i t e d t o R e v e n u e 4 9 S e c t i o n 1 1 . 0 2 L i m i t a t i o n o f R i g h t s ; T h i r d P a r t y B e n e f i c i a r y 4 9 S e c t i o n 1 1 . 0 3 R i g h t s o f C r e d i t P r o v i d e r s 5 0 S e c t i o n 1 1 . 0 4 S e v e r a b i l i t y 5 0 S e c t i o n 1 1 . 0 5 N o t i c e s 5 1 S e c t i o n 1 1 . 0 6 P a y m e n t s D u e o n N o n - B u s i n e s s D a y s 5 1 S e c t i o n 1 1 . 0 7 C a p t i o n s 5 1 S e c t i o n 1 1 . 0 8 C a l i f o r n i a L a w 5 1 S e c t i o n 1 1 . 0 9 E f f e c t i v e D a t e 5 1 S e c t i o n 1 1 . 1 0 E x e c u t i o n i n S e v e r a l C o u n t e r p a r t s 5 1 O H S W e s t 2 6 0 9 3 5 7 0 9 4 - 1 1 1 - 4 5 5 " " T h i s M A S T E R I N D E N T U R E , d a t e d a s o f 1 , 2 0 1 _ ( t h i s " I n d e n t u r e " ) , b e t w e e n t h e R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N , a p u b l i c e n t i t y d u l y e x i s t i n g u n d e r t h e l a w s o f t h e S t a t e o f C a l i f o r n i a ( t h e " C o m m i s s i o n " ) , a n d U . S . B A N K N A T I O N A L A S S O C I A T I O N a n a t i o n a l b a n k i n g a s s o c i a t i o n d u l y o r g a n i z e d a n d e x i s t i n g u n d e r t h e l a w s o f t h e U n i t e d S t a t e s o f A m e r i c a , a s t r u s t e e ( t o g e t h e r w i t h a n y s u c c e s s o r t h e r e t o t h e " T r u s t e e " ) ; W I T N E S S E T H : W H E R E A S , t h e R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n ( t h e " C o m m i s s i o n " ) i s a c o u n t y t r a n s p o r t a t i o n c o m m i s s i o n d u l y o r g a n i z e d a n d e x i s t i n g p u r s u a n t t o t h e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n s A c t , b e i n g D i v i s i o n 1 2 o f t h e P u b l i c U t i l i t i e s C o d e o f t h e S t a t e o f C a l i f o r n i a ( S e c t i o n 1 3 0 0 0 0 e t s e q . ) ( a s a m e n d e d , i n c l u d i n g b y C h a p t e r 7 1 4 o f t h e C a l i f o r n i a S t a t u t e s o f 2 0 0 8 ( S e n a t e B i l l N o . 1 3 1 6 ) , t h e " A c t ' ) ; W H E R E A S , t h e C o m m i s s i o n i s a u t h o r i z e d p u r s u a n t t o t h e R i v e r s i d e C o u n t y T r a n s p o r t a t i o n S a l e s T a x A c t , b e i n g D i v i s i o n 2 5 o f t h e P u b l i c U t i l i t i e s C o d e o f t h e S t a t e o f C a l i f o r n i a ( S e c t i o n 2 4 0 0 0 0 e t s e q . ) ( t h e " S a l e s T a x A c t ' ) , t o , a m o n g o t h e r t h i n g s , a n d w i t h v o t e r a p p r o v a l , l e v y a r e t a i l t r a n s a c t i o n s a n d u s e t a x i n a c c o r d a n c e w i t h t h e p r o v i s i o n s o f P a r t 1 . 6 ( c o m m e n c i n g w i t h S e c t i o n 7 2 5 1 ) o f D i v i s i o n 2 o f t h e C a l i f o r n i a R e v e n u e a n d T a x a t i o n C o d e a n d t o i s s u e l i m i t e d t a x b o n d s p a y a b l e f r o m t h e p r o c e e d s o f s u c h t a x ; W H E R E A S , t h e C o m m i s s i o n a d o p t e d O r d i n a n c e N o . 0 2 - 0 0 1 , n a m e d t h e " T r a n s p o r t a t i o n E x p e n d i t u r e P l a n a n d R e t a i l T r a n s a c t i o n a n d U s e T a x O r d i n a n c e " ( t h e " O r d i n a n c e " ) o n M a y 8 , 2 0 0 2 , p u r s u a n t t o t h e p r o v i s i o n s o f t h e S a l e s T a x A c t , w h i c h O r d i n a n c e p r o v i d e s f o r t h e i m p o s i t i o n o f a r e t a i l t r a n s a c t i o n s a n d u s e t a x ( t h e " S a l e s T a x " ) a p p l i c a b l e i n t h e i n c o r p o r a t e d a n d u n i n c o r p o r a t e d t e r r i t o r y o f t h e C o u n t y i n a c c o r d a n c e w i t h t h e p r o v i s i o n s o f P a r t 1 . 6 ( c o m m e n c i n g w i t h S e c t i o n 7 2 5 1 ) o f D i v i s i o n 2 o f t h e C a l i f o r n i a R e v e n u e a n d T a x a t i o n C o d e a t t h e r a t e o f o n e - h a l f o f o n e p e r c e n t ( 1 / 2 % ) c o m m e n c i n g J u l y I , 2 0 0 9 a n d c o n t i n u i n g f o r a p e r i o d n o t t o e x c e e d t h i r t y ( 3 0 ) y e a r s ; W H E R E A S , b y i t s t e r m s , t h e O r d i n a n c e b e c a m e e f f e c t i v e a t t h e c l o s e o f t h e p o l l s o n N o v e m b e r 5 , 2 0 0 2 , t h e d a y o f t h e e l e c t i o n a t w h i c h t h e p r o p o s i t i o n i m p o s i n g t h e S a l e s T a x w a s a p p r o v e d b y m o r e t h a n t w o - t h i r d s o f t h e e l e c t o r s v o t i n g o n t h e m e a s u r e ; W H E R E A S , t h e O r d i n a n c e a u t h o r i z e s t h e C o m m i s s i o n t o a p p l y p r o c e e d s o f t h e S a l e s T a x ( t h e " S a l e s T a x R e v e n u e s " ) f o r t r a n s p o r t a t i o n p u r p o s e s , i n c l u d i n g t h e c o n s t r u c t i o n , c a p i t a l , a c q u i s i t i o n , m a i n t e n a n c e a n d o p e r a t i o n o f s t r e e t s , r o a d s , h i g h w a y s , i n c l u d i n g s t a t e h i g h w a y s , a n d f o r r e l a t e d p u r p o s e s ; W H E R E A S , t h e A c t a u t h o r i z e s t h e C o m m i s s i o n t o s e t , l e v y a n d c o l l e c t t o l l s , u s e r f e e s , o r o t h e r s i m i l a r c h a r g e s , p a y a b l e f o r u s e o f t h e t o l l l a n e s a n d o t h e r f a c i l i t i e s o n t h e p o r t i o n o f S t a t e H i g h w a y R o u t e 9 1 ( t h e " S R - 9 1 " ) b e t w e e n t h e O r a n g e a n d R i v e r s i d e C o u n t y l i n e a n d S t a t e H i g h w a y R o u t e 1 5 ( t h e " T o l l R o a d " ) , a n d t o i s s u e o n e o r m o r e s e r i e s o f b o n d s ( a s f u r t h e r d e f i n e d h e r e i n , t h e " B o n d s " ) p u r s u a n t t o t h e t e r m s a n d c o n d i t i o n s o f a r e s o l u t i o n a d o p t e d b y a t w o - t h i r d s v o t e o f t h e C o m m i s s i o n , w h i c h b o n d s m a y b e p a y a b l e f r o m ( i ) t h e p r o c e e d s o f s u c h O H S W e s t 2 6 0 9 3 5 1 0 9 . 4 4 5 6 tolls (the "Toll Revenues"), (ii) Sales Tax Revenues, (iii) development impact fees, (iv) federal grant funds, and (v) any other source of revenues available to the Commission; WHEREAS, the Act authorizes the Bonds to be issued for the purpose of. financing the planning, design, development, financing, construction, reconstruction, rehabilitation, improvement, acquisition, lease, operation, or maintenance, or any combination of these, with respect to tolled and nontolled facilities, structures, onramps, connector roads, bridges, and roadways that are on, necessary for, or related to the construction or operation of the portion of the SR-91 between the Orange and Riverside County line to the west and State Highway Route 15 to the east (the "Riverside SR-91 Corridor Improvement Project"); WHEREAS, the Orange County Transportation Authority ("OCTA) imposes tolls on certain SR-91 lanes in Orange County pursuant to an Amended and Restated Franchise Agreement between the California Department of Transportation ("Caltrans") and OCTA (the "Franchise Agreement"); WHEREAS, the Commission submitted a Project Authorization Request to the California Transportation Commission (the "CTC') on January I, 2010, describing transportation improvements relating to the Riverside SR-91 Corridor Improvement Project, including projected costs, the use of toll revenues, and a proposed completion schedule, and requesting authorization to employ the design -build method of procurement it connection with such improvements to reduce costs, expedite completion and achieve design features not achievable through the traditional design -bid -build method (the "CIP Plan"); WHEREAS, on April 7, 2010, the CTC authorized the Commission, pursuant to Chapter 6.5 (commencing with Section 6800) of Part 1 of Division 2 of the Public Contract Code, to employ the design -build method of procurement in connection with the CIP Plan and the proposed construction of the initial phase of the Riverside SR-91 Corridor Improvement Project; WHEREAS, the timeline for project delivery set forth in the CTC application is based on use of the design -build method of procurement and the design -build procurement method is a key component of making the CIP Plan and construction of the initial phase of the Riverside SR-91 Corridor Improvement Project viable by providing for schedule acceleration, innovation, risk transfer, cost certainty and other benefits; WHEREAS, Caltrans and the Commission have negotiated the terms of the Cooperative Agreement for Design -Build of the State Route 91 Toll Facilities and Corridor Improvement Project, by and between the Commission and Caltrans (the "Design -Build Agreement") and the Cooperative Agreement for State Route 91 Express Lanes and Corridor Improvements Between Riverside County Transportation Commission and Orange County Transportation Authority, by and between the Commission and OCTA (the "Cooperative Agreement"), setting forth, among other things, specific procedures and requirements for the Commission's proposed construction of the initial phase of the Riverside SR-91 Corridor Improvement Project as part of the CIP Plan, including a requirement that the Commission construct the Riverside SR-91 Corridor Improvement Project using the design -build method of procurement; OHS West:260935709 4 2 457 " " W H E R E A S , p u r s u a n t t o t h e C o o p e r a t i v e A g r e e m e n t a n d t h e A c t , O C T A w i l l e l i m i n a t e i t s r i g h t s , i n t e r e s t s a n d o b l i g a t i o n s r e l a t i v e t o S R - 9 1 i n R i v e r s i d e C o u n t y e i t h e r b y p a r t i a l a s s i g n m e n t o f t h e F r a n c h i s e A g r e e m e n t o r a m e n d m e n t t h e r e t o ; W H E R E A S , t h e C o m m i s s i o n w i l l s e t , l e v y , a n d c o l l e c t t o l l s , u s e r f e e s a n d s i m i l a r c h a r g e s f o r t h e u s e o f t h e T o l l R o a d p u r s u a n t t o t h e t o l l s c h e d u l e a d o p t e d b y t h e C o m m i s s i o n , a n d t o a p p l y a l l o r a p o r t i o n o f t h e T o l l R e v e n u e s t o t h e f i n a n c i n g o f t h e R i v e r s i d e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t ' s d e s i g n , c o n s t r u c t i o n a n d o p e r a t i o n , i n c l u d i n g r e i m b u r s e m e n t f o r t h e c o s t s o f e n v i r o n m e n t a l a n a l y s i s a n d c o m p l i a n c e i n a c c o r d a n c e w i t h t h e C I P P l a n ; W H E R E A S , t h e C o m m i s s i o n d e t e r m i n e d t h a t i t i s n e c e s s a r y t o i s s u e t h e B o n d s i n o r d e r t o ( i ) f i n a n c e t h e p l a n n i n g , d e s i g n , d e v e l o p m e n t , f i n a n c i n g , c o n s t r u c t i o n , r e c o n s t r u c t i o n , r e h a b i l i t a t i o n , i m p r o v e m e n t , a c q u i s i t i o n , l e a s e , o p e r a t i o n , a n d m a i n t e n a n c e o f t h e R i v e r s i d e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t , ( i i ) a p p l y f o r o r o t h e r w i s e o b t a i n a v a i l a b l e f e d e r a l , s t a t e a n d l o c a l m a t c h i n g f u n d s , l o a n s a n d g r a n t s i n o r d e r t o m a k e a d d i t i o n a l f u n d s a v a i l a b l e f o r t h e R i v e r s i d e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t ; a n d ( i i i ) f i n a n c e t h e c o s t s o f i s s u a n c e i n c u r r e d i n c o n n e c t i o n w i t h t h e i s s u a n c e o f s u c h b o n d s ; W H E R E A S , t h e C o m m i s s i o n h a s d e t e r m i n e d t o e n t e r i n t o t h i s I n d e n t u r e a n d o n e o r m o r e S u p p l e m e n t a l I n d e n t u r e s i n o r d e r t o p r o v i d e f o r t h e a u t h e n t i c a t i o n a n d d e l i v e r y o f s u c h B o n d s , e n t i t l e d " R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n T o l l R e v e n u e B o n d s , " t o e s t a b l i s h a n d d e c l a r e t h e t e r m s a n d c o n d i t i o n s u p o n w h i c h t h e B o n d s a n d o t h e r o b l i g a t i o n s s e c u r e d b y t o l l r e v e n u e s a n d o t h e r s o u r c e s o f f u n d s s h a l l b e i s s u e d a n d s e c u r e d a n d t o s e c u r e t h e p a y m e n t o f t h e p r i n c i p a l , p r e m i u m ( i f a n y ) , a n d i n t e r e s t o n t h e B o n d s a n d o t h e r o b l i g a t i o n s s e c u r e d b y t o l l r e v e n u e s o n a p a r i t y w i t h t h e B o n d s ( a s m o r e f u l l y d e f i n e d i n S e c t i o n 1 . 0 1 , " P a r i t y O b l i g a t i o n s " ) ; W H E R E A S , t h e e x e c u t i o n a n d d e l i v e r y o f t h i s I n d e n t u r e h a s i n a l l r e s p e c t s b e e n d u l y a n d v a l i d l y a u t h o r i z e d b y r e s o l u t i o n d u l y p a s s e d a n d a p p r o v e d b y t h e C o m m i s s i o n ; a n d W H E R E A S , t h e C o m m i s s i o n c e r t i f i e s t h a t a l l a c t s t h a t a r e n e c e s s a r y t o m a k e t h e B o n d s , w h e n e x e c u t e d b y t h e C o m m i s s i o n a n d a u t h e n t i c a t e d a n d d e l i v e r e d b y t h e T r u s t e e , d u l y i s s u e d a n d t h e v a l i d , l e g a l a n d b i n d i n g o b l i g a t i o n s o f t h e C o m m i s s i o n p a y a b l e i n a c c o r d a n c e w i t h t h e i r t e r m s , a n d t o c o n s t i t u t e t h i s I n d e n t u r e a v a l i d a n d b i n d i n g a g r e e m e n t o f t h e p a r t i e s h e r e t o , h a v e b e e n d o n e a n d t a k e n , a n d t h e e x e c u t i o n a n d d e l i v e r y o f t h i s I n d e n t u r e h a v e b e e n d u l y a u t h o r i z e d ; N O W , T H E R E F O R E , T H I S I N D E N T U R E W I T N E S S E T H , i n o r d e r t o s e c u r e t h e p a y m e n t o f a l l B o n d s O u t s t a n d i n g u n d e r t h i s I n d e n t u r e a n d t o s e c u r e t h e p e r f o r m a n c e o f t h e c o v e n a n t s a n d c o n d i t i o n s t h e r e i n a n d h e r e i n s e t f o r t h , a n d t o d e c l a r e t h e t e r m s a n d c o n d i t i o n s u p o n a n d s u b j e c t t o w h i c h t h e B o n d s a r e t o b e i s s u e d , a n d i n c o n s i d e r a t i o n o f t h e p r e m i s e s a n d o f t h e m u t u a l c o v e n a n t s h e r e i n c o n t a i n e d a n d o f t h e p u r c h a s e a n d a c c e p t a n c e o f t h e B o n d s b y t h e o w n e r s t h e r e o f , a n d f o r o t h e r v a l u a b l e c o n s i d e r a t i o n , t h e r e c e i p t o f w h i c h i s h e r e b y a c k n o w l e d g e d , t h e C o m m i s s i o n d o e s h e r e b y c o v e n a n t a n d a g r e e w i t h t h e T r u s t e e , f o r t h e b e n e f i t o f t h e o w n e r s f r o m t i m e t o t i m e o f t h e B o n d s , a s f o l l o w s : O H S W e s t : 2 6 0 9 3 5 7 0 9 . 4 3 4 5 8 ARTICLE I DEFINITIONS Section 1.01 Definitions. In addition to terms elsewhere defined in this Indenture, the following terms shall have the following meanings unless the context or use clearly indicates another meaning. These definitions shall apply to the singular and plural forms of these defined terms. "Act" means Division 12 of the Public Utilities Code of the State of California (Section 130000 et seq.) as amended, including by Chapter 714 of the California Statutes of 2008 (Senate Bill No. 1316), and as such may be amended from time to time hereafter. "Authorized Representative" means the Executive Director of the Commission, any Deputy Executive Director of the Commission, the Chief Financial Officer of the Commission, or any other employee of the Commission at the time designated to act on behalf of the Commission in a Certificate of the Commission executed by any of the foregoing officers and filed with the Trustee, which Certificate shall contain such employee's specimen signature. "Beneficial Owner" means, with respect to any Book -Entry Bond, the beneficial owner of such Bond as determined in accordance with the applicable rules of the Securities Depository for such Book -Entry Bonds. "Board" means the Board of Commissioners of the Commission. "Bond Counsel" means a firm of nationally -recognized attorneys -at -law experienced in legal work relating to the issuance of municipal bonds selected by the Commission. "Bond Fund" means the fund by that name created pursuant to Section 5.02. "Bond Register" means the registration books for the ownership of Bonds maintained by the Trustee pursuant to Section 2.08. "Bondholder" or "Holder" or "Owner" means the record owner of any Bond shown on the books of registration kept by the Trustee, which, during any period when such Bond is a Book -Entry Bond, shall be the Securities Depository or its Nominee. "Bonds" means the bonds or commercial paper identified as the Riverside County Transportation Commission Toll Revenue Bonds authorized by, and at any time Outstanding pursuant to, this Indenture. "Book -Entry Bonds" means Bonds issued under a book -entry only depository system as provided in Section 2.11. "Business Day" means any day, other than a Saturday, Sunday or other day on which banks are authorized or obligated by law or executive order to be closed in the State of OHS West 260935709.4 4 • • • 459 " C a l i f o r n i a o r t h e S t a t e o f N e w Y o r k o r i n a n y c i t y i n w h i c h t h e P r i n c i p a l O f f i c e o f t h e T r u s t e e o r t h e o f f i c e w h e r e d r a w s a r e t o b e m a d e o n a C r e d i t P r o v i d e r i s l o c a t e d . " C a l t r a n s " m e a n s t h e C a l i f o r n i a D e p a r t m e n t o f T r a n s p o r t a t i o n . " C e r t i f i c a t e o f t h e C o m m i s s i o n " m e a n s a n i n s t r u m e n t i n w r i t i n g s i g n e d b y a n A u t h o r i z e d R e p r e s e n t a t i v e o f t h e C o m m i s s i o n . " C I P P l a n " m e a n s t h e t r a n s p o r t a t i o n i m p r o v e m e n t s r e l a t i n g t o t h e R i v e r s i d e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t , i n c l u d i n g p r o j e c t e d c o s t s , t h e u s e o f t o l l r e v e n u e s , a n d a p r o p o s e d c o m p l e t i o n s c h e d u l e , a n d t h e u s e o f t h e d e s i g n - b u i l d m e t h o d o f p r o c u r e m e n t i n c o n n e c t i o n w i t h s u c h i m p r o v e m e n t s t o r e d u c e c o s t s , e x p e d i t e c o m p l e t i o n a n d a c h i e v e d e s i g n f e a t u r e s n o t a c h i e v a b l e t h r o u g h t h e t r a d i t i o n a l d e s i g n - b i d - b u i l d m e t h o d , a s d e s c r i b e d i n t h e P r o j e c t A u t h o r i z a t i o n R e q u e s t t h e C o m m i s s i o n s u b m i t t e d t o t h e C T C o n J a n u a r y 1 , 2 0 1 0 ; " C o d e " m e a n s t h e I n t e r n a l R e v e n u e C o d e o f 1 9 8 6 , a s a m e n d e d f r o m t i m e t o t i m e , a n d a n y r e g u l a t i o n s p r o m u l g a t e d t h e r e u n d e r . " C o m m e r c i a l P a p e r P r o g r a m " m e a n s a p r o g r a m o f s h o r t - t e r m B o n d s h a v i n g t h e c h a r a c t e r i s t i c s o f c o m m e r c i a l p a p e r i n t h a t ( i ) s u c h B o n d s h a v e a s t a t e d m a t u r i t y n o t l a t e r t h a n 2 7 0 d a y s f r o m t h e i r d a t e o f i s s u e a n d ( i i ) m a t u r i n g B o n d s o f s u c h p r o g r a m m a y b e p a i d w i t h t h e p r o c e e d s o f r e n e w a l B o n d s . " C o m m i s s i o n " m e a n s t h e R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n , a p u b l i c e n t i t y d u l y e s t a b l i s h e d a n d e x i s t i n g p u r s u a n t t o t h e A c t , a n d a n y s u c c e s s o r t h e r e t o . " C o n t i n u i n g D i s c l o s u r e A g r e e m e n t " m e a n s , w i t h r e s p e c t t o e a c h S e r i e s o f B o n d s r e q u i r i n g a n u n d e r t a k i n g r e g a r d i n g d i s c l o s u r e u n d e r R u l e 1 5 c 2 - I 2 , t h e C o n t i n u i n g D i s c l o s u r e A g r e e m e n t , e n t e r e d i n t o b y t h e C o m m i s s i o n , t h e T r u s t e e a n d t h e D i s s e m i n a t i o n A g e n t , a s t h e s a m e m a y b e s u p p l e m e n t e d , m o d i f i e d o r a m e n d e d i n a c c o r d a n c e w i t h i t s t e r m s . " C o o p e r a t i v e A g r e e m e n t " m e a n s t h a t c e r t a i n C o o p e r a t i v e A g r e e m e n t f o r S t a t e R o u t e 9 1 E x p r e s s L a n e s a n d C o r r i d o r I m p r o v e m e n t s B e t w e e n R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n a n d O r a n g e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n , d a t e d a s o f , 2 0 1 _ , b y a n d b e t w e e n t h e C o m m i s s i o n a n d O C T A , s e t t i n g f o r t h , a m o n g o t h e r t h i n g s , t h e m a n n e r i n w h i c h t h e i n i t i a l p h a s e o f t h e R i v e r s i d e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t w i l l b e c o n s t r u c t e d i n a c c o r d a n c e w i t h t h e C I P P l a n u s i n g t h e d e s i g n - b u i l d m e t h o d o f p r o c u r e m e n t a s a u t h o r i z e d b y t h e C T C . " C o s t s o f I s s u a n c e " m e a n s a l l i t e m s o f e x p e n s e d i r e c t l y o r i n d i r e c t l y p a y a b l e b y o r r e i m b u r s a b l e t o t h e C o m m i s s i o n a n d r e l a t e d t o t h e a u t h o r i z a t i o n , e x e c u t i o n , s a l e a n d d e l i v e r y o f B o n d s , i n c l u d i n g , b u t n o t l i m i t e d t o , a d v e r t i s i n g a n d p r i n t i n g c o s t s , c o s t s o f p r e p a r a t i o n a n d r e p r o d u c t i o n o f d o c u m e n t s , f i l i n g a n d r e c o r d i n g f e e s , i n i t i a l f e e s a n d c h a r g e s o f t h e T r u s t e e , l e g a l f e e s a n d c h a r g e s , f e e s a n d d i s b u r s e m e n t s o f c o n s u l t a n t s a n d p r o f e s s i o n a l s , f i n a n c i a l a d v i s o r f e e s a n d e x p e n s e s , u n d e r w r i t i n g f e e s a n d d i s c o u n t s , r a t i n g a g e n c y f e e s , f e e s a n d c h a r g e s f o r p r e p a r a t i o n , e x e c u t i o n , t r a n s p o r t a t i o n a n d s a f e k e e p i n g o f B o n d s , s u r e t y , i n s u r a n c e , l i q u i d i t y a n d c r e d i t e n h a n c e m e n t s c o s t s , a n d a n y o t h e r c o s t , c h a r g e o r f e e i n c u r r e d i n c o n n e c t i o n w i t h t h e i s s u a n c e o f B o n d s . O H S W e s t 2 6 0 9 3 5 7 0 9 . 4 5 4 6 0 "Coverage Calculation Date" has the meaning assigned in Section 6.03(b). "Coverage Ratio" has the meaning assigned in Section 6.03(b). "Credit Provider" means any municipal bond insurance company, bank or other financial institution or organization or group of financial institutions or organizations providing a Credit Support Instrument for a Series of Bonds. "Credit Support Instrument" means a policy of insurance, letter of credit, line of credit, standby purchase agreement, revolving credit agreement or other credit arrangement pursuant to which a Credit Provider provides credit or liquidity support with respect to, or available for, the payment of interest, principal or Purchase Price of any Series of Bonds, as the same may be amended from time to time pursuant to its terms, and any replacement therefor. "CTC" means the California Transportation Commission. "CUSIP" means the Committee on Uniform Securities Identification Procedures of the American Bankers Association, or any successor to its functions. "Debt Service" for any Fiscal Year means the aggregate amount of payments due on Bonds and Parity Obligations for that Fiscal Year, as calculated by the Commission, utilizing the assumptions about payments on Bonds and Parity Obligations listed in the definition of Maximum Annual Debt Service. "Defeasance Securities" means: (i) U.S. Treasury Certificates, Notes and Bonds, including State and Local Government Series securities; (ii) direct obligations of the U.S. Treasury which have been stripped by the U.S. Treasury itself; (iii) Resolution Funding Corp. securities ("REFCORP"), provided, however, only the interest component of REFCORP'strips which have been stripped by request to the Federal Reserve Bank of New. York in book entry form are acceptable; (iv) pre -refunded municipal bonds rated "Aaa" by Moody's and "AAA" by Standard & Poor's, provided, however, that if such municipal bonds are rated only by Standard & Poor's, then such pre -refunded municipal bonds must have been pre -refunded with cash, direct United States or United States guaranteed obligations, or "AAA" rated pre -refunded municipal bonds; (v) obligations issued by the following agencies, which are backed by the full faith and credit of the United States: (a) Farmers Home Administration (FmHA) - certificates of beneficial ownership; (b) General Services Administration - participation certificates; (c) U.S. Maritime Administration - Guaranteed Title XI financing; (d) Small Business Administration guaranteed participation certificates and guaranteed pool certificates; (e) GNMA guaranteed MSB and participation certificates; and (f) U.S. Department of Housing and Urban Development (HUD) Local Authority Bonds, or (vi) certain obligations of government -sponsored agencies that are not backed by the full faith and credit of the United States limited to: (a) Federal Home Loan Mortgage Corp. (FHLMC) debt obligations; (b) Farm Credit System (formerly Federal Land Banks, Federal Intermediate Credit Banks, and Banks for Cooperatives) consolidated system- wide bonds and notes; (c) Federal Home Loan Banks (FHL Banks) consolidated debt obligations; (d) Federal National Mortgage Association (FNMA) debt obligations; (e) Student Loan Marketing Association (SLMA) debt obligations; and (f) Financing Corp. (FICO) debt OHS West.260935709.4 6 461 " " " o b l i g a t i o n s ; a n d ( g ) o t h e r o b l i g a t i o n s a p p r o v e d b y t h e R a t i n g A g e n c i e s f o r d e f e a s a n c e e s c r o w s r a t e d i n t h e h i g h e s t R a t i n g C a t e g o r y . " D e s i g n - B u i l d A g r e e m e n t " m e a n s t h a t c e r t a i n D e s i g n - B u i l d C o n s t r u c t i o n . C o o p e r a t i v e A g r e e m e n t , d a t e d a s o f 2 0 1 _ , b y a n d b e t w e e n t h e C o m m i s s i o n a n d C a l t r a n s , s e t t i n g f o r t h , a m o n g o t h e r t h i n g s , t h e m a n n e r i n w h i c h t h e i n i t i a l p h a s e o f t h e R i v e r s i d e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t w i l l b e c o n s t r u c t e d i n a c c o r d a n c e w i t h t h e C I P P l a n u s i n g t h e d e s i g n - b u i l d m e t h o d o f p r o c u r e m e n t a s a u t h o r i z e d b y t h e C T C . " D i s s e m i n a t i o n A g e n t " m e a n s , w i t h r e s p e c t t o e a c h S e r i e s o f B o n d s r e q u i r i n g a n u n d e r t a k i n g r e g a r d i n g d i s c l o s u r e u n d e r R u l e 1 5 c 2 - 1 2 , t h e p a r t y a c t i n g a s d i s s e m i n a t i o n a g e n t u n d e r t h e C o n t i n u i n g D i s c l o s u r e A g r e e m e n t d e l i v e r e d i n c o n n e c t i o n w i t h s u c h S e r i e s o f B o n d s , o r a n y s u c c e s s o r d i s s e m i n a t i o n a g e n t d e s i g n a t e d i n w r i t i n g b y t h e C o m m i s s i o n a n d w h i c h h a s f i l e d a w r i t t e n a c c e p t a n c e w i t h t h e C o m m i s s i o n a n d t h e T r u s t e e . " D T C " m e a n s T h e D e p o s i t o r y T r u s t C o m p a n y , N e w Y o r k , N e w Y o r k o r a n y s u c c e s s o r t h e r e t o . " E l e c t r o n i c " m e a n s , w i t h r e s p e c t t o n o t i c e , n o t i c e t h r o u g h t h e i n t e r n e t o r t h r o u g h a t i m e - s h a r i n g t e r m i n a l . " E v e n t o f D e f a u l t " m e a n s a n y o f t h e e v e n t s s p e c i f i e d i n S e c t i o n 7 . 0 1 . " F i s c a l Y e a r " m e a n s t h e p e r i o d o f t w e l v e m o n t h s t e r m i n a t i n g o n J u n e 3 0 o f e a c h y e a r , o r a n y o t h e r a n n u a l p e r i o d h e r e a f t e r s e l e c t e d a n d d e s i g n a t e d b y t h e C o m m i s s i o n a s i t s F i s c a l Y e a r i n a c c o r d a n c e w i t h a p p l i c a b l e l a w . " F i t c h " m e a n s F i t c h I n c . , a n d i t s s u c c e s s o r s a n d a s s i g n s , e x c e p t t h a t i f s u c h c o r p o r a t i o n s h a l l b e d i s s o l v e d o r l i q u i d a t e d o r s h a l l n o l o n g e r p e r f o r m t h e f u n c t i o n s o f a s e c u r i t i e s r a t i n g a g e n c y , t h e n t h e t e r m " F i t c h " s h a l l b e d e e m e d t o r e f e r t o a n y o t h e r n a t i o n a l l y r e c o g n i z e d s e c u r i t i e s r a t i n g a g e n c y s e l e c t e d b y t h e C o m m i s s i o n . " F r a n c h i s e A g r e e m e n t " m e a n s t h e A m e n d e d a n d R e s t a t e d D e v e l o p m e n t F r a n c h i s e A g r e e m e n t , d a t e d a s o f J u n e 3 0 , 1 9 9 3 , a s a m e n d e d a n d s u p p l e m e n t e d b y A m e n d m e n t 1 , d a t e d a s o f J u l y 1 6 , 1 9 9 3 , A m e n d m e n t 2 , d a t e d D e c e m b e r 3 0 , 2 0 0 2 , e a c h b y a n d b e t w e e n C a l t r a n s a n d O C T A , a s s u c c e s s o r i n i n t e r e s t t o t h e C a l i f o r n i a P r i v a t e T r a n s p o r t a t i o n C o m p a n y , a s i t h a s b e e n f u r t h e r a m e n d e d a n d s u p p l e m e n t e d b y t h e C o o p e r a t i v e A g r e e m e n t f o r R i v e r s i d e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o g r a m , b y a n d b e t w e e n t h e C o m m i s s i o n a n d O C T A , a s s u c h a g r e e m e n t m a y b e a m e n d e d , m o d i f i e d a n d s u p p l e m e n t e d f r o m t i m e t o t i m e p u r s u a n t t o i t s t e r m s . " I n d e n t u r e " m e a n s t h i s M a s t e r I n d e n t u r e a s t h e s a m e m a y b e a n i e n d e d o r s u p p l e m e n t e d f r o m t i m e t o t i m e a s p e r m i t t e d h e r e b y . " I n d e p e n d e n t C e r t i f i e d P u b l i c A c c o u n t a n t " m e a n s a n y c e r t i f i e d p u b l i c a c c o u n t a n t o r f i r m o f s u c h a c c o u n t a n t s a p p o i n t e d b y t h e C o m m i s s i o n , a n d w h o , o r e a c h o f w h o m , i s i n d e p e n d e n t w i t h r e s p e c t t o t h e C o m m i s s i o n , p u r s u a n t t o t h e S t a t e m e n t o n A u d i t i n g S t a n d a r d s N o . 1 o f t h e A m e r i c a n I n s t i t u t e o f C e r t i f i e d P u b l i c A c c o u n t a n t s . O H S W e s t 2 6 0 9 3 5 7 0 9 . 4 7 4 6 2 "Interest Account" means the account by that name created pursuant to Section 5.02. "Maximum Annual Debt Service" means the highest amount of payments due on Bonds and Parity Obligations for any Fiscal Year during the period from the date of such determination through the final maturity date of the Bonds and Parity Obligations then Outstanding and proposed to be issued, as calculated by the Commission, utilizing the following assumptions about payments on Bonds and Parity Obligations (and if more than one of the following assumptions could apply to any such payment, the Commission shall select the assumption to be applied): (i) in determining the principal amount of a Bond or Parity Obligation due in each year, payment shall be assumed to be made in accordance with the amortization schedule established for such principal, including any minimum sinking fund or account payments; (ii) if 20 percent or more of the principal of a Series of Bonds or Parity Obligations is not due until the final stated maturity of that Series of Bonds or Parity Obligations, principal and interest may be treated as if such principal and interest were due based upon a level amortization of such principal and interest over the term of that Series of Bonds or Parity Obligations; (iii) if the Bond or Parity Obligation is supported by a line of credit or a letter of credit, principal may be treated as if it were due based upon the level amortization of such principal over the maximum term of repayment of borrowings under such line of credit or letter of credit; (iv) if an Outstanding Bond or Parity Obligation bears a variable interest rate, the interest rate shall be assumed to be the greater of (a) the daily average interest rate during the 12 months ending with the month preceding the date of calculation, or such shorter period that the Bond or Parity Obligation has been Outstanding, or (b) the rate of interest on that Bond or Parity Obligation on the date of calculation; (v) if Bonds or Parity Obligations proposed to be issued will be variable interest rate obligations, the interest on which is excluded from gross income for federal income tax purposes, then such obligations shall be assumed to bear interest at an interest rate equal to the average SIFMA Index during the three months preceding the month of calculation, or if SIFMA Index is no longer published, at an interest rate equal to 75% of the average One Month USD LIBOR Rate during that three month period, or if the One Month USD LIBOR Rate is not available for such period, another similar rate or index selected by the Commission; (vi) if Bonds or Parity Obligations proposed to be issued will be variable interest rate obligations the interest on which is included in gross income for federal income tax purposes, then such obligations shall be assumed to bear interest at an interest rate equal to the average One Month USD LIBOR Rate during the three months preceding the month of calculation, or if the One Month USD LIBOR Rate is not available for such period, another similar rate or index selected by the Commission; OHS West:260935709.4 $ 463 " " ( v i i ) i f B o n d s p r o p o s e d t o b e i s s u e d a r e p a r t o f a C o m m e r c i a l P a p e r P r o g r a m , t h e p r i n c i p a l o f s u c h B o n d s m a y b e t r e a t e d a s i f s u c h p r i n c i p a l w e r e d u e b a s e d u p o n a 3 0 - y e a r l e v e l a m o r t i z a t i o n o f p r i n c i p a l f r o m t h e d a t e o f c a l c u l a t i o n a n d t h e i n t e r e s t o n s u c h B o n d s s h a l l b e c a l c u l a t e d a s i f s u c h B o n d s w e r e v a r i a b l e i n t e r e s t r a t e B o n d s ; ( v i i i ) i f t h e v a r i a b l e i n t e r e s t o n a n y B o n d o r P a r i t y O b l i g a t i o n p l u s t h e v a r i a b l e p a y m e n t s d u e t o t h e C o m m i s s i o n a n d f i x e d p a y m e n t s d u e f r o m t h e C o m m i s s i o n u n d e r a Q u a l i f i e d S w a p A g r e e m e n t o r a S w a p d e s i g n a t e d b y t h e C o m m i s s i o n a r e t r e a t e d b y t h e C o m m i s s i o n a s s y n t h e t i c f i x e d r a t e d e b t , t h e v a r i a b l e i n t e r e s t r a t e B o n d o r P a r i t y O b l i g a t i o n m a y b e t r e a t e d a s b e a r i n g s u c h s y n t h e t i c f i x e d r a t e f o r t h e d u r a t i o n o f t h e s y n t h e t i c f i x e d r a t e ; ( i x ) i f t h e f i x e d i n t e r e s t o n a n y B o n d o r P a r i t y O b l i g a t i o n p l u s t h e f i x e d p a y m e n t s d u e t o t h e C o m m i s s i o n a n d v a r i a b l e p a y m e n t s d u e f r o m t h e C o m m i s s i o n u n d e r a Q u a l i f i e d S w a p A g r e e m e n t o r a S w a p d e s i g n a t e d b y t h e C o m m i s s i o n a r e t r e a t e d b y t h e C o m m i s s i o n a s s y n t h e t i c v a r i a b l e r a t e d e b t , t h e f i x e d i n t e r e s t r a t e B o n d o r P a r i t y O b l i g a t i o n m a y b e t r e a t e d a s b e a r i n g s u c h s y n t h e t i c v a r i a b l e r a t e f o r t h e d u r a t i o n o f t h e s y n t h e t i c v a r i a b l e r a t e a n d s u c h s y n t h e t i c v a r i a b l e r a t e s h a l l b e c a l c u l a t e d u s i n g t h e p r i n c i p l e s o f c l a u s e s ( i v ) , ( v ) o r ( v i ) h e r e o f ; ( x ) i f a n y o f t h e B o n d s o r P a r i t y O b l i g a t i o n s a r e S h o r t - T e r m P u t B o n d s , t h e p r i n c i p a l o f s u c h o b l i g a t i o n s m a y b e t r e a t e d a s i f s u c h p r i n c i p a l w e r e d u e b a s e d u p o n a 3 0 - y e a r l e v e l a m o r t i z a t i o n o f p r i n c i p a l f r o m t h e d a t e o f c a l c u l a t i o n a n d t h e i n t e r e s t o n s u c h o b l i g a t i o n s m a y b e c a l c u l a t e d a s i f s u c h o b l i g a t i o n s w e r e v a r i a b l e i n t e r e s t r a t e B o n d s ; ( x i ) p r i n c i p a l a n d i n t e r e s t p a y m e n t s o n B o n d s a n d P a r i t y O b l i g a t i o n s m a y b e e x c l u d e d t o t h e e x t e n t s u c h p a y m e n t s a r e t o b e p a i d f r o m a m o u n t s t h e n c u r r e n t l y o n d e p o s i t w i t h t h e T r u s t e e o r a n o t h e r f i d u c i a r y i n e s c r o w s p e c i f i c a l l y t h e r e f o r a n d i n t e r e s t p a y m e n t s o n a n y B o n d s a n d P a r i t y O b l i g a t i o n s m a y b e e x c l u d e d t o t h e e x t e n t t h a t s u c h i n t e r e s t p a y m e n t s a r e t o b e p a i d f r o m c a p i t a l i z e d i n t e r e s t h e l d b y t h e T r u s t e e o r a n o t h e r f i d u c i a r y s p e c i f i c a l l y t o p a y s u c h i n t e r e s t ; ( x i i ) i f a n y o f t h e B o n d s o r P a r i t y O b l i g a t i o n s a r e , o r u p o n i s s u a n c e w i l l b e , o b l i g a t i o n s f o r w h i c h t h e C o m m i s s i o n i s e n t i t l e d t o r e c e i v e S u b s i d y P a y m e n t s , a s e v i d e n c e d b y a n O p i n i o n o f B o n d C o u n s e l d e l i v e r e d a t t h e t i m e o f i s s u a n c e o f s u c h B o n d s o r P a r i t y O b l i g a t i o n s , t h e o b l i g a t i o n s m a y b e t r e a t e d a s b e a r i n g a n i n t e r e s t r a t e e q u a l t o t h e r a t e o f i n t e r e s t b o r n e o r a s s u m e d t o b e b o r n e , a s a p p l i c a b l e , b y t h e o b l i g a t i o n s f o r t h e p e r i o d o f d e t e r m i n a t i o n m i n u s t h e S u b s i d y P a y m e n t s t o w h i c h t h e C o m m i s s i o n i s e n t i t l e d f o r s u c h p e r i o d ; ( x i i i ) A n y p a y m e n t o b l i g a t i o n u n d e r a B o n d o r P a r i t y O b l i g a t i o n t h a t w a s o r i s o p t i o n a l o r c o n t i n g e n t ( s u c h a s t h e o b l i g a t i o n t o m a k e a t e r m i n a t i o n p a y m e n t u n d e r a Q u a l i f i e d S w a p A g r e e m e n t o r a S w a p ) , w h e t h e r o r n o t t h e o p t i o n i s e x e r c i s e d o r t h e c o n t i n g e n c y o c c u r s , a n d a n y p a y m e n t s t h a t a r e n o t s c h e d u l e d p a y m e n t s , m a y b e e x c l u d e d ; ( x i v ) i f a n y o f t h e B o n d s o r P a r i t y O b l i g a t i o n s a r e , o r u p o n i s s u a n c e w i l l b e , o b l i g a t i o n s p a y a b l e i n a c u r r e n c y o t h e r t h a n l a w f u l c u r r e n c y o f t h e U n i t e d S t a t e s o f A m e r i c a , t h e n s u c h o b l i g a t i o n s s h a l l b e a s s u m e d t o b e p a y a b l e i n l a w f u l c u r r e n c y o f t h e U n i t e d S t a t e s a t t h e r a t e p a y a b l e b y t h e C o m m i s s i o n p u r s u a n t t o t h e C o m m i s s i o n ' s r e l a t e d c u r r e n c y s w a p o r O H S W e s c 2 6 0 9 3 5 7 0 9 . 4 9 4 6 4 contract entered into in connection with such obligations or, in the absence of such swap or contract, at the rate determined by the Commission using a currency market conversion factor selected by the Commission. "Moody's" means Moody's Investors Service, and its successors and assigns, except that if such corporation shall be dissolved or liquidated or shall no longer perform the functions of a securities rating agency, the term "Moody's" shall be deemed to refer to any other nationally recognized statistical rating organization selected by the Commission. "MSRB" means the Municipal Securities Rulemaking Board, and its successors and assigns. Until otherwise designated by the MSRB, filings with the MSRB are to be made through the Electronic Municipal Market Access (EMMA) website of the MSRB located at http://emma.msrb.org. "Net Revenue" means, for any Fiscal Year, Revenue less Operation and Maintenance Expenses for that Fiscal Year, as set forth in the audited financial statements of the Commission for Fiscal Years for which audited financial statements are available or as projected by the Commission for Fiscal Years for which audited financial statements are not yet available. Net Revenue shall not include any amount on deposit in the Reserve Fund or any Subsidy Payments. "Nominee" means the nominee of the Securities Depository for the Book -Entry Bonds in whose name such Bonds are to be registered. The initial Nominee shall be Cede & Co., as the nominee of DTC. "OCTA" means the Orange County Transportation Authority, a public agency duly formed and existing under the laws of the State of California, and any successor thereto. "One Month USD LIBOR Rate" means the British Banker's Association average of interbank offered rates in the London market for Dollar deposits for a one month period. • "Operating Agreement" means the SR-91 Express Lanes Operating Agreement dated , 201, by and among the Commission, OCTA and the Toll Operator, as amended, modified, supplemented in accordance with the terms of this Indenture and any applicable Credit Support Instrument, subject to the terms of Section 11.03(b) hereof, or any other operating agreement entered into by the Commission and one or more entities in accordance with the terms of such documents. "Operation and Maintenance Expenses" means all expenses of the Commission for the operation and maintenance of the Toll Road payable from Revenue, determined in accordance with generally accepted accounting principles, including, without (imitation, payments with respect to financing leases and installment purchase agreements, all amounts paid under the Operating Agreement, the Police Services Agreement and similar agreements, but excluding any extraordinary or one-time expenses, expenses paid from proceeds of Bonds or Parity Obligations, capital expenditures, expenditures for rehabilitation and operational improvement projects on the Toll Road, depreciation or obsolescence charges or reserves therefore, credit, liquidity or remarketing fees relating to Bonds or Parity Obligations, and amortization of intangibles or other bookkeeping entries of a similar nature. OHS West:260935709.4 10 • 465 "Opinion of Bond Counsel" means a written opinion of Bond Counsel. "Ordinance" means Ordinance No. 02-001, named the "Transportation Expenditure Plan and Retail Transaction and Use Tax Ordinance," adopted by the Commission on May 8, 2002, pursuant to the provisions of the Sales Tax Act. "Outstanding," when used with reference to Bonds and Parity Obligations means all Bonds and Parity Obligations that have been issued by the Commission, except Bonds and Parity Obligations: (i) canceled or delivered for cancellation; (ii) deemed to be paid in accordance with Section 10.02 or any similar provisions in the constituent instruments defining the rights of the holders of Parity Obligations; (iii) in lieu of which other Bonds or Parity Obligations have been authenticated under Sections 2.07 or 2.08 or any similar provisions in the constituent instruments defining the rights of the holders of Parity Obligations; and (iv) held by or for the account of the Commission. "Parity Obligations" means obligations of the Commission that are payable from Revenue on a parity with the payment of principal of and interest on Bonds, including payments to the holders of obligations of the Commission entered into pursuant to California Government Code section 5922 (or any similar statute), in each case to the extent the Commission has contracted to make those payments as Parity Obligations. "Participating Underwriter" means any of the original underwriters of any Series of Bonds required to comply with Rule 15c2-12. "Permitted Investments" means the following: (i) any bonds or other obligations which as to principal and interest constitute direct obligations of, or are unconditionally guaranteed by, the United States of America, including obligations of any of the federal agencies and federally sponsored entities set forth in clause (iii) below to the extent unconditionally guaranteed by the United States of America; (ii) any certificates, receipts, securities or other obligations evidencing ownership of, or the right to receive, a specified portion of one or more interest payments or principal payments, or any combination thereof, to be made on any bond, note, or other obligation described above in clause (i); (iii) obligations of the Federal National Mortgage Association, the Government National Mortgage Association, Federal Home Loan Banks, Farmers Home Administration and Federal Home Loan Mortgage Corporation; (iv) housing authority bonds issued by public agencies or municipalities and fully secured as to the payment of both principal and interest by a pledge of annual contributions under an annual contributions contract or contracts with the United States of America; or project notes issued by public agencies or municipalities and fully secured as to the payment of both principal and interest by a requisition or payment agreement with the United States of America; (v) obligations of any state, territory or commonwealth of the United States of America or any political subdivision thereof or any agency or department of the foregoing; 011S Wes1460935709.4 11 466 provided that at the time of their purchase such obligations are rated in either of the two highest long-term or highest short -tern Rating Categories by both Moody's and Standard & Poor's; (vi) any bonds or other obligations of any state of the United States of America or any political subdivision thereof (a) which are not callable prior to maturity or as to which irrevocable instructions have been given to the trustee of such bonds or other obligations by the obligor to give due notice of redemption and to call such bonds for redemption on the date or dates specified in such instructions, (b) which are secured as to principal and interest and redemption premium, if any, by a fund consisting only of cash or bonds or other obligations of the character described above in clause (i) or (ii) which fund may be applied only to the payment of such principal of and interest and redemption premium, if any, on such bonds or other obligations on the interest payment dates and the maturity date or dates thereof or the specified redemption date or dates pursuant to such irrevocable instructions, as appropriate, (c) as to which the principal of and interest on the bonds and obligations of the character described above in clause (i) or (ii) which have been deposited in such fund along with any cash on deposit in such fund are sufficient to pay the principal of and interest and redemption premium, if any, on the bonds or other obligations described in this clause (vi) on the interest payment dates and the maturity date or dates thereof or on the redemption date or dates specified in the irrevocable instructions referred to in subclause (a) of this clause (vi), as appropriate, and (d) which have been rated in one of the two highest long-term Rating Categories by Moody's and Standard & Poor's; (vii) bonds, notes, debentures or other evidences of indebtedness issued or guaranteed by any corporation which are, at the time of purchase, rated by both Moody's and Standard & Poor's in their respective highest short-term Rating Categories, or, if the term of such indebtedness is longer than three (3) years, rated by both Moody's and Standard & Poor's in one of their respective two highest long-term Rating Categories, for comparable types of debt obligations; (viii) demand or time deposits or certificates of deposit, whether negotiable or nonnegotiable, issued by any bank or trust company organized under the laws of any state of the United States of America or any national banking association (including the Trustee), provided that such certificates of deposit shall be purchased directly from such a bank, trust company or national banking association and shall be either (a) continuously and fully insured by the Federal Deposit Insurance Corporation, (b) continuously and fully secured by such securities and obligations as are described above in clauses (i) through (v), inclusive, which shall have a market value (exclusive of accrued interest) at all times at least equal to the principal amount of such certificates of deposit and shall be lodged with the Trustee, as custodian, by the bank, trust company or national banking association issuing such certificates of deposit, and the bank, trust company or national banking association issuing each such certificate of deposit required tobe so secured shall furnish the Trustee with an undertaking satisfactory to it that the aggregate market value of all such obligations securing each such certificate of deposit will at all times be an amount equal to the principal amount of each such certificate of deposit and the Trustee shall be entitled to rely on each such undertaking, or (c) be issued by an institution the senior debt obligations of which are rated "AA" or higher by Standard & Poor's; OHS Wese260935709.4 12 • • 467 " ( i x ) t a x a b l e c o m m e r c i a l p a p e r , o t h e r t h a n t h a t i s s u e d b y b a n k h o l d i n g c o m p a n i e s , o r t a x - e x e m p t c o m m e r c i a l p a p e r r a t e d i n t h e h i g h e s t R a t i n g C a t e g o r y b y b o t h M o o d y ' s a n d S t a n d a r d & P o o r ' s ; ( x ) v a r i a b l e r a t e o b l i g a t i o n s r e q u i r e d t o b e r e d e e m e d o r p u r c h a s e d b y t h e o b l i g o r o r i t s a g e n t o r d e s i g n e e u p o n d e m a n d o f t h e h o l d e r t h e r e o f s e c u r e d a s t o s u c h r e d e m p t i o n o r p u r c h a s e r e q u i r e m e n t b y a l i q u i d i t y a g r e e m e n t w i t h a c o r p o r a t i o n a n d a s t o t h e p a y m e n t o f i n t e r e s t a n d p r i n c i p a l e i t h e r u p o n m a t u r i t y o r r e d e m p t i o n ( o t h e r t h a n u p o n d e m a n d b y t h e h o l d e r t h e r e o f ) t h e r e o f b y a n u n c o n d i t i o n a l c r e d i t f a c i l i t y o f a c o r p o r a t i o n , p r o v i d e d t h a t t h e v a r i a b l e r a t e o b l i g a t i o n s t h e m s e l v e s a r e r a t e d i n t h e h i g h e s t R a t i n g C a t e g o r y f o r i t s s h o r t - t e r m r a t i n g , i f a n y , a n d i n e i t h e r o f t h e t w o h i g h e s t R a t i n g C a t e g o r i e s f o r i t s l o n g - t e r m r a t i n g , i f a n y , b y b o t h M o o d y ' s a n d S t a n d a r d & P o o r ' s , a n d t h a t t h e c o r p o r a t i o n s p r o v i d i n g t h e l i q u i d i t y a g r e e m e n t a n d c r e d i t f a c i l i t y h a v e , a t t h e d a t e o f a c q u i s i t i o n o f t h e v a r i a b l e r a t e o b l i g a t i o n b y t h e T r u s t e e , a n o u t s t a n d i n g i s s u e o f u n s e c u r e d , u n i n s u r e d a n d u n g u a r a n t e e d d e b t o b l i g a t i o n s r a t e d i n e i t h e r o f t h e t w o h i g h e s t l o n g - t e r m R a t i n g C a t e g o r i e s b y b o t h M o o d y ' s a n d S t a n d a r d & P o o r ' s ; ( x i ) a n y r e p u r c h a s e a g r e e m e n t w i t h a n y b a n k o r t r u s t c o m p a n y o r g a n i z e d u n d e r t h e l a w s o f a n y s t a t e o f t h e U n i t e d S t a t e s o r a n y n a t i o n a l b a n k i n g a s s o c i a t i o n ( i n c l u d i n g t h e T r u s t e e ) h a v i n g a m i n i m u m p e r m a n e n t c a p i t a l o f o n e h u n d r e d m i l l i o n d o l l a r s ( $ 1 0 0 , 0 0 0 , 0 0 0 ) o r g o v e r n m e n t b o n d d e a l e r r e p o r t i n g t o , t r a d i n g w i t h , a n d r e c o g n i z e d a s a p r i m a r y d e a l e r b y t h e F e d e r a l R e s e r v e B a n k o f N e w Y o r k , w h i c h a g r e e m e n t i s s e c u r e d b y a n y o n e o r m o r e o f t h e s e c u r i t i e s a n d o b l i g a t i o n s d e s c r i b e d i n c l a u s e s ( i ) , ( i i ) , ( i i i ) o r ( i v ) a b o v e , w h i c h s h a l l h a v e a m a r k e t v a l u e ( e x c l u s i v e o f a c c r u e d i n t e r e s t a n d v a l u e d a t l e a s t m o n t h l y ) a t l e a s t e q u a l t o 1 0 3 % o f t h e p r i n c i p a l a m o u n t o f s u c h i n v e s t m e n t a n d s h a l l b e l o d g e d w i t h t h e T r u s t e e o r o t h e r f i d u c i a r y , a s c u s t o d i a n f o r t h e T r u s t e e , b y t h e b a n k , t r u s t c o m p a n y , n a t i o n a l b a n k i n g a s s o c i a t i o n o r b o n d d e a l e r e x e c u t i n g s u c h r e p u r c h a s e a g r e e m e n t , a n d t h e e n t i t y e x e c u t i n g e a c h s u c h r e p u r c h a s e a g r e e m e n t r e q u i r e d t o b e s o s e c u r e d s h a l l f u r n i s h t h e T r u s t e e w i t h a n u n d e r t a k i n g s a t i s f a c t o r y t o i t t h a t t h e a g g r e g a t e m a r k e t v a l u e o f a l l s u c h o b l i g a t i o n s s e c u r i n g e a c h s u c h r e p u r c h a s e a g r e e m e n t ( a s v a l u e d a t l e a s t m o n t h l y ) w i l l b e a n a m o u n t e q u a l t o 1 0 3 % o f t h e p r i n c i p a l a m o u n t o f e a c h s u c h r e p u r c h a s e a g r e e m e n t a n d t h e T r u s t e e s h a l l b e e n t i t l e d t o r e l y o n e a c h s u c h u n d e r t a k i n g ; ( x i i ) a n y c a s h s w e e p o r s i m i l a r a c c o u n t a r r a n g e m e n t o f o r a v a i l a b l e t o t h e T r u s t e e , t h e i n v e s t m e n t s o f w h i c h a r e l i m i t e d t o i n v e s t m e n t s d e s c r i b e d i n c l a u s e s ( i ) , ( i i ) , ( i i i ) , ( i v ) , ( v ) a n d ( x i ) o f t h i s d e f i n i t i o n o f I n v e s t m e n t S e c u r i t i e s a n d a n y m o n e y m a r k e t f u n d , t h e e n t i r e i n v e s t m e n t s o f w h i c h a r e l i m i t e d t o i n v e s t m e n t s d e s c r i b e d i n c l a u s e s ( i ) , ( i i ) , ( i i i ) , ( i v ) , ( v ) a n d ( x i ) o f t h i s d e f i n i t i o n o f I n v e s t m e n t S e c u r i t i e s ; p r o v i d e d t h a t a s u s e d i n t h i s c l a u s e ( x i i ) a n d c l a u s e ( x i i i ) i n v e s t m e n t s w i l l b e d e e m e d t o s a t i s f y t h e r e q u i r e m e n t s o f c l a u s e ( x i ) i f t h e y m e e t t h e r e q u i r e m e n t s s e t f o r t h i n c l a u s e ( x i ) e n d i n g w i t h t h e w o r d s " c l a u s e s ( i ) , ( i i ) , ( i i i ) o r ( i v ) a b o v e " a n d w i t h o u t r e g a r d t o t h e r e m a i n d e r o f s u c h c l a u s e ( x i ) ; ( x i i i ) a n y i n v e s t m e n t a g r e e m e n t w i t h a f i n a n c i a l i n s t i t u t i o n o r i n s u r a n c e c o m p a n y o r w h o s e o b l i g a t i o n s a r e g u a r a n t e e d b y a f i n a n c i a l i n s t i t u t i o n o r i n s u r a n c e c o m p a n y w h i c h : ( a ) h a s a t t h e d a t e o f e x e c u t i o n t h e r e o f a n o u t s t a n d i n g i s s u e o f u n s e c u r e d , u n i n s u r e d a n d u n g u a r a n t e e d d e b t o b l i g a t i o n s o r a c l a i m s p a y i n g a b i l i t y r a t e d i n e i t h e r o f t h e t w o h i g h e s t l o n g - t e r m R a t i n g C a t e g o r i e s b y b o t h M o o d y ' s a n d S t a n d a r d & P o o r ' s ; o r ( b ) i s f u l l y s e c u r e d b y o b l i g a t i o n s d e s c r i b e d i n i t e m s ( i ) , ( i i ) , ( i i i ) o r ( i v ) o f t h e d e f i n i t i o n o f I n v e s t m e n t S e c u r i t i e s O H S W e s t . 2 6 0 9 3 5 7 0 9 . 4 1 3 4 6 8 which are (A) valued not less frequently than monthly and have a fair market value, exclusive of accrued interest, at all times at least equal to the principal amount of the investment, (B) held by the Trustee or other custodian acceptable to the Trustee, (C) subject to a perfected first lien in the Trustee, and (D) free and clear from all third party liens; (xiv) shares of beneficial interest in diversified management companies investing exclusively in securities and obligations described in clauses (i) through (xiii) of this definition of Investment Securities and which companies have either the highest rating by both Moody's and Standard & Poor's or have an investment advisor registered with the Securities and Exchange Commission with not less than five (5) years experience investing in such securities and obligations and with assets under management in excess of $500,000,000; (xv) shares in a common law trust established pursuant to Title 1, Division 7, Chapter 5 of the Government Code of the State which invests exclusively in investments permitted by Section 53635 of Title 5, Division 2, Chapter 4 of the Government Code of the State, as it may be amended; (xvi) bankers' acceptances issued by domestic or foreign banks, which are eligible for purchase by the Federal Reserve System, the short-term paper of which is rated in the highest category by both Moody's and Standard & Poor's, which purchases may not exceed two hundred seventy (270) days maturity; (xvii) the pooled investment fund of the County of Riverside, California, which is administered in accordance with the investment policy of said County as established by the Treasurer/Tax Collector thereof, as permitted by Section 53601 of the Government Code of the State, copies of which policy are available upon written request to said Treasurer/Tax Collector; (xviii) the Local Agency Investment Fund or similar pooled fund operated by or on behalf of the State of California and which is authorized to accept investments of moneys held in any of the funds or accounts established pursuant to this Indenture; (xix) obligations of the Resolution Trust Corporation and interest obligations of the Resolution Funding Corporation; (xx) financial futures or financial option contracts with an entity the debt securities of which are rated in the highest short-term or one of the two highest long-term rating categories by Fitch, Moody's and Standard & Poor's; and (xxi) any other forms of investments, including repurchase agreements, approved by the Board and consented to by each Credit Provider then providing a Credit Support Instrument, subject to the terms of Section 11.03(b) hereof, for a Series of Bonds "Person" means any natural person, firm, partnership, association, corporation, or public body. "Police Services Agreement" means the Police Services Agreement, dated as of , 201_, by and between the State of California, acting by and through the California OHS Wesc260935709.4 14 • 469 " " " H i g h w a y P a t r o l , a n d t h e C o m m i s s i o n , a s a m e n d e d , m o d i f i e d a n d s u p p l e m e n t e d i n a c c o r d a n c e w i t h i t s t e r m s . " P r i n c i p a l A c c o u n t " m e a n s t h e a c c o u n t b y t h a t n a m e c r e a t e d p u r s u a n t t o S e c t i o n . 5 . 0 2 . " P r i n c i p a l O f f i c e " m e a n s , w i t h r e s p e c t t o t h e T r u s t e e , t h e c o r p o r a t e t r u s t o f f i c e o f t h e T r u s t e e a t 6 3 3 W e s t F i f t h S t r e e t , 2 4 t h F l o o r , L o s A n g e l e s , C A 9 0 0 7 1 , A t t e n t i o n : C o r p o r a t e T r u s t S e r v i c e s , a n d s o l e l y f o r p u r p o s e s o f t h e p r e s e n t a t i o n o f B o n d s f o r t r a n s f e r , e x c h a n g e o r p a y m e n t , s u c h o t h e r o r a d d i t i o n a l o f f i c e s a s m a y b e d e s i g n a t e d b y t h e T r u s t e e f r o m t i m e t o t i m e . " P r o j e c t F u n d " m e a n s a f u n d b y t h a t n a m e e s t a b l i s h e d p u r s u a n t t o a S u p p l e m e n t a l I n d e n t u r e . " P u r c h a s e P r i c e " m e a n s , w i t h r e s p e c t t o B o n d s , t h e a m o u n t s e t f o r t h i n t h e I n d e n t u r e a s t h e a m o u n t t o b e p a i d w h e n s u c h B o n d s a r e t e n d e r e d f o r p u r c h a s e o r d e e m e d t e n d e r e d f o r p u r c h a s e i n a c c o r d a n c e w i t h t h e p r o v i s i o n s o f t h e I n d e n t u r e . " Q u a l i f i e d S w a p A g r e e m e n t " m e a n s a c o n t r a c t o r a g r e e m e n t , i n t e n d e d t o p l a c e B o n d s o r s u c h i n v e s t m e n t s a s t h e C o m m i s s i o n s h a l l s p e c i f y o n t h e i n t e r e s t r a t e , c u r r e n c y , c a s h f l o w o r o t h e r b a s i s d e s i r e d b y t h e C o m m i s s i o n , p a y m e n t s ( o t h e r t h a n p a y m e n t s o f f e e s a n d e x p e n s e s a n d t e r m i n a t i o n p a y m e n t s ) w i t h r e s p e c t t o w h i c h t h e C o m m i s s i o n h a s s p e c i f i e d s h a l l b e p a y a b l e f r o m R e v e n u e o n a p a r i t y w i t h t h e p a y m e n t o f B o n d s , i n c l u d i n g , w i t h o u t l i m i t a t i o n , a n y i n t e r e s t r a t e s w a p a g r e e m e n t , c u r r e n c y s w a p a g r e e m e n t , f o r w a r d p a y m e n t c o n v e r s i o n a g r e e m e n t o r f u t u r e s c o n t r a c t , a n y c o n t r a c t p r o v i d i n g f o r p a y m e n t s b a s e d o n l e v e l s o f , o r c h a n g e s i n , i n t e r e s t r a t e s , c u r r e n c y e x c h a n g e r a t e s , s t o c k o r o t h e r i n d i c e s , a n y c o n t r a c t t o e x c h a n g e c a s h f l o w s o r a s e r i e s o f p a y m e n t s , o r a n y c o n t r a c t , i n c l u d i n g , w i t h o u t l i m i t a t i o n , a n i n t e r e s t r a t e f l o o r o r c a p , o r a n o p t i o n , p u t o r c a l l , t o h e d g e p a y m e n t , c u r r e n c y , r a t e , s p r e a d o r s i m i l a r e x p o s u r e , b e t w e e n t h e C o m m i s s i o n a n d a S w a p P a r t y . " R a t i n g A g e n c y " m e a n s , a s a n d t o t h e e x t e n t a p p l i c a b l e t o a S e r i e s o f B o n d s , e a c h o f F i t c h , M o o d y ' s a n d S t a n d a r d & P o o r ' s t h e n m a i n t a i n i n g a r a t i n g o n s u c h S e r i e s o f B o n d s a t t h e r e q u e s t o f t h e C o m m i s s i o n . " R a t i n g C a t e g o r y " m e a n s : ( i ) w i t h r e s p e c t t o a n y l o n g - t e r m r a t i n g c a t e g o r y , a l l r a t i n g s d e s i g n a t e d b y a p a r t i c u l a r l e t t e r o r c o m b i n a t i o n o f l e t t e r s , w i t h o u t r e g a r d t o a n y n u m e r i c a l m o d i f i e r , p l u s o r m i n u s s i g n o r o t h e r m o d i f i e r ; a n d ( i i ) w i t h r e s p e c t t o a n y s h o r t - t e r m o r c o m m e r c i a l p a p e r r a t i n g c a t e g o r y , a l l r a t i n g s d e s i g n a t e d b y a p a r t i c u l a r l e t t e r o r c o m b i n a t i o n o f l e t t e r s a n d t a k i n g i n t o a c c o u n t a n y n u m e r i c a l m o d i f i e r , b u t n o t a n y p l u s o r m i n u s s i g n o r o t h e r m o d i f i e r . " R a t i n g C o n f i r m a t i o n " m e a n s w r i t t e n e v i d e n c e f r o m e a c h R a t i n g A g e n c y t h e n r a t i n g a n y S e r i e s o f B o n d s a t t h e r e q u e s t o f t h e C o m m i s s i o n t o t h e e f f e c t t h a t , f o l l o w i n g t h e e v e n t t h a t r e q u i r e s t h e R a t i n g C o n f i r m a t i o n , t h e t h e n c u r r e n t r a t i n g f o r s u c h S e r i e s o f B o n d s w i l l n o t b e l o w e r e d t o a l o w e r R a t i n g C a t e g o r y o r s u s p e n d e d o r w i t h d r a w n s o l e l y a s a r e s u l t o f t h e o c c u r r e n c e o f s u c h e v e n t . " R e b a t e F u n d " m e a n s t h e f u n d b y t h a t n a m e c r e a t e d p u r s u a n t t o S e c t i o n 5 . 0 4 . O H S W e s t 2 6 0 9 3 5 7 0 9 . 4 1 5 4 7 0 "Redemption Fund" means the fund by that name created pursuant to Section 5.05. "Representation Letter" means the letter or letters of representation from the . Commission to, or other instrument or agreement with, a Securities Depository for Book -Entry Bonds, in which the Commission, among other things, makes certain representations to the Securities Depository with respect to the Book -Entry Bonds, the payment thereof and delivery of notices with respect thereto. "Reserve Facility" means a surety bond or insurance policy issued to the Trustee by a company licensed to issue a surety bond or insurance policy guaranteeing the timely payment of the principal of and interest on the Bonds supported by the Reserve Facility. "Reserve Facility Costs" means amounts owed with respect to repayment of draws on a Reserve Facility, including interest thereon at the rate specified in the agreement pertaining to such Reserve Facility and expenses owed to the Reserve Facility Provider in connection with such Reserve Facility. "Reserve Facility Provider" means any provider of a Reserve Facility, any successor thereto or any replacement therefor. "Reserve Fund" means the fund by that name created pursuant to Section 5.03. "Reserve Requirement" for any Bonds means, as of any date of calculation, the amount specified by a Supplemental Indenture as the amount required to be held in the Reserve Fund for the payment of principal of and interest on those Bonds. "Revenue" means: (i) Toll Revenues; (ii) all amounts on deposit in the funds and accounts established and held by the Trustee hereunder (excluding the Rebate Fund, any fund or account established to hold the proceeds of a drawing on any Credit Support Instrument, and any Subsidy Payments deposited pursuant to Section 5.08); (iii) all interest or other income from investment of money in the funds and accounts established hereunder (excluding the Rebate Fund and any fund or account established to hold the proceeds of a drawing on any Credit Support Instrument); (iv) all Swap Revenues; and (v) with respect to any Series of Bonds, any funds that the Commission, in the Supplemental Indenture relating to such Series of Bonds, specifically pledges, assigns or agrees to contribute to the payment of such Series of Bonds from the following sources: Sales Tax Revenues, development impact fees, federal grant funds, or any other sources of revenues available to the Commission that may be applied to pay debt service on such Series of Bonds; provided that such Supplemental Indenture may specify that the pledge, assignment or agreement to contribute is on a basis subordinate to other pledges, assignments, contribution agreements, liens, charges, or encumbrances of such funds. "Riverside SR-91 Corridor Improvement Project" means the planning, design, development, financing, construction, reconstruction, rehabilitation, improvement, acquisition, lease, operation, or maintenance, or any combination of these, with respect to tolled and nontolled facilities, structures, onramps, connector roads, bridges, and roadways that are on, necessary for, or related to the construction or operation of that portion of the SR-91 between the Orange and Riverside County line to the west and State Highway Route 15 to the east. OHS West:260935709 4 16 471 " " " R u l e 1 5 c 2 - 1 2 " m e a n s S e c u r i t i e s a n d E x c h a n g e C o m m i s s i o n R u l e 1 5 c 2 - 1 2 , a d o p t e d b y t h e S e c u r i t i e s a n d E x c h a n g e C o m m i s s i o n u n d e r t h e S e c u r i t i e s E x c h a n g e A c t o f 1 9 3 4 , a s t h e s a m e m a y b e a m e n d e d f r o m t i m e t o t i m e . " S & P " m e a n s S t a n d a r d & P o o r ' s R a t i n g s S e r v i c e s , a d i v i s i o n o f T h e M c G r a w - H i l l C o m p a n i e s , a n d i t s s u c c e s s o r s a n d a s s i g n s , e x c e p t t h a t i f s u c h c o r p o r a t i o n s h a l l b e d i s s o l v e d o r l i q u i d a t e d o r s h a l l n o l o n g e r p e r f o r m t h e f u n c t i o n s o f a s e c u r i t i e s r a t i n g a g e n c y , t h e t e r m " S & P " s h a l l b e d e e m e d t o r e f e r t o a n y o t h e r n a t i o n a l l y r e c o g n i z e d s t a t i s t i c a l r a t i n g o r g a n i z a t i o n s e l e c t e d b y t h e C o m m i s s i o n . " S a l e s T a x A c t " m e a n s t h e R i v e r s i d e C o u n t y T r a n s p o r t a t i o n S a l e s T a x A c t , b e i n g D i v i s i o n 2 5 o f t h e P u b l i c U t i l i t i e s C o d e o f t h e S t a t e o f C a l i f o r n i a ( S e c t i o n 2 4 0 0 0 0 e t s e g . ) . " S a l e s T a x R e v e n u e s " m e a n s t h e a m o u n t s a v a i l a b l e f o r d i s t r i b u t i o n t o t h e C o m m i s s i o n o n a n d a f t e r J u l y 1 , 2 0 0 9 o n a c c o u n t o f t h e r e t a i l t r a n s a c t i o n s a n d u s e t a x i m p o s e d i n t h e C o u n t y o f R i v e r s i d e p u r s u a n t t o t h e A c t a n d t h e O r d i n a n c e a f t e r d e d u c t i n g a m o u n t s p a y a b l e b y t h e C o m m i s s i o n t o t h e S t a t e B o a r d o f E q u a l i z a t i o n f o r c o s t s a n d e x p e n s e s f o r i t s s e r v i c e s i n c o n n e c t i o n w i t h t h e r e t a i l t r a n s a c t i o n s a n d u s e t a x e s c o l l e c t e d p u r s u a n t t o t h e S a l e s T a x A c t . " S e c u r i t i e s . D e p o s i t o r y " m e a n s D T C o r a n y o t h e r t r u s t c o m p a n y o r o t h e r e n t i t y t h a t p r o v i d e s a b o o k - e n t r y s y s t e m f o r t h e r e g i s t r a t i o n o f o w n e r s h i p i n t e r e s t s i n s e c u r i t i e s a n d w h i c h i s a c t i n g a s s e c u r i t y d e p o s i t o r y f o r B o o k - E n t r y B o n d s . " S e r i e s " m e a n s a l l B o n d s i d e n t i f i e d i n t h e I n d e n t u r e o r a n y S u p p l e m e n t a l I n d e n t u r e a s a s e p a r a t e S e r i e s . " S h o r t - T e n n P u t B o n d " m e a n s a B o n d o r P a r i t y O b l i g a t i o n w i t h a s t a t e d m a t u r i t y o f t e n y e a r s o r l e s s , t h e p r i n c i p a l o f w h i c h t h e C o m m i s s i o n d e t e r m i n e s o n o r b e f o r e t h e d a t e o f i s s u a n c e t h a t i t i n t e n d s t o p a y f r o m r e m a r k e t i n g p r o c e e d s o r p r o c e e d s o f r e f u n d i n g o b l i g a t i o n s . " S I F M A I n d e x " m e a n s S e c u r i t i e s I n d u s t r y a n d F i n a n c i a l M a r k e t s A s s o c i a t i o n M u n i c i p a l S w a p I n d e x a s o f t h e m o s t r e c e n t d a t e s u c h i n d e x w a s p u b l i s h e d b y t h e S e c u r i t i e s I n d u s t r y a n d F i n a n c i a l M a r k e t s A s s o c i a t i o n o r a n y s u c c e s s o r t h e r e t o , o r i n t h e e v e n t s u c h i n d e x i s n o l o n g e r p u b l i s h e d b y t h e S e c u r i t i e s I n d u s t r y a n d F i n a n c i a l M a r k e t s A s s o c i a t i o n o r a n y s u c c e s s o r t h e r e t o , s u c h c o m p a r a b l e r e p l a c e m e n t i n d e x a s s h a l l b e p u b l i s h e d b y t h e S e c u r i t i e s I n d u s t r y a n d F i n a n c i a l M a r k e t s A s s o c i a t i o n o r a n y s u c c e s s o r t h e r e t o . I n t h e e v e n t t h a t s u c h c o m p a r a b l e r e p l a c e m e n t i n d e x i s n o l o n g e r p u b l i s h e d b y t h e S e c u r i t i e s I n d u s t r y a n d F i n a n c i a l M a r k e t s A s s o c i a t i o n o r a n y s u c c e s s o r t h e r e t o , a n a l t e r n a t i v e i n d e x s h a l l b e s e l e c t e d b y t h e C o m m i s s i o n . " S i n k i n g F u n d I n s t a l l m e n t " m e a n s , w i t h r e s p e c t t o a n y S e r i e s o f B o n d s , e a c h a m o u n t s o d e s i g n a t e d f o r t h e T e r m B o n d s o f s u c h S e r i e s i n t h e S u p p l e m e n t a l I n d e n t u r e p r o v i d i n g f o r t h e i s s u a n c e o f s u c h S e r i e s o f B o n d s r e q u i r i n g p a y m e n t s b y t h e C o m m i s s i o n t o b e a p p l i e d t o t h e r e t i r e m e n t o f s u c h S e r i e s o f B o n d s o n a n d p r i o r t o t h e s t a t e d m a t u r i t y d a t e t h e r e o f . " S p e c i a l P r o j e c t " s h a l l m e a n a n y p r o j e c t w h i c h i s s o d e s i g n a t e d b y t h e C o m m i s s i o n i n a r e s o l u t i o n o f t h e B o a r d a c o p y o f w h i c h i s d e l i v e r e d t o t h e T r u s t e e . O H S W e s t : 2 6 0 9 3 5 7 0 9 4 1 7 4 7 2 "SR-91" means State Highway Route 91. "State" means the State of California. "Subsidy Payments" means, (a) with respect to a Series of Bonds or Parity Obligations issued under Section 54AA of the Code, the amounts relating to such Series of Bonds or Parity Obligations which are payable by the Federal govemment under Section 6431 of the Code, which the Commission has elected to receive under Section 54AA(g)(1) of the Code, and (b) with respect to a Series of Bonds or Parity Obligations issued under any other provision of the Code that creates a substantially similar direct -pay subsidy program, the amounts relating to such Series of Bonds or Parity Obligations which are payable by the Federal government under the applicable provision of the Code which the Commission has elected to receive under the applicable provisions of the Code. "Supplemental Indenture" means any indenture executed and delivered by the Commission and the Trustee that is stated to be a supplemental indenture hereto. "Swap" means any interest rate swap agreement, currency swap agreement, forward payment conversion agreement or futures contract, any contract providing for payments based on levels of, or changes in, interest rates, currency exchange rates, stock or other indices, any contract to exchange cash flows or a series of payments, or any contract, including, without limitation, an interest rate floor or cap, or an option, put or call, to hedge payment, currency, rate, spread or similar exposure, between the Commission and a Swap Party, which is not a Qualified Swap Agreement. "Swap Party" means each entity that is a party to either a Qualified Swap Agreement or a Swap entered into with the Commission. "Swap Revenues" means any amount paid by a Swap Party to the Commission pursuant to any Qualified Swap Agreement or Swap, after any netting of payments required by such Qualified Swap Agreement or Swap, as applicable, and any payments paid to the Commission by a Swap Party as consideration for termination or amendment of a Qualified Swap Agreement or Swap, as applicable. "Tax Certificate" means the Tax Certificate delivered by the Commission at the time of the issuance of a Series of Bonds, as the same may be amended and supplemented in accordance with its terms. "Term Bonds" means Bonds of any Series that are payable on or before their specified maturity dates from Sinking Fund Installments established for that purpose in the Supplemental Indenture providing for the issuance of such Series of Bonds, which Sinking Fund Installments are calculated to retire such Bonds on or before their specified maturity dates. "Toll Agreements" means the Franchise Agreement, Operating Agreement, the Design -Build Agreement, the Lease Agreement, and the Toll Facility Agreement. "Toll Facility Agreement" means that certain Toll Facility Agreement, dated as of , 201_, by and between the Commission and Caltrans. OHS Wesc260935709,4 18 473 " " " " T o l l O p e r a t o r " m e a n s , a s o p e r a t o r o f t h e T o l l R o a d r e s p o n s i b l e f o r t h e c o l l e c t i o n o f t o l l s a n d f e e s a n d t h e e s t a b l i s h m e n t a n d m a i n t e n a n c e o f c u s t o m e r a c c o u n t s a n d r e c o r d s , p u r s u a n t t o t h e O p e r a t i n g A g r e e m e n t . 5 . 0 1 . " T o l l R e v e n u e F u n d " m e a n s t h e f u n d b y t h a t n a m e c r e a t e d p u r s u a n t t o S e c t i o n " T o l l R e v e n u e s " m e a n s ( i ) t o l l r e v e n u e s , u s e r f e e s , f i n e s , r e n t s o r o t h e r s i m i l a r c h a r g e s p a y a b l e f o r u s e o f t h e T o l l R o a d , ( i i ) a l l p r o c e e d s o f i n s u r a n c e p a y a b l e t o o r r e c e i v e d b y t h e C o m m i s s i o n w i t h r e s p e c t t o t h e T o l l R o a d ( w h e t h e r b y w a y o f c l a i m s , r e t u r n o f p r e m i u m s , e x g r a t i a s e t t l e m e n t s o r o t h e r w i s e ) , i n c l u d i n g p r o c e e d s f r o m b u s i n e s s i n t e r r u p t i o n i n s u r a n c e a n d l o s s o f a d v a n c e p r o f i t s i n s u r a n c e , e x c e p t f o r p r o c e e d s o f f i r e a n d o t h e r c a s u a l t y i n s u r a n c e , ( i i i ) t h e p r o c e e d s o f a n y c o n d e m n a t i o n a w a r d s w i t h r e s p e c t t o t h e T o l l R o a d , a n d ( i v ) a n y o t h e r i n c i d e n t a l o r r e l a t e d f e e s o r c h a r g e s ; b u t e x c l u d i n g t h e r e f r o m a n y p o r t i o n t h e r e o f d e r i v e d f r o m t h e v e h i c u l a r u s a g e o f a S p e c i a l P r o j e c t t h a t i s r e q u i r e d t o b e p a i d t o a c o n t r a c t o r p u r s u a n t t o a c o n t r a c t f o r t h e a c q u i s i t i o n o r c o n s t r u c t i o n o f s u c h S p e c i a l P r o j e c t a s a r e s u l t o f t h e e a r l y c o m p l e t i o n o f s u c h S p e c i a l P r o j e c t o r a n y s e g m e n t t h e r e o f . " T o l l R o a d " m e a n s ( a ) g e n e r a l p u r p o s e t o l l l a n e s , ( b ) l a n e s o r f a c i l i t i e s w h e r e t h e t o l l s m a y b e l e v i e d a n d m a y v a r y a c c o r d i n g t o l e v e l s o f c o n g e s t i o n a n t i c i p a t e d o r e x p e r i e n c e d o r a c c o r d i n g t o t h e o c c u p a n c y o f t h e v e h i c l e , ( c ) f a c i l i t i e s u s i n g a n y c o m b i n a t i o n o f ( a ) a n d ( b ) , a n d ( d ) f a c i l i t i e s u s i n g a n y o t h e r s t r a t e g y t h e C o m m i s s i o n m a y d e t e r m i n e a p p r o p r i a t e o n a f a c i l i t y - b y - f a c i l i t y b a s i s , o n t h e p o r t i o n o f S R - 9 1 b e t w e e n t h e O r a n g e a n d R i v e r s i d e C o u n t y l i n e a n d S t a t e H i g h w a y R o u t e 1 5 , a s s u c h t o l l l a n e s a n d f a c i l i t i e s m a y f r o m t i m e t o t i m e b e e x p a n d e d , i m p r o v e d , u p g r a d e d , e n l a r g e d , o r e n h a n c e d . " T r a f f i c C o n s u l t a n t " m e a n s a n y t r a f f i c a n d r e v e n u e c o n s u l t a n t o r f i r m o f n a t i o n a l l y - r e c o g n i z e d t r a f f i c a n d r e v e n u e c o n s u l t a n t s e x p e r i e n c e d i n p e r f o r m i n g t h e d u t i e s f o r w h i c h a T r a f f i c C o n s u l t a n t i s r e q u i r e d t o b e e m p l o y e d p u r s u a n t t o t h e p r o v i s i o n s o f t h i s I n d e n t u r e s e l e c t e d b y t h e C o m m i s s i o n . " W r i t t e n R e q u e s t o f t h e C o m m i s s i o n " m e a n s a n i n s t r u m e n t i n w r i t i n g s i g n e d b y a n A u t h o r i z e d R e p r e s e n t a t i v e . A R T I C L E I I T H E B O N D S S e c t i o n 2 . 0 1 A u t h o r i z a t i o n a n d P u r p o s e s . B o n d s m a y b e i s s u e d h e r e u n d e r , i n b o o k - e n t r y f o r m o r o t h e r w i s e , f r o m t i m e t o t i m e a s t h e i s s u a n c e t h e r e o f i s a p p r o v e d b y t h e C o m m i s s i o n . T h e m a x i m u m p r i n c i p a l a m o u n t o f B o n d s t h a t m a y b e i s s u e d h e r e u n d e r i s n o t l i m i t e d ; s u b j e c t , h o w e v e r , t o a n y l i m i t a t i o n s c o n t a i n e d i n t h e A c t a n d t o t h e r i g h t o f t h e C o m m i s s i o n , w h i c h i s h e r e b y r e s e r v e d , t o l i m i t t h e a g g r e g a t e p r i n c i p a l a m o u n t o f B o n d s t h a t m a y b e i s s u e d o r O u t s t a n d i n g h e r e u n d e r . T h e B o n d s a r e d e s i g n a t e d g e n e r a l l y a s " R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n T o l l R e v e n u e B o n d s , " e a c h S e r i e s t h e r e o f t o b e a r s u c h a d d i t i o n a l d e s i g n a t i o n a s m a y b e n e c e s s a r y o r a p p r o p r i a t e t o d i s t i n g u i s h s u c h S e r i e s f r o m e v e r y o t h e r S e r i e s o f B o n d s . T h e B o n d s m a y b e i s s u e d i n s u c h S e r i e s a s f r o m t i m e t o t i m e s h a l l b e O H S W e s t 2 6 0 9 3 5 7 0 9 _ 4 1 9 4 7 4 established and authorized by the Commission, subject to the covenants, provisions and conditions herein. Each separate Series of Bonds shall be authorized by the Commission in a Supplemental Indenture. No Bonds may be issued under the provisions of this Indenture except in accordance with this Article and Article III. Bonds may be issued for the purpose of financing the Riverside SR-91 Corridor Improvement Project under the afore -mentioned design -build procurement process or for any other purpose authorized by the Act, as it may be amended from time to time hereafter. Section 2.02 General Terms of Bonds. Each Bond shall bear interest and be payable and be secured and have such other terms as shall be specified in its Supplemental Indenture, or if not specified therein, as specified by an Authorized Representative pursuant to Section 2.06. The principal and Purchase Price of, premium, if any, and interest on the Bonds shall be payable in lawful currency of the United States of America, except as otherwise specified in a Supplemental Indenture. During any period in which any Bonds are Book -Entry Bonds, payment of debt service on such Book -Entry Bonds shall be made to the Securities Depository, or its Nominee, and in accordance with arrangements among the Commission, the Trustee and the Securities Depository. During any period in which any Bonds are not Book - Entry Bonds, unless otherwise specified in a Supplemental Indenture, the principal and Purchase Price of and premium, if any, on all such Bonds shall be payable by wire or check at the Principal Office of the Trustee upon the presentation and surrender of such Bonds as the same become due and payable, and the interest on such Bonds shall be paid by wire or check drawn upon the Trustee and mailed on the applicable interest payment date to the persons in whose names the Bonds are registered on the registration books maintained by the Trustee at the close of business on the record date for such interest payment. Section 2.03 Execution. The Bonds shall be executed in the name and on behalf of the Commission by the facsimile or manual signature of the Chairperson of the Board or any Vice Chairperson of the Board and shall be countersigned by the facsimile or manual signature of the Chief Financial Officer of the Commission, and shall have the official seal of the Commission attached or affixed thereon in manual or facsimile form. Unless otherwise provided in any Supplemental Indenture, the Bonds shall then be delivered to the Trustee for authentication by the Trustee. In case any of the officers who shall have signed or attested any of the Bonds shall cease to be such officer or officers of the Commission before the Bonds so signed or attested shall have been authenticated or delivered by the Trustee or issued by the Commission, such Bonds may nevertheless be authenticated, delivered and issued and, upon such authentication, delivery and issue, shall be as binding upon the Commission as though those who signed and attested the same had continued to be such officers of the Commission, and also any Bond may be signed and attested on behalf of the Commission by such persons as at the actual date of execution of such Bond shall be the proper officers of the Commission although at the nominal date of such Bond any such person shall not have been such officer of the Commission. Section 2.04 Certificate of Authentication. No Bonds shall be secured hereby or entitled to the benefit hereof or shall be or become valid or obligatory for any purpose unless OHS West.260935709 4 20 • • 475 " t h e r e s h a l l b e e n d o r s e d t h e r e o n a c e r t i f i c a t e o f a u t h e n t i c a t i o n , s u b s t a n t i a l l y i n t h e f o r m s e t f o r t h i n t h e f o r m o f B o n d r e f e r r e d t o i n S e c t i o n 2 . 0 5 h e r e o f , e x e c u t e d b y t h e T r u s t e e ; a n d s u c h c e r t i f i c a t e o n a n y B o n d i s s u e d b y t h e C o m m i s s i o n s h a l l b e c o n c l u s i v e e v i d e n c e t h a t s u c h B o n d h a s b e e n d u l y a u t h e n t i c a t e d a n d d e l i v e r e d h e r e u n d e r . S e c t i o n 2 . 0 5 F o r m s o f B o n d s . T h e B o n d s , t h e T r u s t e e ' s c e r t i f i c a t e o f a u t h e n t i c a t i o n a n d t h e f o r m o f a s s i g n m e n t s h a l l b e i n s u b s t a n t i a l l y t h e f o r m s s p e c i f i e d i n a S u p p l e m e n t a l I n d e n t u r e o r i f n o t s p e c i f i e d t h e r e i n , a s s p e c i f i e d b y a n A u t h o r i z e d R e p r e s e n t a t i v e p u r s u a n t t o S e c t i o n 2 . 0 6 , a n d m a y h a v e s u c h l e t t e r s , n u m b e r s o r o t h e r m a r k s o f i d e n t i f i c a t i o n ( i n c l u d i n g , b u t n o t l i m i t e d t o , t h e S e r i e s d e s i g n a t i o n p r o v i d e d f o r i n S e c t i o n 2 . 0 1 ) a n d s u c h l e g e n d s a n d e n d o r s e m e n t s p l a c e d t h e r e o n a s m a y b e r e q u i r e d t o c o m p l y w i t h a n y a p p l i c a b l e l a w s o r r u l e s o r r e g u l a t i o n s , o r a s m a y , c o n s i s t e n t h e r e w i t h , b e d e t e r m i n e d b y a n A u t h o r i z e d R e p r e s e n t a t i v e . T h e B o n d s s h a l l b e i n e i t h e r t y p e w r i t t e n o r p r i n t e d f o r m , a s a n A u t h o r i z e d R e p r e s e n t a t i v e s h a l l d i r e c t , p r o v i d e d t h a t a n y e x p e n s e s i n c u r r e d i n c o n n e c t i o n t h e r e w i t h s h a l l b e p a i d b y t h e C o m m i s s i o n . S e c t i o n 2 . 0 6 I s s u a n c e , S a l e a n d D e l i v e r y o f B o n d s ; A p p l i c a t i o n o f P r o c e e d s . T h e B o n d s o f e a c h S e r i e s s h a l l b e d e l i v e r e d b y t h e T r u s t e e i n a c c o r d a n c e w i t h a W r i t t e n R e q u e s t o f t h e C o m m i s s i o n , w h i c h m a y b e E l e c t r o n i c , i n t h e m a n n e r s p e c i f i e d h e r e i n . S a i d W r i t t e n R e q u e s t o f t h e C o m m i s s i o n s h a l l s p e c i f y t h e f o l l o w i n g t e r m s f o r t h e B o n d s t h e n b e i n g i s s u e d t o t h e e x t e n t s u c h t e r m s a r e n o t s e t f o r t h i n t h e S u p p l e m e n t a l I n d e n t u r e c r e a t i n g s u c h S e r i e s o f B o n d s a n d a r e a p p l i c a b l e t o s u c h B o n d s : S e r i e s d e s i g n a t i o n ; A u t h o r i z e d D e n o m i n a t i o n s ; b o n d f o r m s ; b o o k e n t r y p r o v i s i o n s , i f a n y ; m a t u r i t y d a t e o r d a t e s o r m a t u r i t y d e t e r m i n a t i o n m e t h o d , w h i c h m a y v a r y f o r B o n d s w i t h i n s u c h S e r i e s ; p r i n c i p a l a m o u n t ; i s s u e d a t e ; i n t e r e s t r a t e o r i n t e r e s t r a t e d e t e r m i n a t i o n m e t h o d , w h i c h m a y v a r y f o r B o n d s w i t h i n s u c h S e r i e s ; r e c o r d d a t e f o r i n t e r e s t p a y m e n t s ; s i n k i n g f u n d p r o v i s i o n s , i f a n y ; R e s e r v e R e q u i r e m e n t , i f a n y ; r e d e m p t i o n p r o v i s i o n s , i f a n y ; t e n d e r p r o v i s i o n s , i f a n y ; a d d i t i o n a l s e c u r i t y , i f a n y ; a n d a n y o t h e r t e r m s a n d c o n d i t i o n s t h a t a r e n o t i n c o n s i s t e n t w i t h t h i s I n d e n t u r e . U p o n t h e d e l i v e r y o f e a c h S e r i e s o f B o n d s , t h e p r o c e e d s s h a l l i m m e d i a t e l y b e a p p l i e d a n d d e p o s i t e d a s s e t f o r t h i n t h e a p p l i c a b l e S u p p l e m e n t a l I n d e n t u r e . S e c t i o n 2 . 0 7 M u t i l a t e d , L o s t , S t o l e n o r D e s t r o y e d B o n d s . I f a n y B o n d i s m u t i l a t e d , l o s t , s t o l e n o r d e s t r o y e d , t h e C o m m i s s i o n s h a l l e x e c u t e a n d t h e T r u s t e e s h a l l a u t h e n t i c a t e a n d d e l i v e r a n e w B o n d o f t h e s a m e S e r i e s , m a t u r i t y d a t e , p r i n c i p a l a m o u n t a n d t e n o r i n l i e u o f a n d i n s u b s t i t u t i o n f o r t h e B o n d m u t i l a t e d , l o s t , s t o l e n o r d e s t r o y e d ; p r o v i d e d t h a t t h e r e s h a l l b e f i r s t f u r n i s h e d t o t h e T r u s t e e e v i d e n c e s a t i s f a c t o r y t o t h e T r u s t e e o f t h e o w n e r s h i p o f s u c h B o n d a n d o f s u c h l o s s , t h e f t o r d e s t r u c t i o n ( o r , i n t h e c a s e o f a m u t i l a t e d B o n d , s u c h m u t i l a t e d B o n d s h a l l f i r s t b e s u r r e n d e r e d t o t h e T r u s t e e ) , t o g e t h e r w i t h i n d e m n i t y s a t i s f a c t o r y t o t h e T r u s t e e a n d c o m p l i a n c e w i t h s u c h o t h e r r e a s o n a b l e r e g u l a t i o n s a s t h e C o m m i s s i o n a n d T r u s t e e m a y p r e s c r i b e . S u b j e c t t o t h e p r o v i s o s e t f o r t h i n t h e p r e c e d i n g s e n t e n c e , i f a n y s u c h B o n d s h a l l h a v e m a t u r e d o r a r e d e m p t i o n d a t e p e r t a i n i n g t h e r e t o s h a l l h a v e p a s s e d , i n s t e a d o f i s s u i n g a n e w B o n d , t h e C o m m i s s i o n m a y p a y t h e s a m e w i t h o u t s u r r e n d e r t h e r e o f . T h e C o m m i s s i o n a n d t h e T r u s t e e m a y c h a r g e t h e H o l d e r o f s u c h B o n d w i t h t h e i r r e a s o n a b l e f e e s a n d e x p e n s e s i n t h i s c o n n e c t i o n . S e c t i o n 2 . 0 8 E x c h a n g e a b i l i t y a n d T r a n s f e r o f B o n d s ; P e r s o n s T r e a t e d a s H o l d e r s . T h e C o m m i s s i o n h e r e b y d i r e c t s t h e T r u s t e e , w h i c h i s h e r e b y c o n s t i t u t e d a n d a p p o i n t e d O H S W e s t 2 6 0 9 3 5 7 0 9 . 4 2 1 4 7 6 the bond registrar for the Bonds, to keep books for the registration of the Bonds and for the registration of transfer of the Bonds as provided herein. Any registered owner of a Bond, in person or by its duly authorized attorney, may transfer title to its Bond on the books of registration kept by the Trustee, upon surrender thereof at the Principal Office of the Trustee, together with a written instrument of transfer (in substantially the form of assignment attached to the Bond or as provided in its Supplemental Indenture) executed by the registered owner or its duly authorized attorney, and upon surrender for registration of transfer of any Bond, the Commission shall execute, and the Trustee shall authenticate and deliver in the name of the transferee or transferees, a new Bond or Bonds of the same Series, maturity date, aggregate principal amount and tenor as the Bond surrendered. Bonds may be exchanged upon surrender thereof at the Principal Office of the Trustee for Bonds of the same Series, maturity date, aggregate principal amount and tenor as the Bonds being exchanged. The Commission shall execute and the Trustee shall authenticate and deliver Bonds that the registered owner making the exchange is entitled to receive, bearing numbers not contemporaneously then outstanding. Such registrations of transfers or exchanges of Bonds shall be without charge to the registered owner of such Bonds, but any taxes or other governmental charges required to be paid with respect to the same shall be paid by the registered owner of the Bond requesting such registration of transfer or exchange as a condition precedent to the exercise of such privilege. Any service charge made by the Trustee for any such registration, transfer or exchange shall be paid by the Commission. The Trustee shall not register any transfer of any Bond after notice calling such Bond (or portion thereof) for redemption or partial redemption or notice of mandatory tender with respect thereto has been given and prior to such redemption or mandatory tender, as the case may be, except, in the case of any Bond to be redeemed in part, the portion thereof not to be redeemed. The person in whose name any Bond shall be registered shall be deemed and regarded as the absolute owner thereof for all purposes, and payment of or on account of either principal, premium, if any, or interest shall be made only to or upon the order of the registered owner thereof or his duly authorized attorney, but such registration may be changed as hereinabove provided. All such payments shall be valid and effectual to satisfy and discharge the liability upon such Bond to the extent of the sum or sums so paid. All Bonds issued upon any transfer or exchange of Bonds shall be legal, valid and binding obligations of the Commission, evidencing the same debt, and entitled to the same security and benefits under this Indenture, as the Bonds surrendered upon such transfer or exchange. Section 2.09 Cancellation. All Bonds that have been surrendered to the Trustee pursuant to Section 2.07 or 2.08 of this Indenture and all Bonds that have been paid or redeemed, either at or prior to maturity, except as otherwise provided in a Supplemental Indenture, shall be OHS West:260935709.4 22 • 477 " " " c a n c e l l e d a n d d e s t r o y e d b y t h e T r u s t e e a n d a c e r t i f i c a t e o f d e s t r u c t i o n s h a l l b e d e l i v e r e d t o t h e C o m m i s s i o n . S e c t i o n 2 . 1 0 B o n d s R a t a b l y S e c u r e d . A l l B o n d s i s s u e d h e r e u n d e r t h a t b y t h e i r t e r m s a r e s t a t e d t o b e e q u a l l y a n d r a t a b l y s e c u r e d b y t h i s I n d e n t u r e w i t h o u t p r e f e r e n c e p r i o r i t y o r d i s t i n c t i o n o n a c c o u n t o f t h e S e r i e s o r t h e a c t u a l t i m e o r t i m e s o f t h e a u t h e n t i c a t i o n , d e l i v e r y o r m a t u r i t y o f s u c h B o n d s s h a l l b e s o e q u a l l y a n d r a t a b l y s e c u r e d s o t h a t , s u b j e c t t o a n y d i f f e r e n c e s s p e c i f i e d i n t h i s I n d e n t u r e , a l l s u c h B o n d s a t a n y t i m e O u t s t a n d i n g h e r e u n d e r s h a l l h a v e t h e s a m e r i g h t , l i e n a n d p r e f e r e n c e u n d e r a n d b y v i r t u e o f t h i s I n d e n t u r e a n d s h a l l a l l b e e q u a l l y a n d r a t a b l y s e c u r e d h e r e b y w i t h l i k e e f f e c t a s i f t h e y w e r e o f t h e s a m e S e r i e s a n d t h e y h a d a l l b e e n e x e c u t e d , a u t h e n t i c a t e d a n d d e l i v e r e d s i m u l t a n e o u s l y o n t h e d a t e h e r e o f , w h e t h e r t h e s a m e , o r a n y o f t h e m , s h a l l a c t u a l l y b e d i s p o s e d o f a t s u c h d a t e , o r w h e t h e r t h e y , o r a n y o f t h e m , s h a l l b e d i s p o s e d o f a t s o m e f u t u r e d a t e . S e c t i o n 2 . 1 1 B o o k - E n t r y O n l y S y s t e m . U n l e s s a n A u t h o r i z e d R e p r e s e n t a t i v e s h a l l o t h e r w i s e d i r e c t o r u n l e s s o t h e r w i s e s p e c i f i e d i n a S u p p l e m e n t a l I n d e n t u r e , a l l B o n d s i s s u e d h e r e u n d e r s h a l l b e i s s u e d a s B o o k - E n t r y B o n d s i n f u l l y r e g i s t e r e d f o r m . B o o k - E n t r y B o n d s s h a l l b e r e g i s t e r e d i n t h e n a m e o f t h e S e c u r i t i e s D e p o s i t o r y o r i t s N o m i n e e a s d i r e c t e d b y s u c h S e c u r i t i e s D e p o s i t o r y . D T C s h a l l a c t a s t h e i n i t i a l S e c u r i t i e s D e p o s i t o r y a n d h a s d e s i g n a t e d C e d e & C o . a s i t s N o m i n e e . B e n e f i c i a l O w n e r s o f B o n d s w i l l n o t r e c e i v e p h y s i c a l d e l i v e r y o f b o n d c e r t i f i c a t e s e x c e p t a s p r o v i d e d h e r e i n a f t e r . F o r s o l o n g a s D T C s h a l l c o n t i n u e t o s e r v e a s S e c u r i t i e s D e p o s i t o r y f o r t h e B o n d s a s p r o v i d e d h e r e i n , a l l t r a n s f e r s o f b e n e f i c i a l o w n e r s h i p i n t e r e s t s w i l l b e m a d e b y b o o k - e n t r y o n l y , a n d n o p e r s o n p u r c h a s i n g , s e l l i n g o r o t h e r w i s e t r a n s f e r r i n g b e n e f i c i a l o w n e r s h i p o f B o n d s i s t o r e c e i v e , h o l d o r d e l i v e r a n y B o n d c e r t i f i c a t e . W i t h r e s p e c t t o B o n d s r e g i s t e r e d i n t h e n a m e o f C e d e & C o . , a s N o m i n e e o f D T C , t h e C o m m i s s i o n a n d t h e T r u s t e e s h a l l h a v e n o r e s p o n s i b i l i t y o r o b l i g a t i o n t o a n y p a r t i c i p a n t i n D T C ( e a c h , a " D T C P a r t i c i p a n t ' ) o r t o a n y p e r s o n o n w h o s e b e h a l f a D T C P a r t i c i p a n t h o l d s a n i n t e r e s t i n t h e B o n d s . W i t h o u t l i m i t i n g t h e i m m e d i a t e l y p r e c e d i n g s e n t e n c e , t h e C o m m i s s i o n a n d t h e T r u s t e e s h a l l h a v e n o r e s p o n s i b i l i t y o r o b l i g a t i o n w i t h r e s p e c t t o ( i ) t h e a c c u r a c y o f t h e r e c o r d s o f D T C , C e d e & C o . o r a n y D T C P a r t i c i p a n t w i t h r e s p e c t t o a n y o w n e r s h i p i n t e r e s t i n t h e B o n d s , ( i i ) t h e d e l i v e r y t o a n y D T C P a r t i c i p a n t o r a n y o t h e r p e r s o n , o t h e r t h a n a r e g i s t e r e d o w n e r o f t h e B o n d s , a s s h o w n o n t h e r e g i s t r a t i o n b o o k s , o f a n y n o t i c e w i t h r e s p e c t t o t h e B o n d s , i n c l u d i n g a n y n o t i c e o f r e d e m p t i o n o r m a n d a t o r y t e n d e r , o r ( i i i ) t h e p a y m e n t t o a n y D T C P a r t i c i p a n t o r a n y o t h e r p e r s o n , o t h e r t h a n a r e g i s t e r e d o w n e r o f t h e B o n d s , a s s h o w n i n t h e r e g i s t r a t i o n b o o k s , o f a n y a m o u n t w i t h r e s p e c t t o p r i n c i p a l o r P u r c h a s e P r i c e o f , o r p r e m i u m , i f a n y , o r i n t e r e s t o n , t h e B o n d s . R e p l a c e m e n t B o n d s m a y b e i s s u e d d i r e c t l y t o B e n e f i c i a l O w n e r s o f B o n d s o t h e r t h a n D T C , o r i t s N o m i n e e , b u t o n l y i n t h e e v e n t t h a t : ( i ) D T C d e t e r m i n e s n o t t o c o n t i n u e t o a c t a s S e c u r i t i e s D e p o s i t o r y f o r t h e B o n d s ( w h i c h d e t e r m i n a t i o n s h a l l b e c o m e e f f e c t i v e n o L e s s t h a n 9 0 d a y s a f t e r w r i t t e n n o t i c e t o s u c h e f f e c t t o t h e C o m m i s s i o n a n d t h e T r u s t e e ) ; o r ( i i ) a n A u t h o r i z e d R e p r e s e n t a t i v e h a s a d v i s e d D T C o f i t s d e t e r m i n a t i o n ( w h i c h d e t e r m i n a t i o n i s c o n c l u s i v e a s t o D T C a n d B e n e f i c i a l O w n e r s o f t h e B o n d s ) t h a t D T C i s i n c a p a b l e o f d i s c h a r g i n g i t s d u t i e s a s S e c u r i t i e s D e p o s i t o r y f o r t h e B o n d s ; o r ( i i i ) t h e C o m m i s s i o n h a s d e t e r m i n e d ( w h i c h d e t e r m i n a t i o n i s c o n c l u s i v e a s t o D T C a n d t h e B e n e f i c i a l O w n e r s o f t h e B o n d s ) t h a t t h e i n t e r e s t s o f t h e B e n e f i c i a l O w n e r s o f t h e B o n d s m i g h t b e a d v e r s e l y a f f e c t e d i f s u c h b o o k - e n t r y o n l y O H S W e s t 2 6 0 9 3 5 7 0 9 4 2 3 4 7 8 system of registration and transfer is continued. Upon occurrence of any of the foregoing events, the Commission shall use its best efforts to attempt to locate another qualified Securities Depository. If the Commission fails to locate another qualified Securities Depository to replace DTC, the Commission shall cause to be authenticated and delivered replacement Bonds, in certificate form, to the Beneficial Owners of the Bonds. In the event that the Commission makes the determination noted in (ii) or (iii) above (provided that the Commission undertakes no obligation to make any investigation to determine the occurrence of any events that would permit the Commission to make any such determination), and has made provisions to notify the Beneficial Owners of Bonds of such determination by mailing an appropriate notice to DTC and its Nominee, the Commission shall cause to be issued replacement Bonds in certificate form to Beneficial Owners of the Bonds as shown on the records of DTC provided to the Commission. Whenever, during the term of the Bonds, the Beneficial Ownership thereof is determined by book -entry at DTC, (i) the requirements in this Indenture of holding, delivering or transferring Bonds shall be deemed modified to require the appropriate person or entity to meet the requirements of DTC as to registering or transferring the book entry to produce the same effect and (ii) delivery of the Bonds and notices to Bondholders will be in accordance with arrangements among the Commission, the Trustee and DTC notwithstanding any provision of this Indenture to the contrary. The Trustee and the Commission, acting by and through an Authorized Representative, are authorized to enter into a letter of representations with DTC to implement the book -entry only system of Bond registration described above and all payments of principal, Purchase Price, interest and premium, if any, shall be made in accordance with the letter of representations with DTC. If at any time, DTC ceases to hold the Bonds in book -entry form, all references herein to DTC shall be of no further force or effect. ARTICLE III ADDITIONAL BONDS, PARITY OBLIGATIONS, AND SUBORDINATED OBLIGATIONS Section 3.01 Restrictions on Issuance of Additional Bonds and Parity Obligations. Subsequent to the initial issuance of Bonds pursuant to this Indenture, additional Bonds or Parity Obligations may be issued if the requirements of (a) or (b) below are met. (a) the Bonds or Parity Obligations are issued for refunding purposes to provide funds for the payment of any or all of the following: (1) The principal or redemption price of the Outstanding 'Bonds or Parity Obligations to be refunded; (2) All expenses incident to the calling, retiring or paying of such Outstanding Bonds or Parity Obligations, the Costs of Issuance of such refunding Bonds or Parity Obligations, and any termination payments or other payments to the holders of obligations of the Commission entered into pursuant to California Government Code OHS West260935709.4 24 479 Section 5922 (or any similar statute) related to such Outstanding Bonds or Parity Obligations; (3) Interest on all Outstanding Bonds or Parity Obligations to be refunded to the date such Bonds or Parity Obligations or will be called for redemption or paid at maturity; and (4) Interest on the refunding Bonds or Parity Obligations from the date thereof to the date of payment or redemption of the Bonds or Parity Obligations or to be refunded. (b) an Authorized Representative determines and certifies, as of the date of issuance of the additional Bonds or Parity Obligations, that either: (1) the ratio of (A) Net Revenue for the most recent Fiscal Year for which audited financial statements are available to (B) Maximum Annual Debt Service, calculated as of the date of sale of, and including, such Bonds or Parity Obligations, will not be less than [1.10:1]; or (2) the ratio of (A) projected Net Revenue for each of [three] consecutive Fiscal Years (beginning with the current Fiscal Year or the Fiscal Year after the current Fiscal Year) to (B) Debt Service, calculated as of the date of sale of, and including, such Bonds or Parity Obligations, for each such Fiscal Year, will not be less than [1.10:1], and of (X) projected Net Revenue for the [third] such consecutive Fiscal Year to (Y) Maximum Annual Debt Service, calculated as of the date of sale of, and including, such Bonds or Parity Obligations, will not be less than [1.10:1]. In calculating projected Net Revenue, the Commission shall take into account amounts projected to be received from any adopted toll increase or increases and any additional toll facilities to be constructed on the Toll Road. Section 3.02 Proceedings for Issuance of Additional Bonds and Parity Obligations. Whenever the Commission determines to issue Bonds or Parity Obligations subsequent to the initial issuance of Bonds pursuant to this Indenture and all Supplemental Indentures executed as of the same date, the Commission shall, in addition to fulfilling the requirements of Article II, file with or provide to the Trustee: (a) a certificate of the Commission stating that no Event of Default specified in Section 7.01 has occurred and is then continuing; (b) a certificate of the Commission stating that the applicable requirements of Section 3.01 have been satisfied; (c) such amount, in cash or in the form of a Reserve Facility, as shall equal the Reserve Requirement, if any, for such Series of Bonds for deposit in the Reserve Fund; and (d) an Opinion of Bond Counsel to the effect that the Supplemental Indenture creating such Series of Bonds has been executed and delivered by the Commission in accordance with this Indenture and that such Series of Bonds, when duly executed by the Commission and OHS Wes1:260935709.4 25 480 authenticated and delivered by the Trustee, will be valid and binding obligations of the Commission. Section 3.03 Subordinated Obligations; TIFIA Loans. Except to the extent restricted by a Supplemental Indenture, the Commission may issue or incur obligations payable out of Revenue on a basis junior and subordinate to the payment of the principal, interest and reserve fund requirements for the Bonds and any Parity Obligations including TIFIA loan agreements with the United States Department of Transportation that to the extent required by federal law may contain provisions providing for a lien on Revenue on a parity with the Bonds and Parity Obligations in the event of bankruptcy, insolvency or liquidation of the Commission. ARTICLE IV REDEMPTION AND TENDER Section 4.01 Redemption, Tender and Purchase of Bonds. Each Series of Bonds may be made subject to mandatory or optional redemption or mandatory or optional tender and purchase prior to their respective stated maturities, as a whole or in part, at such time or times, upon such terms and conditions, at such prices, upon such notice and with such effect as may be provided in the Supplemental Indenture creating such Series of Bonds. Section 4.02 Notice of Redemption. Unless otherwise specified in a Supplemental Indenture creating a Series of Bonds, each notice of redemption shall be mailed by the Trustee, not less than twenty (20) nor more than sixty (60) days prior to the redemption date, to each Owner and to the MSRB. Notice of redemption to the Owners shall be given by first class mail. Each notice of redemption shall state the date of such notice, the date of issue of the Series of Bonds to which such notice relates, the redemption date, the redemption price, the place or places of redemption (including the name and appropriate address or addresses of the Trustee), the CUSIP number (if any) of the maturity or maturities, and, in the case of a Series of Bonds to be redeemed in part only, the identity of the Bonds to be redeemed. Each such notice shall also state that on said date there will become due and payable on each of said Bonds the redemption price thereof, together with interest accrued thereon to the date fixed for redemption, and that from and after such redemption date interest thereon shall cease to accrue, and shall require that such Bonds be then surrendered at the address or addresses of the Trustee specified in the redemption notice. Neither the Commission nor the Trustee shall have any responsibility for any defect in the CUSIP number that appears on any Bond or in any redemption notice with respect thereto, and any such redemption notice may contain a statement to the effect that CUSIP numbers have been assigned by an independent service for convenience of reference and that neither the Commission nor the Trustee shall be liable for any inaccuracy in such numbers. Failure of any Owner to receive any notice of redemption or any defect.therein,shall niat affect the sufficiency of any proceedings for redemption. Section 4.03 Conditional Notice of Redemption; Rescission. Any notice of optional redemption of the Bonds delivered in accordance with Section 4.02 may be conditional, and if any condition stated in the notice of redemption shall not have been satisfied on or prior to the redemption date, said notice shall be of no force and effect and the Commission shall not be required to redeem the Bonds thereby called for redemption, and the redemption shall be OHS West:260935709.4 26 • 481 " " " c a n c e l l e d a n d t h e T r u s t e e s h a l l w i t h i n a r e a s o n a b l e t i m e t h e r e a f t e r g i v e n o t i c e , t o t h e p e r s o n s a n d i n t h e m a n n e r i n w h i c h t h e n o t i c e o f r e d e m p t i o n w a s g i v e n , t h a t s u c h c o n d i t i o n o r c o n d i t i o n s w e r e n o t m e t a n d t h a t t h e r e d e m p t i o n w a s c a n c e l l e d . I n a d d i t i o n , t h e C o m m i s s i o n m a y , a t i t s o p t i o n , o n o r p r i o r t o t h e d a t e f i x e d f o r o p t i o n a l r e d e m p t i o n i n a n y n o t i c e o f r e d e m p t i o n o f t h e B o n d s , r e s c i n d a n d c a n c e l s u c h n o t i c e o f r e d e m p t i o n b y W r i t t e n R e q u e s t o f t h e C o m m i s s i o n t o t h e T r u s t e e , a n d a n y o p t i o n a l r e d e m p t i o n o f B o n d s a n d n o t i c e t h e r e o f s h a l l b e r e s c i n d e d a n d c a n c e l l e d a n d t h e T r u s t e e s h a l l m a i l n o t i c e o f s u c h c a n c e l l a t i o n t o t h e r e c i p i e n t s o f t h e n o t i c e o f r e d e m p t i o n b e i n g c a n c e l l e d p u r s u a n t t o t h e p r o v i s i o n s o f S e c t i o n 4 . 0 2 . A n y o p t i o n a l r e d e m p t i o n o f B o n d s a n d n o t i c e t h e r e o f s h a l l b e r e s c i n d e d a n d c a n c e l l e d i f f o r a n y r e a s o n o n t h e d a t e f i x e d f o r o p t i o n a l r e d e m p t i o n m o n e y s a r e n o t a v a i l a b l e i n t h e R e d e m p t i o n F u n d o r o t h e r w i s e h e l d i n t r u s t f o r s u c h p u r p o s e i n a n a m o u n t s u f f i c i e n t t o p a y i n f u l l o n s a i d d a t e t h e p r i n c i p a l o f , i n t e r e s t , a n d a n y p r e m i u m d u e o n t h e B o n d s c a l l e d f o r o p t i o n a l r e d e m p t i o n a n d s u c h f a i l u r e t o o p t i o n a l l y r e d e e m t h e B o n d s c a l l e d f o r r e d e m p t i o n s h a l l n o t b e a d e f a u l t h e r e u n d e r . S e c t i o n 4 . 0 4 E f f e c t o f R e d e m p t i o n . N o t i c e o f r e d e m p t i o n h a v i n g b e e n d u l y g i v e n a s a f o r e s a i d o r a s o t h e r w i s e p r o v i d e d i n a S u p p l e m e n t a l I n d e n t u r e , a n d m o n e y s f o r p a y m e n t o f t h e r e d e m p t i o n p r i c e o f , t o g e t h e r w i t h i n t e r e s t a c c r u e d t o t h e r e d e m p t i o n d a t e o n , t h e B o n d s ( o r p o r t i o n s t h e r e o f ) s o c a l l e d f o r r e d e m p t i o n b e i n g h e l d b y t h e T r u s t e e , o n t h e r e d e m p t i o n d a t e d e s i g n a t e d i n s u c h n o t i c e , t h e B o n d s ( o r p o r t i o n s t h e r e o f ) s o c a l l e d f o r r e d e m p t i o n s h a l l b e c o m e d u e a n d p a y a b l e a t t h e r e d e m p t i o n p r i c e s p e c i f i e d i n t h e I n d e n t u r e , t o g e t h e r w i t h i n t e r e s t a c c r u e d t h e r e o n t o t h e d a t e f i x e d f o r r e d e m p t i o n , i n t e r e s t o n t h e B o n d s s o c a l l e d f o r r e d e m p t i o n s h a l l c e a s e t o a c c r u e , s a i d B o n d s ( o r p o r t i o n s t h e r e o f ) s h a l l c e a s e t o b e e n t i t l e d t o a n y b e n e f i t o r s e c u r i t y u n d e r t h i s I n d e n t u r e , a n d t h e O w n e r s o f s a i d B o n d s s h a l l h a v e n o r i g h t s i n r e s p e c t t h e r e o f e x c e p t t o r e c e i v e p a y m e n t o f s a i d r e d e m p t i o n p r i c e a n d a c c r u e d i n t e r e s t t o t h e d a t e f i x e d f o r r e d e m p t i o n . S e c t i o n 4 . 0 5 P a r t i a l R e d e m p t i o n o f B o n d s . U p o n s u r r e n d e r o f a n y B o n d t o b e r e d e e m e d i n p a r t o n l y , t h e C o m m i s s i o n s h a l l e x e c u t e , a n d t h e T r u s t e e s h a l l a u t h e n t i c a t e a n d d e l i v e r t o t h e O w n e r o f s u c h B o n d , a t t h e e x p e n s e o f t h e C o m m i s s i o n , a n e w B o n d o r B o n d s o f A u t h o r i z e d D e n o m i n a t i o n s e q u a l i n a g g r e g a t e p r i n c i p a l a m o u n t t o t h e u n r e d e e m e d p o r t i o n o f t h e B o n d s u r r e n d e r e d , o f t h e s a m e S e r i e s , m a t u r i t y a n d t e r n s a s t h e s u r r e n d e r e d B o n d . A R T I C L E V P L E D G E ; F U N D S A N D A C C O U N T S S e c t i o n 5 . 0 1 P l e d g e o f R e v e n u e . T o l l R e v e n u e F u n d . ( a ) T h e r e a r e h e r e b y p l e d g e d t o s e c u r e t h e p u n c t u a l p a y m e n t o f t h e p r i n c i p a l o f a n d i n t e r e s t o n t h e B o n d s , P a r i t y O b l i g a t i o n s a n d R e s e r v e F a c i l i t y C o s t s , a l l R e v e n u e a n d a l l a m o u n t s ( i n c l u d i n g t h e p r o c e e d s o f B o n d s ) h e l d b y t h e T r u s t e e i n e a c h f u n d a n d a c c o u n t e s t a b l i s h e d u n d e r t h i s I n d e n t u r e ( e x c e p t f o r a m o u n t s o n d e p o s i t i n t h e R e b a t e F u n d a n d a m o u n t s o n d e p o s i t i n a n y f u n d o r a c c o u n t e s t a b l i s h e d t o h o l d t h e p r o c e e d s o f a d r a w i n g o n a n y C r e d i t S u p p o r t I n s t r u m e n t ) , s u b j e c t o n l y t o t h e p r o v i s i o n s o f t h i s I n d e n t u r e p e r m i t t i n g t h e a p p l i c a t i o n t h e r e o f f o r t h e p u r p o s e s a n d o n t h e t e r m s a n d c o n d i t i o n s s e t f o r t h h e r e i n . S a i d p l e d g e s h a l l c o n s t i t u t e a l i e n o n s u c h a m o u n t s , s h a l l b e v a l i d a n d b i n d i n g w i t h o u t a n y p h y s i c a l d e l i v e r y o r f u r t h e r a c t a n d s h a l l b e i r r e v o c a b l e u n t i l a l l B o n d s , P a r i t y O b l i g a t i o n s a n d R e s e r v e F a c i l i t y C o s t s O H S W e s t 2 6 0 9 3 5 7 0 9 . 4 2 7 4 8 2 are no longer Outstanding. The pledge to secure payment of Reserve Facility Costs set forth in this Section 5.01 is on a basis subordinate to the pledge of such amounts to the Trustee for payment of the Bonds and Parity Obligations. (b) All Bonds and Parity Obligations shall be of equal rank without preference, priority or distinction of any Bonds and Parity Obligations over any other Bonds and Parity Obligations. The Bonds and Parity Obligations are special obligations of the Commission and are payable as to both principal and interest, and any premium upon redemption thereof, exclusively from Revenue and other funds pledged hereunder. (c) As long as any Bonds are Outstanding or any Parity Obligations remain unpaid, the Commission hereby assigns and shall cause Toll Revenues to be transmitted by the Toll Operator on a monthly basis after payment of operating expenses directly to the Commission. The Commission shall forthwith deposit in a trust fund, designated as the "Toll Revenue Fund," which fund the Commission shall establish and maintain, all Toll Revenues, when and as received by the Commission. Investment income on amounts held by the Commission in the Toll Revenue Fund, shall also be deposited in the Toll Revenue Fund. All moneys at any time held in the Toll Revenue Fund shall be held in trust for the benefit of the Holders of the Bonds and the holders of Parity Obligations and shall be disbursed, allocated and applied solely for the uses and purposes set forth in this Indenture. (d) The Commission shall withdraw from the Toll Revenue Fund such amounts as it shall from time to time determine necessary (i) to pay the Operation and Maintenance Expenses that are then due and payable, and (ii) to pay the Operation and Maintenance Expenses that the Commission expects to become due and payable in the next succeeding calendar month. Amounts so withdrawn from the Revenue Fund shall be applied to the payment of Operation and Maintenance Expenses. Section 5.02 Establishment and Application of the Bond Fund. Not less than three (3) Business Days prior to each date when the Commission shall be required to pay principal or interest on Bonds or amounts due on Parity Obligations, the Commission shall transfer to the Trustee from the Toll Revenue Fund for deposit in the Bond Fund such amount of Revenue as shall be required to increase the balance of the Bond Fund to an amount sufficient to pay all Bonds and Parity Obligations then due and payable and such amount as shall be required by Section 5.03 to replenish the Reserve Fund for any Bonds and to pay Reserve Facility Costs then due and payable. To the extent the interest rate on the Bonds or Parity Obligations has not yet been determined, the Tnistee shall assume such rate to be twelve percent (12%) per annum or such other rate as the Commission shall specify to the Trustee in writing at the time of such transfer. All Revenue so received by the Trustee shall be deposited by the Trustee in a special fund designated as the "Bond Fund," which the Trustee shall establish, maintain and hold in trust. All Subsidy Payments with respect to Bonds received by the Trustee shall be deposited in the Bond Fund pursuant to Section 5.08 hereof. All amounts held in the Bond Fund shall be held, applied, used and withdrawn only as provided in this Indenture or in the Written Instruction. On or before each date when principal and interest on the Bonds and amounts due on Parity Obligations shall be due and payable, the Trustee shall transfer from the Bond Fund and OHS West:260935709A 28 • • • 483 " " d e p o s i t ( o r t r a n s f e r a s a p p r o p r i a t e t o t h e h o l d e r o r t r u s t e e o f s u c h P a r i t y O b l i g a t i o n s t h e a m o u n t s t h e n d u e t h e r e o n ) i n t o t h e f o l l o w i n g r e s p e c t i v e a c c o u n t s ( e a c h o f w h i c h t h e T r u s t e e s h a l l e s t a b l i s h a n d m a i n t a i n w i t h i n t h e B o n d F u n d ) , i n t h e f o l l o w i n g o r d e r o f p r i o r i t y , t h e r e q u i r e m e n t s o f e a c h s u c h a c c o u n t ( i n c l u d i n g t h e m a k i n g u p o f a n y d e f i c i e n c i e s i n a n y s u c h . a c c o u n t r e s u l t i n g f r o m l a c k o f R e v e n u e s u f f i c i e n t t o m a k e a n y e a r l i e r r e q u i r e d d e p o s i t ) a t t h e t i m e o f d e p o s i t t o b e s a t i s f i e d b e f o r e a n y t r a n s f e r i s m a d e t o a n y a c c o u n t s u b s e q u e n t i n p r i o r i t y . I n v e s t m e n t i n c o m e o n a l l a m o u n t s h e l d b y t h e T r u s t e e h e r e u n d e r ( e x c l u d i n g a m o u n t s h e l d i n t h e R e b a t e F u n d a n d a n y f u n d o r a c c o u n t e s t a b l i s h e d t o h o l d t h e p r o c e e d s o f a d r a w i n g o n a n y C r e d i t S u p p o r t I n s t r u m e n t , o r f o r w h i c h p a r t i c u l a r i n s t r u c t i o n s , s u c h a s w i t h r e s p e c t t o a P r o j e c t F u n d o r a P u r c h a s e F u n d , a r e p r o v i d e d i n a S u p p l e m e n t a l I n d e n t u r e ) , s h a l l a l s o b e d e p o s i t e d i n t h e B o n d F u n d . ( a ) I n t e r e s t A c c o u n t . T h e T r u s t e e s h a l l s e t a s i d e i n t h e I n t e r e s t A c c o u n t i n t h e m a n n e r a n d a t t h e t i m e s s p e c i f i e d b y S u p p l e m e n t a l I n d e n t u r e a m o u n t s s u f f i c i e n t t o p a y t h e i n t e r e s t o n B o n d s a n d a m o u n t s d u e o n P a r i t y O b l i g a t i o n s a s a n d w h e n d u e . E x c e p t a s o t h e r w i s e p r o v i d e d i n t h i s S e c t i o n 5 . 0 2 ( a ) , m o n e y s i n t h e I n t e r e s t A c c o u n t s h a l l b e u s e d a n d w i t h d r a w n b y t h e T r u s t e e s o l e l y f o r t h e p u r p o s e o f p a y i n g i n t e r e s t o n t h e B o n d s a n d a m o u n t s d u e o n P a r i t y O b l i g a t i o n s a s s u c h i n t e r e s t a n d o t h e r a m o u n t s s h a l l b e c o m e d u e a n d p a y a b l e , p r o v i d e d t h a t m o n e y s i n a n y s e p a r a t e a c c o u n t e s t a b l i s h e d t o p a y i n t e r e s t o n a S e r i e s o f B o n d s s h a l l b e u s e d a n d w i t h d r a w n s o l e l y t o p a y i n t e r e s t o n s u c h B o n d s a s a n d w h e n d u e . ( b ) P r i n c i p a l A c c o u n t . T h e T r u s t e e s h a l l s e t a s i d e i n t h e P r i n c i p a l A c c o u n t i n t h e m a n n e r a n d a t t h e t i m e s s p e c i f i e d b y S u p p l e m e n t a l I n d e n t u r e a m o u n t s s u f f i c i e n t t o p a y t h e p r i n c i p a l o f B o n d s ( i n c l u d i n g a n y s i n k i n g f u n d p a y m e n t s ) a s a n d w h e n d u e ( w h e t h e r a t m a t u r i t y o r u p o n r e d e m p t i o n o r o n a c c o u n t o f s i n k i n g f u n d r e q u i r e m e n t s ) . E x c e p t a s o t h e r w i s e p r o v i d e d i n t h i s S e c t i o n 5 . 0 2 ( b ) , m o n e y s i n t h e P r i n c i p a l A c c o u n t s h a l l b e u s e d a n d w i t h d r a w n b y t h e T r u s t e e s o l e l y f o r t h e p u r p o s e o f p a y i n g p r i n c i p a l o f t h e B o n d s ( i n c l u d i n g a n y s i n k i n g f u n d p a y m e n t s ) a s a n d w h e n d u e , p r o v i d e d t h a t m o n e y s i n a n y s e p a r a t e a c c o u n t e s t a b l i s h e d t o p a y p r i n c i p a l o n a S e r i e s o f B o n d s s h a l l b e u s e d a n d w i t h d r a w n s o l e l y t o p a y p r i n c i p a l o f s u c h B o n d s a s a n d w h e n d u e . A n y m o n e y s r e m a i n i n g i n t h e B o n d F u n d a f t e r t h e f o r e g o i n g t r a n s f e r s s h a l l b e t r a n s f e r r e d t o t h e R e s e r v e F u n d u n t i l t h e a m o u n t o n d e p o s i t i n t h e R e s e r v e F u n d i s e q u a l t o t h e R e s e r v e R e q u i r e m e n t f o r a l l B o n d s t h a t h a v e a R e s e r v e R e q u i r e m e n t a n d a l l R e s e r v e F a c i l i t y C o s t s s h a l l h a v e b e e n p a i d a n d , i f a m o u n t s r e m a i n o n d e p o s i t i n t h e B o n d F u n d a f t e r a l l s u c h t r a n s f e r s a r e m a d e , s u c h a m o u n t s s h a l l b e t r a n s f e r r e d t o o r u p o n t h e o r d e r o f t h e C o m m i s s i o n . I f s u c h a m o u n t s a r e n o t s u f f i c i e n t t o f u l f i l l t h e R e s e r v e R e q u i r e m e n t f o r e a c h R e s e r v e A c c o u n t w i t h i n t h e R e s e r v e F u n d , s u c h m o n e y s t r a n s f e r r e d t o t h e R e s e r v e F u n d s h a l l b e a l l o c a t e d r a t a b l y a m o n g e a c h R e s e r v e A c c o u n t i n p r o p o r t i o n t o t h e t h e n - c u r r e n t d e f i c i e n c y t h e r e i n . S e c t i o n 5 . 0 3 E s t a b l i s h m e n t , F u n d i n g a n d A p p l i c a t i o n o f t h e R e s e r v e F u n d . T h e T r u s t e e s h a l l e s t a b l i s h , m a i n t a i n a n d h o l d i n t r u s t a s e p a r a t e f u n d d e s i g n a t e d a s t h e " R e s e r v e F u n d . " O n t h e d a t e o f i s s u a n c e o f a n y S e r i e s o f B o n d s t h a t h a s a R e s e r v e R e q u i r e m e n t , t h e R e s e r v e R e q u i r e m e n t f o r t h o s e B o n d s s h a l l b e d e p o s i t e d i n t h e R e s e r v e F u n d i n a n a c c o u n t s o l e l y f o r t h e b e n e f i t o f t h o s e B o n d s . A l t e r n a t i v e l y , t h e S u p p l e m e n t a l I n d e n t u r e f o r a n y S e r i e s o f B o n d s m a y e s t a b l i s h a p o o l e d R e s e r v e R e q u i r e m e n t f o r t h a t S e r i e s o f B o n d s a n d a n y o n e o r m o r e s u b s e q u e n t l y i s s u e d S e r i e s o f B o n d s w i t h t h e s a m e p o o l e d R e s e r v e R e q u i r e m e n t , i n w h i c h O H S W e s t 2 6 0 9 3 5 7 0 9 . 4 2 9 4 8 4 case the Reserve Requirement for the initial such Series of Bonds shall be deposited in the Reserve Fund in an account solely for the benefit of those Bonds and any additional Bonds with the same pooled Reserve Requirement, and on the date of issuance of any such additional Bonds, there shall be deposited in the account the amount necessary to increase the balance in the - account to an amount equal to the Reserve Requirement for all Bonds secured by that account. Moneys in an account in the Reserve Fund shall be used and withdrawn by the Trustee solely for the purposes of paying principal of and interest on the Bonds for which such account is held when such principal and interest are due if insufficient moneys for the payment thereof are on deposit in the Principal Account and the Interest Account or (together with any other moneys available therefor) for the payment of principal and interest on all such Bonds then Outstanding when due whether upon maturity or earlier redemption or, for the payment of the final principal and interest payment of all such Bonds that are Outstanding. In the event that the Trustee shall have withdrawn moneys in an account in the Reserve Fund for the purpose of paying principal and interest on Bonds when due as provided in the immediately preceding paragraph, the Trustee shall promptly notify the Commission of such withdrawal. Upon receipt of such notification, the Commission shall, on or prior to the first Business Day of each month, commencing the month after such notification is received from the Trustee by the Commission, transfer to the Trustee, pursuant to Section 5.02, for deposit in that depleted account in the Reserve Fund, an amount equal to one -twelfth (I/12th) of the aggregate initial amount of each unreplenished withdrawal until the amount on deposit in that account in the Reserve Fund is equal to the Reserve Requirement for the Bonds secured by that account. Upon receipt of any notification from the Trustee of a deficiency in the Reserve Fund due to any required valuation of investments in the Reserve Fund provided by the Trustee pursuant to Section 5.07, the Commission shall, on or prior to the first Business Day of each month, commencing the month after such notification is received from the Trustee by the Commission, transfer to the Trustee, pursuant to Section 5.02, for deposit in the Reserve Fund, an amount equal to one -twelfth (1/12th) of the aggregate amount of such deficiency until the amount on deposit in the Reserve Fund is equal to the Reserve Requirement for all Bonds secured by the Reserve Fund. The Reserve Requirement for any Series of Bonds may be permitted or required by the Supplemental Indenture establishing the Reserve Requirement to be funded in whole or in part with a Reserve Facility. The terms and conditions for any Reserve Facility shall be set forth in the Reserve Facility or the Supplemental Indenture establishing the Reserve Requirement to be met in whole or in part by the Reserve Facility, provided that those terms and conditions shall conform to and be consistent with the provisions set forth in this Section 5.03. The Trustee shall withdraw cash (and liquidate investments to produce cash) and draw on Reserve Facilities in any account in the Reserve Fund to fund payments of principal of and interest on Bonds supported by such account in the Reserve Fund in the manner and in the order specified in the applicable Supplemental Indenture or Supplemental Indentures. This Indenture shall not be discharged until all Reserve Facility Costs owing to a Reserve Facility Provider shall have been paid in full. OHS West2609357094 30 • • 485 Section 5.04 Establishment and Application of the Rebate Fund. Upon the Written Request of the Commission, the Trustee shall establish, maintain and hold in trust a separate fund designated as the "Rebate Fund," and there shall be deposited in the Rebate Fund such amounts as are required to be deposited therein pursuant to each Tax Certificate and the. Code. All money at any time deposited in the Rebate Fund shall be held by the Trustee to satisfy the Rebate Requirement (as defined in the Tax Certificate) for payment to the United States of America. The Trustee shall have no responsibility with respect to the Rebate Fund or the Rebate Requirement except to follow the written instructions of the Commission. Section 5.05 Establishment and Application of the Redemption Fund. The Trustee shall establish, maintain and hold in trust a special fund designated as the "Redemption Fund." All moneys deposited by the Commission with the Trustee for the purpose of redeeming Bonds of any Series shall, unless otherwise provided in the Supplemental Indenture establishing the terms and conditions for such Series of Bonds, be deposited in the Redemption Fund. All amounts deposited in the Redemption Fund shall be used and withdrawn by the Trustee solely for the purpose of redeeming Bonds of such Series and maturity as shall be specified by the Commission in a Written Request of the Commission delivered to the Trustee, in the manner, at the times and upon the terms and conditions specified in the Supplemental Indenture pursuant to which such Series of Bonds was issued. Such Written Request of the Commission may specify that amounts on deposit in the Redemption Fund that remain unclaimed for a specified period of time shall be paid to the Commission, and the Trustee shall pay such unclaimed amounts to the Commission in accordance with the Written Request of the Commission. Section 5.06 Records. The Trustee shall cause to be kept and maintained records pertaining to each fund and account held by it and all disbursements therefrom and shall deliver monthly to the Commission statements of activity with respect to such funds and accounts, provided that the Trustee shall not be obligated to report as to any fund or account that (a) has a balance of zero and (b) has not had any activity since the last reporting date. Section 5.07 Investment by Trustee. Moneys held by the Trustee in the funds and accounts created hereunder shall be invested and reinvested in Permitted Investments in accordance with the written instructions of an Authorized Representative. Unless otherwise specified in the Supplemental Indenture creating a Series of Bonds, all Permitted Investments shall be held by or under the control of the Trustee and shall be deemed at all times to be a part of the fund or account that was used to purchase the Permitted Investment. Unless otherwise provided by a Written Request of the Commission or in a Supplemental Indenture, all interest, profits and other income received from the investment of moneys in any fund or account held by the Trustee, other than the Rebate Fund or each Project Fund, shall be transferred to the Bond Fund when received. All interest, profits and other,income received from the investment of moneys in the Rebate Fund shall be deposited in the Rebate Fund. Unless otherwise provided in a Supplemental Indenture establishing a Project Fund, all interest, profits and other income received from the investment of moneys in a Project Fund shall be deposited in such Project Fund. Notwithstanding anything to the contrary contained in this paragraph, an amount of interest received with respect to any Permitted investment equal to the amount of accrued interest, if any, paid as part of the purchase price of such Permitted Investment shall be credited to the fund or account from which such accrued interest was paid. OHS West2609357094 31 486 The Trustee is authorized to cause to be sold or redeemed and reduced to cash a sufficient amount of Permitted Investments whenever the cash balance in any fund or account is or will be insufficient to make any required disbursement. The Trustee shall not be responsible for any depreciation in the value of any Permitted Investment or for any loss resulting from such sale or redemption. Absent a Written Request of the Commission instructing the Trustee how to invest the cash balance in a fund or account held by the Trustee hereunder, the Trustee shall hold such cash balances uninvested pending its receipt of such a Written Request of the Commission. All Permitted Investments credited to the Reserve Fund shall be valued as of April 1 of each year (or the next succeeding Business Day if such day is not a Business Day). All Permitted Investments credited to the Reserve Fund shall be valued at their fair market value determined to the extent practical by reference to the closing bid price thereof published in The Wall Street Journal or any other financial publication or generally recognized pricing information service selected by the Trustee in its discretion. The Trustee may use and rely conclusively and without liability upon any generally recognized pricing information service (including brokers and dealers in securities) available to it. The Commission acknowledges that regulations of the Comptroller of the Currency grant the Commission the right to receive brokerage confirmations of the security transactions as they occur, at no additional cost. To the extent permitted by law, the Commission specifically waives compliance with 12 C.F.R. 12 and hereby notifies the Trustee that no brokerage confirmations need be sent relating to the security transactions as they occur. The Trustee or its affiliates may act as sponsor, advisor, principal or agent in the acquisition or disposition of any investment with the prior written approval of an Authorized Representative. The Trustee may commingle any of the moneys held by it pursuant to this Indenture (except for amounts on deposit in the Rebate Fund and amounts on deposit in any fund or account established to hold the proceeds of a drawing on any Credit Support Instrument) for investment purposes only; provided, however, that the Trustee shall account separately for the moneys belonging to each fund or account established pursuant to this Indenture and held by it. Section 5.08 Subsidy Payments. The Commission irrevocably directs that all Subsidy Payments with respect to Bonds be made directly to the Trustee for deposit in the Bond Fund pursuant to this Indenture. Any such Subsidy Payments received by the Commission shall be promptly remitted to the Trustee. The Trustee shall deposit all such Subsidy Payments to the Bond Fund upon receipt thereof. The Trustee shall file such forms with the Internal Revenue Service and take all other such actions as the Commission has notified it in writing may be necessary to request and receive such Subsidy Payments on the Commission's behalf, and the Trustee shall have no responsibility therefor other than following the Commission's written instructions. ARTICLE VI COVENANTS OF THE COMMISSION Section 6.01 Punctual Payment and Performance. The Commission will punctually pay the principal of and the interest on (and redemption premiums, if any) to become OHS West :260935709.4 32 • • 487 " d u e o n t h e B o n d s i n s t r i c t c o n f o r m i t y w i t h t h e t e r m s o f t h e A c t , t h e I n d e n t u r e a n d t h e B o n d s , a n d w i l l f a i t h f u l l y o b s e r v e a n d p e r f o r m a l l o f t h e a g r e e m e n t s a n d c o v e n a n t s c o n t a i n e d i n t h e I n d e n t u r e a n d t h e B o n d s . S e c t i o n 6 . 0 2 A g a i n s t E n c u m b r a n c e s . T h e C o m m i s s i o n w i l l n o t c r e a t e o r c a u s e o r p e r m i t t o b e c r e a t e d a n y p l e d g e , l i e n , c h a r g e o r e n c u m b r a n c e h a v i n g p r i o r i t y o v e r t h e l i e n o f t h e B o n d s a n d P a r i t y O b l i g a t i o n s u p o n a n y o f t h e R e v e n u e , e x c e p t f o r p l e d g e s , l i e n s , c h a r g e s o r e n c u m b r a n c e s a l r e a d y i n e x i s t e n c e p r i o r t o t h e i s s u a n c e o f B o n d s w i t h r e s p e c t t o a n y a d d i t i o n a l f u n d s w h i c h t h e C o m m i s s i o n , i n a S u p p l e m e n t a l I n d e n t u r e , p l e d g e s , a s s i g n s o r a g r e e s t o c o n t r i b u t e t o t h e p a y m e n t o f a S e r i e s o f B o n d s f r o m t h e f o l l o w i n g s o u r c e s : S a l e s T a x R e v e n u e s , d e v e l o p m e n t i m p a c t f e e s , f e d e r a l g r a n t f u n d s , o r a n y o t h e r s o u r c e s o f r e v e n u e s a v a i l a b l e t o t h e C o m m i s s i o n t h a t m a y b e a p p l i e d t o p a y d e b t s e r v i c e o n s u c h S e r i e s o f B o n d s . T h e C o m m i s s i o n w i l l n o t c r e a t e o r c a u s e o r p e r m i t t o b e c r e a t e d a n y p l e d g e , l i e n , c h a r g e o r e n c u m b r a n c e h a v i n g p a r i t y w i t h t h e l i e n o f t h e B o n d s a n d P a r i t y O b l i g a t i o n s u p o n a n y o f t h e R e v e n u e e x c e p t B o n d s a n d P a r i t y O b l i g a t i o n s . T h e C o m m i s s i o n w i l l n o t c r e a t e o r p e r m i t t o b e c r e a t e d o r i s s u e a n y b o n d s , n o t e s o r o t h e r o b l i g a t i o n s s e c u r e d b y a p l e d g e o f o r c h a r g e o r l i e n u p o n R e v e n u e e x c e p t B o n d s a n d P a r i t y O b l i g a t i o n s , p r o v i d e d t h a t t h e C o m m i s s i o n m a y a t a n y t i m e , o r f r o m t i m e t o t i m e , i s s u e o r i n c u r s u b o r d i n a t e d o b l i g a t i o n s a s p r o v i d e d i n S e c t i o n 3 . 0 3 . S e c t i o n 6 . 0 3 T o l l a n d R e v e n u e C o v e n a n t s . ( a ) T h e C o m m i s s i o n c o v e n a n t s t h a t i t w i l l a t a l l t i m e s e s t a b l i s h a n d m a i n t a i n t o l l s o n t h e T o l l R o a d a t r a t e s p r o j e c t e d b y i t t o g e n e r a t e s u f f i c i e n t R e v e n u e t o p a y , a s a n d w h e n d u e , a m o u n t s d u e o n a l l O u t s t a n d i n g B o n d s a n d P a r i t y O b l i g a t i o n s , O p e r a t i o n a n d M a i n t e n a n c e E x p e n s e s , a n d o t h e r o b l i g a t i o n s o f t h e C o m m i s s i o n , a n d t o o t h e r w i s e c o m p l y w i t h t h e A c t . ( b ) B e g i n n i n g i n t h e t h i r d F i s c a l Y e a r f o l l o w i n g t h e c o m m e n c e m e n t o f t o l l c o l l e c t i o n s b y t h e C o m m i s s i o n f o r u s e t h e T o l l R o a d p u r s u a n t t o t h e C o o p e r a t i v e A g r e e m e n t , t h e C o m m i s s i o n c o v e n a n t s t o : ( i ) c o m p u t e p r o j e c t e d N e t R e v e n u e f o r e a c h F i s c a l Y e a r a n d t h e r a t i o p r o d u c e d b y d i v i d i n g p r o j e c t e d N e t R e v e n u e b y p r o j e c t e d D e b t S e r v i c e f o r t h a t F i s c a l Y e a r ( s u c h r a t i o b e i n g h e r e i n a f t e r r e f e r r e d t o a s t h e " C o v e r a g e R a t i o " ) w i t h i n t e n B u s i n e s s D a y s a f t e r t h e b e g i n n i n g o f t h a t F i s c a l Y e a r ( s u c h d a t e o f c o m p u t a t i o n b e i n g h e r e i n a f t e r r e f e r r e d t o a s a " C o v e r a g e C a l c u l a t i o n D a t e " ) ; ( i i ) t o p r o m p t l y f u r n i s h t o t h e T r u s t e e a C e r t i f i c a t e o f t h e C o m m i s s i o n s e t t i n g f o r t h t h e r e s u l t s o f s u c h c o m p u t a t i o n s ; a n d ( i i i ) i f t h e C o v e r a g e R a t i o i s l e s s t h a n [ 1 : 1 ] , t o t a k e s u c h a c t i o n a s p r o m p t l y a s p r a c t i c a b l e a f t e r t h e C o v e r a g e C a l c u l a t i o n D a t e ( i n c l u d i n g , w i t h o u t l i m i t a t i o n , i n c r e a s i n g T o l l R e v e n u e s t h r o u g h t o l l i n c r e a s e s ) a s t h e C o m m i s s i o n p r o j e c t s i s n e c e s s a r y t o c a u s e t h e p r o j e c t e d C o v e r a g e R a t i o f o r t h a t F i s c a l Y e a r t o e q u a l o r e x c e e d [ I : I J . ( 1 ) W i t h i n 6 0 d a y s a f t e r t h e e n d o f e a c h F i s c a l Y e a r ( b e g i n n i n g w i t h t h e s e c o n d F i s c a l Y e a r f o l l o w i n g t h e c o m m e n c e m e n t o f t o l l c o l l e c t i o n s b y t h e C o m m i s s i o n f o r u s e t h e T o l l R o a d p u r s u a n t t o t h e C o o p e r a t i v e A g r e e m e n t ) , t h e C o m m i s s i o n w i l l f i l e w i t h t h e T r u s t e e a r e p o r t s e t t i n g f o r t h t h e N e t R e v e n u e s f o r s u c h F i s c a l Y e a r . T h e f a i l u r e o f t o l l r a t e s t o y i e l d a n a m o u n t s u f f i c i e n t t o a c h i e v e t h e C o v e r a g e R a t i o d e s c r i b e d i n S e c t i o n 6 . 0 3 ( b ) s h a l l n o t b e d e e m e d t o c o n s t i t u t e a n E v e n t o f D e f a u l t s o l o n g a s t h e C o m m i s s i o n c o m p l i e s w i t h t h e r e q u i r e m e n t s s e t f o r t h b e l o w i n t h i s S e c t i o n 6 . 0 3 ( c ) . I f a n y s u c h r e p o r t i n d i c a t e s t h a t t h e N e t R e v e n u e s f o r s u c h F i s c a l O H S W e s c 2 6 0 9 3 5 7 0 9 . 4 3 3 4 8 8 Year were less than the amount required pursuant to Section 6.03(b), then as soon as practicable after delivering such report to the Trustee, the Commission shall employ a Traffic Consultant to review and analyze the operations of the Toll Road and to submit to the Board, as soon as practicable (but not later than such date as will enable the Board to act upon it within 180 days after the end of the Fiscal Year in question), a written report which shall include the actions that the Traffic Consultant recommends should be taken by the Commission with respect to (i) revising the toll rates, (ii) altering its methods of operation, (iii) increasing Revenues by entering into one or more Supplemental Indentures pledging, assigning or agreeing to contribute to the payment of the Bonds or any Series of Bonds funds from following sources: Sales Tax Revenues, development impact fees, federal grant funds, or any other sources of revenues available to the Commission that may be applied to pay debt service on such Series of Bonds, or (iv) taking other action projected to produce the amount so required in the following twelve month period (or, if less, the maximum amount deemed feasible by the Traffic Consultant and that the Traffic Consultant estimates will not adversely affect the amount of Net Revenues). Promptly upon its receipt of such written report (and, in any case, within 180 days after the end of the Fiscal Year in question), after giving due consideration thereto, the Commission will revise the toll rates, as permitted by law, alter its methods of operation, pledge, assign or agree to contribute additional available funds pursuant to a Supplemental Indenture, or take such other action as it deems appropriate. Such revisions, alterations, additional pledges, assignments, or contribution agreements, or actions need not comply with the recommendations of the Traffic Consultant so long as Net Revenues projected by the Traffic Consultant to be produced by the revisions, alterations or actions then taken by the Commission are at least equal to the amount required hereinabove. The Trustee shall have no responsibility to review any written report received pursuant to this Section 6.03(c). (c) The Commission further covenants that such toll rates for traffic using the Toll Road will be established and maintained in a reasonable way to cover all traffic (other than vehicles used for maintaining the Toll Road; police, fire, and other public emergency vehicles; buses owned and operated by any public agency; vehicles with two or more passengers; vehicles which are otherwise exempt from payment of tolls under State or federal law; and any vehicles during a public emergency declared by the Commission) consistent with the requirements hereof, but with such classifications as the Commission may deem appropriate. (d) Notwithstanding any provision to the contrary, nothing in this Section 6.03 shall be deemed to require the Commission to collect tolls and other fees with respect to which the Commission has determined, based upon a report from a Traffic Consultant, that the costs of collection would exceed the amount of tolls and other fees expected to be collected; and provided further that nothing contained in this Section 6.03 shall prevent the Commission from temporarily reducing or eliminating tolls and other fees in connection with programs which it intends to use to increase Net Revenues. Section 6.04 Annual Budget. The Commission covenants that, for each Fiscal Year, it will take such actions as may be required of it to prepare and adopt an annual budget in accordance with applicable law, including the Act and the Toll Agreements. OHS West260935709.4 34 • 489 " " " S e c t i o n 6 . 0 5 O p e r a t i o n a n d M a i n t e n a n c e o f t h e T o l l R o a d . T h e C o m m i s s i o n c o v e n a n t s a n d a g r e e s t h a t i t h a s t a k e n , a n d , s o l o n g a s a n y B o n d s a r e O u t s t a n d i n g , t h a t i t w i l l t a k e , a l l s t e p s n e c e s s a r y t o e n s u r e t h a t i t w i l l c o n t i n u e t o h a v e l a w f u l r i g h t a n d l a w f u l p o w e r t o o p e r a t e a n d m a i n t a i n t h e T o l l R o a d a s a r e v e n u e - p r o d u c i n g f a c i l i t y c o n s i s t e n t w i t h i t s o b l i g a t i o n s u n d e r t h e A c t a n d t h e T o l l A g r e e m e n t s . T h e C o m m i s s i o n c o v e n a n t s a n d a g r e e s t o a t a l l t i m e s o p e r a t e t h e T o l l R o a d i n a c c o r d a n c e w i t h t h e r e q u i r e m e n t s o f t h e A c t a n d t h e T o l l A g r e e m e n t s . T h e C o m m i s s i o n f u r t h e r c o v e n a n t s a n d a g r e e s t h a t i t w i l l p a y a l l O p e r a t i o n a n d M a i n t e n a n c e E x p e n s e s i n a c c o r d a n c e w i t h c u s t o m a r y b u s i n e s s p r a c t i c e s . S e c t i o n 6 . 0 6 R e t e n t i o n o f A s s e t s . S u b j e c t t o t h e p r o v i s i o n s o f t h e A c t a n d t h e T o l l A g r e e m e n t s , t h e C o m m i s s i o n c o v e n a n t s n o t t o d i s p o s e o f a s s e t s n e c e s s a r y t o o p e r a t e t h e T o l l R o a d i n t h e m a n n e r a n d a t t h e l e v e l s o f a c t i v i t y r e q u i r e d t o e n a b l e i t t o p e r f o r m i t s c o v e n a n t s c o n t a i n e d h e r e i n , i n c l u d i n g , w i t h o u t l i m i t a t i o n , t h e c o v e n a n t s c o n t a i n e d i n S e c t i o n 6 . 0 3 . S e c t i o n 6 . 0 7 I n s u r a n c e . T h e C o m m i s s i o n c o v e n a n t s t o c a r r y a t a l l t i m e s i n s u r a n c e ( i n c l u d i n g r e a s o n a b l e s e l f - i n s u r a n c e ) o r c a u s e i n s u r a n c e t o b e c a r r i e d w i t h r e s p o n s i b l e i n s u r a n c e a n d / o r r e i n s u r a n c e c o m p a n i e s a u t h o r i z e d a n d q u a l i f i e d t o d o b u s i n e s s i n ( o r w i t h c o m p a n i e s d u l y a u t h o r i z e d a n d q u a l i f i e d t o d o b u s i n e s s i n ) t h e S t a t e a n d t o a s s u m e t h e r i s k s t h e r e o f c o n s i s t e n t w i t h i n s u r a n c e r e q u i r e m e n t s o f a l l a g r e e m e n t s e n t e r e d i n t o b y t h e C o m m i s s i o n i n c o n n e c t i o n w i t h t h e c o n s t r u c t i o n , o p e r a t i o n a n d m a i n t e n a n c e o f t h e T o l l R o a d . N o t h i n g c o n t a i n e d h e r e i n s h a l l b e d e e m e d o r c o n s t r u e d t o p r e v e n t t h e C o m m i s s i o n f r o m m a i n t a i n i n g p o l i c i e s o f i n s u r a n c e i n w h i c h o t h e r p a r t i e s a r e n a m e d a s d u a l o b l i g e e b e n e f i c i a r i e s , p r o v i d e d t h a t s u c h o t h e r p a r t i e s s h a l l b e l i m i t e d t o c o n t r a c t o r s c o n s t r u c t i n g S p e c i a l P r o j e c t s a n d p e r s o n s s u p p l y i n g t o l l c o l l e c t i o n a n d r e v e n u e m a n a g e m e n t s y s t e m e q u i p m e n t o r f a c i l i t i e s . S e c t i o n 6 . 0 8 P a y m e n t o f C l a i m s . T h e C o m m i s s i o n w i l l p a y a n d d i s c h a r g e a n y a n d a l l l a w f u l c l a i m s t h a t , i f u n p a i d , m i g h t b e c o m e a c h a r g e o r l i e n u p o n t h e R e v e n u e o r a n y p a r t t h e r e o f , o r u p o n a n y f u n d s i n t h e h a n d s o f t h e C o m m i s s i o n o r o n d e p o s i t w i t h t h e T r u s t e e , p r i o r t o o r o n a p a r i t y w i t h t h e c h a r g e a n d l i e n u p o n t h e R e v e n u e s e c u r i n g t h e B o n d s a n d a n y P a r i t y O b l i g a t i o n s . S e c t i o n 6 . 0 9 R e c e i p t a n d D e p o s i t o f C a s h A d v a n c e s . T h e C o m m i s s i o n c o v e n a n t s a n d a g r e e s t h a t , i m m e d i a t e l y u p o n r e c e i p t o f c a s h a d v a n c e s r e p r e s e n t i n g d e p o s i t s a g a i n s t f u t u r e t o l l p a y m e n t s f r o m u s e r s o r p o t e n t i a l u s e r s o f t h e T o l l R o a d , i t w i l l ( i ) d e p o s i t a n d h o l d s u c h m o n e y s i n a s p e c i a l a c c o u n t , s e p a r a t e f r o m o t h e r a s s e t s o f t h e C o m m i s s i o n , o r c a u s e s u c h m o n e y s t o b e d e p o s i t e d w i t h a n d h e l d b y a b a n k o r t r u s t c o m p a n y ( w h i c h m a y b e t h e T r u s t e e ) , ( i i ) i n v e s t s u c h m o n e y s o n l y i n P e r m i t t e d I n v e s t m e n t s o f t h e t y p e d e s c r i b e d i n c l a u s e s ( i ) , ( i i ) , ( i i i ) , ( i v ) , ( v ) , ( v i ) , ( i x ) , ( x i i ) , ( x v i i ) o r ( x v i i i ) o f t h e d e f i n i t i o n t h e r e o f , m a t u r i n g w i t h i n t h i r t y ( 3 0 ) d a y s f r o m t h e d a t e o f t h e i n v e s t m e n t , a n d ( i i i ) p r o m p t l y , a n d i n a n y e v e n t w i t h i n s e v e n B u s i n e s s D a y s a f t e r s u c h d e p o s i t s b e c o m e t o l l s , t r a n s f e r o r c a u s e t h e t r a n s f e r o f m o n e y s f r o m s u c h a c c o u n t f o r c r e d i t t o t h e T o l l R e v e n u e F u n d . T h e C o m m i s s i o n f u r t h e r c o v e n a n t s a n d a g r e e s t h a t i t w i l l n o t e n t e r i n t o a n y a g r e e m e n t p u r s u a n t t o w h i c h c a s h a d v a n c e s r e c e i v e d b y a n y o t h e r p e r s o n , b u s i n e s s o r g a n i z a t i o n o r g o v e r n m e n t a l e n t i t y m a y b e a p p l i e d t o t h e p a y m e n t o f t o l l s u n l e s s s u c h p e r s o n , b u s i n e s s o r g a n i z a t i o n o r g o v e r n m e n t a l e n t i t y , a s t h e c a s e m a y b e , h a s a g r e e d O H S W e s t 2 6 0 9 3 5 7 0 9 4 3 5 4 9 0 to take such actions as the Commission may determine are reasonably necessary to assure that the Commission will receive timely payment of such tolls. Section 6.10 Design -Build Procurement and Construction. The Commission hereby covenants and agrees to employ the design -build method of procurement in connection with the construction of the initial phase of the Riverside SR-91 Corridor Improvement Project, in accordance with the CIP Plan, as authorized and approved by the CTC on April 7, 2010. Section 6.11 Construction and Maintenance From Other Sources Permitted. Notwithstanding any provision to the contrary in this Indenture, the Commission may, in accordance with the Act and other applicable laws, construct, reconstruct, rehabilitate, improve, acquire, lease, operate, or maintain, or any combination of these, both tolled and nontolled facilities, structures, onramps, connector roads, bridges, and roadways that are on, necessary for, or related to the construction or operation of that portion of the SR-91 between the Orange and Riverside County line to the west and State Highway Route 15 to the east using any funds legally available therefore, including, without limitation and as applicable, Sales Tax Revenues and federal, State and local grants, loans and matching funds. Notwithstanding any other provision of this Indenture, the Commission may permit the United States of America, the State or any of their respective agencies, departments or political subdivisions to construct, reconstruct, rehabilitate, improve, acquire, lease, operate, maintain, or any combination of these, both tolled and nontolled facilities, structures, onramps, connector roads, bridges, and roadways related to the SR-91 or to pay for all or any part of the cost thereof. Section 6.12 Tax Covenants. (a) The Commission shall not use or permit the use of any proceeds of the Bonds or any funds of the Commission, directly or indirectly, to acquire any securities or obligations that would cause the interest on Bonds intended by the Commission to be exempt from federal income taxation to become subject to federal income taxation, and shall not take or permit to be taken any other action or actions that would cause any such Bond to be an "arbitrage bond" within the meaning of Section 148 of the Code or "federally guaranteed" within the meaning of Section 149(b) of the Code and any such applicable regulations promulgated from time to time thereunder. The Commission shall observe and not violate the requirements of Section 148 of the Code and any such applicable regulations. The Commission shall comply with all requirements of Sections 148 and 149(b) of the Code to the extent applicable to Bonds. In the event that at any time the Commission is of the opinion that for purposes of this Section 6.03(a) it is necessary to restrict or to limit the yield on the investment of any moneys held by the Trustee under this Indenture, the Commission shall so instruct the Trustee under this Indenture in writing, and the Trustee shall take such action as may be necessary in accordance with such instructions. (b) The Commission covenants to comply with the provisions and procedures of each Tax Certificate. (c) The Commission shall not, and shall not cause the Trustee to, use or permit the use of any proceeds of the Bonds or any funds of the Commission (so long as such proceeds or other funds are under its control), directly or indirectly, in any manner, and shall not OHS West260935709.4 36 • • 491 i take or omit to take any action that would cause any of the Bonds to be treated as an obligation not described in Section 103(a) of the Code if such Bonds were, when originally issued, intended by the Commission to be obligations described in Section 103(a) of the Code. (d) Notwithstanding any provisions of this Section 6.03 or any Tax Certificate, if the Commission shall provide to the Trustee an Opinion of Bond Counsel to the effect that any specified action required under this Section 6.03 is no longer required or that some further or different action is required to maintain the exclusion from gross income for federal income tax purposes of interest on any Bonds, the Trustee and the Commission may conclusively rely on such opinion in complying with the requirements of this Section, and, notwithstanding any other provision of this Indenture or any Tax Certificate, the covenants hereunder shall be deemed to be modified to that extent. (e) The Trustee shall follow the directions of the Commission given pursuant to the Tax Certificate, and shall have no liability or responsibility to enforce compliance by the Commission with the terms of the Tax Certificate. Section 6.13 Accounting Records; Financial Statements and Other Reports. (a) The Commission will keep appropriate accounting records in accordance with generally accepted accounting principles. Such accounting records shall at all times during business hours be subject to the inspection of the Trustee or of any Holder (or its representative authorized in writing). (b) The Commission will prepare and file with the Trustee annually within 210 days after the close of each Fiscal Year financial statements of the Commission for such Fiscal Year, together with an audit report thereon prepared by an Independent Certified Public Accountant. Section 6.14 Protection of Revenue and Rights of Holders. The Commission will preserve and protect the security of the Bonds and Parity Obligations and the rights of the Bondholders and the holders of Parity Obligations and will warrant and defend their rights against all claims and demands of all persons. From and after the sale and delivery of any of the Bonds by the Commission, the Bonds shall be incontestable by the Commission. Section 6.15 Payment of Governmental Charges and Compliance with Governmental Regulations. The Commission will pay and discharge all taxes or payments in lieu of taxes, assessments and other governmental charges or liens that may be levied, assessed or charged upon the Revenue, or any part thereof, promptly as and when the same shall become due and payable, except that the Commission shall not be required to pay any such governmental charges so long as the application or validity thereof shall be contested in good faith and the Commission shall have set aside reserves to cover such payments. Section 6.16 Maintenance of Powers. The Commission covenants that it will at all times use its best efforts to maintain the powers, functions, duties and obligations now reposed on it pursuant to the Act and all other laws and will not at any time voluntarily do, suffer or permit any act or thing the effect of which would be to hinder, delay or imperil either the payment of the indebtedness evidenced by any of the Bonds, Parity Obligations or Credit OHS West260935709.4 37 492 Support Instruments relating thereto or the performance or observance of any of the covenants herein contained. Section 6.17 Covenants Binding on The Commission and Successors. All covenants, stipulations, obligations and agreements of the Commission contained in this Indenture shall be deemed to be covenants, stipulations, obligations and agreements of the Commission to the full extent authorized or permitted by law. If the powers or duties of the Commission shall hereafter be transferred by amendment of the Act or a new act or any provision of the Constitution or any other law of the State or in any other manner there shall be a successor to the Commission, and if such transfer shall relate to any matter or thing permitted or required to be done under this Indenture by the Commission then the entity that shall succeed to such powers or duties of the Commission shall act and be obligated in the place and stead of the Commission as in this Indenture provided, and all such covenants, stipulations, obligations and agreements shall be binding upon the successor or successors thereof from time to time and upon any officer, board, body or commission to whom or to which any power or duty affecting such covenants, stipulations, obligations and agreement shall be transferred by or in accordance with law. Section 6.18 Continuing Disclosure. Upon the issuance of any Series of Bonds, or upon conversion of any Series of Bonds to an interest rate period, requiring an undertaking regarding continuing disclosure under Rule 15c2-12, the Commission and the Trustee hereby covenant and agree that they will execute and deliver a Continuing Disclosure Agreement with respect to such Series of Bonds and comply with and carry out all of the provisions of such Continuing Disclosure Agreement applicable to each such party. Notwithstanding any other provision of this Indenture, failure of the Commission or the Trustee to comply with the provisions of any Continuing Disclosure Agreement shall not constitute an Event of Default under this Indenture; provided, however, that the Trustee, at the request of any Participating Underwriter or the Owners of at least .twenty-five percent (25%) aggregate principal amount of any Series of Bonds then Outstanding, shall (but only to the extent that the Trustee is indemnified to its satisfaction from any liability or expense, including fees and expenses of its attorneys) or any Owner or Beneficial Owner of a Bond may, take such actions as may be necessary and appropriate, including seeking mandate or specific performance by court order to cause the Commission or the Trustee, as applicable, to comply with its obligations under this Section. Section 6_19 Further Assurances. The Commission will adopt, deliver, execute and make any and all further assurances, instruments and resolutions as may be reasonably necessary or proper to carry out the intention or to facilitate the performance hereof and for the better assuring and confirming unto the Holders of the rights and benefits provided herein. ARTICLE VII DEFAULT PROVISIONS AND REMEDIES Section 7.01 Events of Default. Any one of the following and any other event specified in a Supplemental Indenture as an Event of Default shall constitute an Event of Default hereunder: OHS West:260935709_4 38 • 493 " " " ( a ) d e f a u l t i n t h e p a y m e n t o f a n y i n t e r e s t o n a n y B o n d w h e n a n d a s t h e s a m e s h a l l h a v e b e c o m e d u e ; ( b ) d e f a u l t i n t h e p a y m e n t o f t h e p r i n c i p a l o f o r p r e m i u m , i f a n y , o n a n y B o n d w h e n a n d a s t h e s a m e s h a l l b e c o m e d u e , w h e t h e r a t t h e s t a t e d m a t u r i t y o r r e d e m p t i o n d a t e t h e r e o f o r o t h e r w i s e ; o r ( c ) d e f a u l t i n t h e o b s e r v a n c e o r p e r f o r m a n c e o f a n y o t h e r c o v e n a n t o r a g r e e m e n t o f t h e C o m m i s s i o n c o n t a i n e d i n t h i s I n d e n t u r e [ , o r t h e o c c u r r e n c e o f a n y e v e n t o f d e f a u l t u n d e r a n y o f t h e T o l l A g r e e m e n t s , ] a n d t h e c o n t i n u a n c e t h e r e o f f o r a p e r i o d o f s i x t y ( 6 0 ) d a y s a f t e r w r i t t e n n o t i c e t h e r e o f t o t h e C o m m i s s i o n g i v e n b y t h e T r u s t e e . T h e T r u s t e e s h a l l n o t b e r e q u i r e d t o t a k e n o t i c e o r b e d e e m e d t o h a v e n o t i c e o f a n y E v e n t o f D e f a u l t o f t h e t y p e d e s c r i b e d i n c l a u s e ( c ) a b o v e u n l e s s t h e T r u s t e e s h a l l b e s p e c i f i c a l l y n o t i f i e d i n w r i t i n g o f s u c h d e f a u l t b y t h e C o m m i s s i o n , o r b y t h e O w n e r s o f a t l e a s t 2 5 % i n a g g r e g a t e p r i n c i p a l a m o u n t o f a l l B o n d s t h e n O u t s t a n d i n g , b y m e a n s o f a w r i t t e n n o t i c e d e l i v e r e d a t t h e P r i n c i p a l O f f i c e o f t h e T r u s t e e . S e c t i o n 7 . 0 2 A p p l i c a t i o n o f R e v e n u e a n d O t h e r F u n d s A f t e r D e f a u l t . I f a n E v e n t o f D e f a u l t s h a l l o c c u r a n d b e c o n t i n u i n g , a l l R e v e n u e p l e d g e d h e r e u n d e r a n d a n y o t h e r f u n d s t h e n h e l d o r t h e r e a f t e r r e c e i v e d b y t h e T r u s t e e u n d e r a n y o f t h e p r o v i s i o n s o f t h i s I n d e n t u r e s h a l l b e u n d e r t h e c o n t r o l o f a n d a p p l i e d b y t h e T r u s t e e a s f o l l o w s a n d i n t h e f o l l o w i n g o r d e r : ( a ) f i r s t , t o t h e p a y m e n t o f a n y e x p e n s e s n e c e s s a r y i n t h e o p i n i o n o f t h e T r u s t e e t o p r o t e c t t h e i n t e r e s t s o f t h e H o l d e r s o f t h e B o n d s a n d p a y m e n t o f r e a s o n a b l e c h a r g e s a n d e x p e n s e s o f t h e T r u s t e e ( i n c l u d i n g r e a s o n a b l e f e e s a n d d i s b u r s e m e n t s o f i t s c o u n s e l ) i n c u r r e d i n a n d a b o u t t h e p e r f o r m a n c e o f i t s p o w e r s a n d d u t i e s u n d e r t h i s I n d e n t u r e ; a n d ( b ) s e c o n d , t o t h e p a y m e n t o f t h e p r i n c i p a l a n d i n t e r e s t t h e n d u e o n B o n d s a n d a m o u n t s t h e n d u e o n P a r i t y O b l i g a t i o n s , i n t h e o r d e r i n w h i c h s u c h a m o u n t s b e c a m e d u e , s u b j e c t t o t h e p r o v i s i o n s o f t h i s I n d e n t u r e , i n c l u d i n g S e c t i o n 5 . 0 4 . S e c t i o n 7 . 0 3 N o A c c e l e r a t i o n . T h e r e s h a l l b e n o r i g h t o f a c c e l e r a t i o n w i t h r e s p e c t t o t h e B o n d s . S e c t i o n 7 . 0 4 S u i t s a t L a w o r i n E q u i t y a n d M a n d a m u s . I n c a s e o n e o r m o r e E v e n t s o f D e f a u l t s h a l l o c c u r , t h e n a n d i n e v e r y s u c h c a s e t h e T r u s t e e m a y , a n d s h a l l a t t h e r e q u e s t o f t h e H o l d e r s o f n o t l e s s t h a n a m a j o r i t y o f t h e a g g r e g a t e p r i n c i p a l a m o u n t o f a n y S e r i e s o f B o n d s t h e n O u t s t a n d i n g ( o r s u c h g r e a t e r p e r c e n t a g e o f t h e H o l d e r s o f B o n d s o f a n y S e r i e s a s m a y b e s p e c i f i e d i n t h e S u p p l e m e n t a l I n d e n t u r e c r e a t i n g s u c h S e r i e s ) u p o n r e c e i v i n g a d e q u a t e i n d e m n i t y , p o t e n t i a l l y i n c l u d i n g i n d e m n i t y p r o v i d e d b y s u c h H o l d e r s , p r o c e e d t o p r o t e c t . a n d e n f o r c e B o n d h o l d e r r i g h t s b y s u c h a p p r o p r i a t e j u d i c i a l p r o c e e d i n g a s t h e T r u s t e e s h a l l d e e m m o s t e f f e c t u a l t o p r o t e c t a n d e n f o r c e a n y s u c h r i g h t , e i t h e r b y s u i t i n e q u i t y o r b y a c t i o n a t l a w , w h e t h e r f o r t h e s p e c i f i c p e r f o r m a n c e o f a n y c o v e n a n t o r a g r e e m e n t c o n t a i n e d i n t h i s I n d e n t u r e , o r i n a i d o f t h e e x e r c i s e o f a n y p o w e r g r a n t e d i n t h i s I n d e n t u r e , o r t o e n f o r c e a n y o t h e r l e g a l o r e q u i t a b l e r i g h t v e s t e d i n t h e B o n d h o l d e r s b y t h i s I n d e n t u r e o r t h e B o n d s o r b y l a w . T h e p r o v i s i o n s o f t h i s I n d e n t u r e s h a l l c o n s t i t u t e a c o n t r a c t w i t h e a c h a n d e v e r y B o n d h o l d e r a n d t h e d u t i e s o f t h e C o m m i s s i o n s h a l l b e e n f o r c e a b l e b y t h e T r u s t e e o n b e h a l f o f a n y B o n d h o l d e r b y O H S W e s t : 2 6 0 9 3 5 7 0 9 . 4 3 9 4 9 4 mandamus or other appropriate suit, action or proceeding in any court of competent jurisdiction. Nothing herein shall be deemed to authorize the Trustee to authorize or consent to or accept or adopt on behalf of any Bondholder any plan of reorganization, arrangement, adjustment, or composition affecting the Bonds or the rights of any Holder thereof, or to authorize the Trustee to vote in respect of the claim of any Bondholder in any such proceeding without the approval of the Bondholders so affected. Section 7.05 Waivers. No delay or omission to exercise any right or power accruing upon any Event of Default shall impair any such right or power or shall be construed to be a waiver of any such Event of Default or acquiescence therein and every such right and power may be exercised from time to time and as often as may be deemed expedient. No waiver of any Event of Default hereunder shall extend to or shall affect any subsequent Event of Default or shall impair any rights or remedies consequent thereon. ARTICLE VIII THE TRUSTEE Section 8.01 Trustee. (a) U.S. Bank National Association, will serve as the Trustee under this Indenture. The Trustee shall be required to perform such duties and only such duties as are specifically set forth in this Indenture. The Trustee shall, during the existence of any Event of Default (that has not been cured), exercise such of the rights and powers vested in it by this Indenture, and use the same degree of care and skill in their exercise, as reasonable persons would exercise or use under the circumstances in the conduct of their own affairs. The Trustee accepts the duties imposed upon it hereunder and agrees, particularly: (i) to hold all sums held by it for the payment of the principal and Purchase Price of, premium, if any, or interest on the Bonds in trust for the benefit of the Holders of the Bonds as provided herein until such sums shall be paid to such Holders of the Bonds or otherwise disposed of as herein provided; (ii) to authenticate and cancel Bonds as provided herein; (iii) to perform its obligations under this Indenture; and (iv) to keep such books and records relating to its duties as Trustee as shall be consistent with reasonable industry practice and to make such books and records available for inspection by the Commission at all reasonable times upon reasonable notice. The Commission shall cause the necessary arrangements to be made and to be thereafter continued whereby: (i) funds derived from the sources specified in this Indenture will be made available at the Principal Office of the Trustee for the timely payment of principal and Purchase Price of, premium, if any, and interest on the Bonds; (ii) Bonds shall be made available for authentication, exchange and registration of transfer by the Trustee at the Principal Office of the Trustee; and (iii) the Trustee shall be furnished such records and other information, at such times, as shall be required to enable the Trustee to perform the duties and obligations imposed upon it hereunder. (b) No provision of this Indenture shall be construed to relieve the Trustee from liability for its own negligent action or its own negligent failure to act, except that, at all times regardless of whether or not any Event of Default shall exist: (i) the duties and obligations of the Trustee shall be determined solely by the express provisions of this Indenture, and the Trustee shall not be liable except for the performance of such duties and obligations as are OHS West:2609357094 40 • • • 495 specifically set forth in this Indenture, and no implied covenants or obligations shall be read into this Indenture against the Trustee; (ii) in the absence of bad faith on the part of the Trustee, the Trustee may conclusively rely, as to the truth of the statements and the correctness of the opinions expressed therein, upon any certificate, notice, order, requisition, request, consent or. opinion famished to the Trustee conforming to the requirements of this Indenture; but in the case of any such certificate, notice, order, requisition, request, consent or opinion which by any provision hereof is specifically required to be furnished to the Trustee, the Trustee shall be under a duty to examine the same to determine whether or not it, on its face, conforms to the requirements of this Indenture; (iii) the Trustee shall not be liable for any error of judgment made in good faith unless it shall be proved that the Trustee was negligent in ascertaining the pertinent facts; and (iv) the Trustee shall not be liable with respect to any action taken or omitted to be taken by it in good faith in accordance with the direction of the Holders of not less than a majority, or such larger or smaller percentage as may be required hereunder, in aggregate principal amount of the Bonds at the time Outstanding relating to the time, method and place of conducting any proceeding for any remedy available to the Trustee or exercising any trust or power conferred upon the Trustee under this Indenture. The permissive right of the Trustee to do things enumerated in this Indenture as a right shall not be construed as a duty and the Trustee shall not be answerable for other than its negligence or willful misconduct. (c) None of the provisions contained in this Indenture shall require the Trustee to expend or risk its own funds or otherwise incur individual financial liability in the performance of any of its duties or in the exercise of any of its rights or powers. The Trustee shall not be required to give any bond or surety in respect of the execution of the said trusts and powers or otherwise in respect of the premises. Before taking any action under this Indenture relating to an Event of Default, the Trustee may require that adequate indemnity be furnished for the reimbursement of all expenses to which it may be put and to protect it against all liability. (d) No delivery of Bonds to the Trustee or purchase of Bonds by the Trustee shall constitute a redemption of Bonds or any extinguishment of the debt represented thereby, unless such Bonds are surrendered by the Commission to the Trustee for cancellation pursuant to Section 10.01(b). (e) The Trustee shall not be accountable for the use or application by the Commission of the proceeds of the Bonds or for the use or application of any money paid over to the Commission by the Trustee in accordance with the provisions of this Indenture. The Trustee shall have no responsibility or liability with respect to any information, statements or recitals in any offering memorandum or other disclosure material prepared or distributed with respect to the issuance of the Bonds other than information provided by the Trustee for use therein, if any. (0 Whenever in the administration of this Indenture the Trustee shall deem it necessary or desirable that a matter be provided or established prior to taking or suffering any action to be taken hereunder, such matter (unless other evidence in respect thereof be herein specifically prescribed) may, in the absence of negligence or willful misconduct on the part of the Trustee, be deemed to be conclusively proved and established by a Certificate of the Commission and delivered to the Trustee and such certificate, in the absence of negligence or willful misconduct on the part of the Trustee, shall be full warrant to the Trustee for any action taken, suffered or omitted by it under the provisions of this Indenture upon the faith thereof. OHS West 260935709.4 41 496 (g) The Trustee may elect to accept and act upon instructions or directions pursuant to this Indenture sent by facsimile or Electronic means, provided, however, that, the Trustee shall have received an incumbency certificate listing persons designated to give such instructions or directions and containing specimen signatures of such designated persons, which . such incumbency certificate shall be amended and replaced whenever a person is to be added or deleted from the listing. If the Commission elects to give the Trustee facsimile or Electronic instructions and the Trustee in its discretion elects to act upon such instructions, the Trustee's understanding of such instructions shall be deemed controlling in the absence of its negligence or willful misconduct. The Trustee shall not be liable for any losses, costs or expenses arising directly or indirectly from the Trustee's reliance upon and compliance with such instructions notwithstanding such instructions conflict or are inconsistent with a subsequent written instruction. In the absence of negligence or willful misconduct by the Trustee, the Commission agrees to assume all risks arising out of the use of such facsimile or Electronic methods to submit instructions and directions to the Trustee, including without limitation the risk of the Trustee acting on unauthorized instructions, and the risk of interception and misuse by third parties. Section 8.02 Compensation and Indemnification of Trustee. The Commission shall: (i) pay the Trustee reasonable compensation (which, to the extent permitted by applicable law, shall not be limited by any law limiting the compensation of the trustee of an express trust); (ii) pay or reimburse the Trustee upon request for all reasonable fees, expenses, disbursements and advances incurred or made in accordance with any of the provisions of this Indenture (including the reasonable compensation and the expenses and disbursements of its counsel and of all agents and other persons not regularly in its employ), except to the extent that any such expense, disbursement or advance is due to its own negligence or willful misconduct; and (iii) to the extent permitted by applicable law, indemnify the Trustee and its officers, directors, agents and employees for, and to hold it harmless against, any loss, liability, cost, suit, claim, judgment, damage or expense incurred by it, arising out of or in connection with the acceptance or administration of this Indenture or the performance of its duties hereunder, including legal fees and expenses and the costs and expenses of defending itself against or investigating any claim of liability or expense, except to the extent that any such liability or expense was due to its own negligence or willful misconduct. The obligations of the Commission under this Section 8.02 shall survive the satisfaction and discharge of this Indenture and the earlier removal or resignation of the Trustee. When the Trustee incurs expenses or renders services after the occurrence of an Event of Default, such expenses and the compensation for such services are intended to constitute expenses of administration under any federal or state bankruptcy, insolvency, arrangement, moratorium, reorganization or other debtor relief law. Section 8.03 Qualifications of Trustee- Resignation; Removal. (a) There shall at all times be a trustee hereunder that is a commercial bank, trust company or national association organized and doing business under the laws of the United States or of a state thereof, authorized under such laws to exercise corporate trust powers, having (or if such bank, trust company or national association is a member of a bank holding company system, its holding company has) a combined capital and surplus of at least five hundred million dollars ($500,000,000), and subject to supervision or examination by federal or state authority. If such banks, trust companies, or banking associations publish reports of condition at least annually, pursuant to law or to the requirements of any supervising or examining authority above OHS West.260935709.4 42 497 " r e f e r r e d t o , t h e n , f o r t h e p u r p o s e s o f t h i s S e c t i o n 8 . 0 3 , t h e c o m b i n e d c a p i t a l a n d s u r p l u s o f s u c h b a n k s , t r u s t c o m p a n i e s o r b a n k i n g a s s o c i a t i o n s s h a l l b e d e e m e d t o b e t h e i r c o m b i n e d c a p i t a l a n d s u r p l u s a s s e t f o r t h i n t h e i r m o s t r e c e n t r e p o r t s o f c o n d i t i o n s s o p u b l i s h e d . ( b ) T h e T r u s t e e m a y a t a n y t i m e r e s i g n b y g i v i n g a t l e a s t t h i r t y ( 3 0 ) d a y s ' w r i t t e n n o t i c e t o t h e C o m m i s s i o n . U p o n r e c e i v i n g s u c h n o t i c e o f r e s i g n a t i o n , t h e C o m m i s s i o n , s h a l l p r o m p t l y a p p o i n t a s u c c e s s o r t r u s t e e b y a n i n s t r u m e n t i n w r i t i n g . I f n o s u c c e s s o r t r u s t e e s h a l l h a v e b e e n s o a p p o i n t e d a n d h a v e a c c e p t e d a p p o i n t m e n t w i t h i n t h i r t y ( 3 0 ) d a y s a f t e r t h e g i v i n g o f s u c h n o t i c e o f r e s i g n a t i o n , t h e r e s i g n i n g t r u s t e e m a y p e t i t i o n a n y c o u r t o f c o m p e t e n t j u r i s d i c t i o n f o r t h e a p p o i n t m e n t o f a s u c c e s s o r t r u s t e e , o r a n y H o l d e r w h o h a s b e e n a b o n a f i d e H o l d e r o f a B o n d f o r a t l e a s t s i x m o n t h s m a y , o n b e h a l f o f i t s e l f a n d a n y o t h e r s s i m i l a r l y s i t u a t e d , p e t i t i o n a n y s u c h c o u r t f o r t h e a p p o i n t m e n t o f a s u c c e s s o r t r u s t e e . S u c h c o u r t m a y t h e r e u p o n , a f t e r s u c h n o t i c e , i f a n y , a s i t m a y d e e m p r o p e r a n d p r e s c r i b e , a p p o i n t a s u c c e s s o r t r u s t e e . ( c ) I n c a s e a t a n y t i m e e i t h e r o f t h e f o l l o w i n g s h a l l o c c u r : ( i ) t h e T r u s t e e s h a l l c e a s e t o b e e l i g i b l e i n a c c o r d a n c e w i t h t h e p r o v i s i o n s o f t h i s S e c t i o n 8 . 0 3 a n d s h a l l f a i l t o r e s i g n a f t e r w r i t t e n r e q u e s t t h e r e f o r b y t h e C o m m i s s i o n o r b y a n y H o l d e r w h o h a s b e e n a b o n a f i d e H o l d e r o f a B o n d f o r a t l e a s t s i x m o n t h s ; o r ( i i ) t h e T r u s t e e s h a l l b e c o m e i n c a p a b l e o f a c t i n g , o r s h a l l b e a d j u d g e d a b a n k r u p t o r i n s o l v e n t , o r a r e c e i v e r o f t h e T r u s t e e o r o f i t s p r o p e r t y s h a l l b e a p p o i n t e d , o r a n y p u b l i c o f f i c e r s h a l l t a k e c h a r g e o r c o n t r o l o f t h e T r u s t e e o r o f i t s p r o p e r t y o r a f f a i r s f o r t h e p u r p o s e o f r e h a b i l i t a t i o n , c o n s e r v a t i o n o r l i q u i d a t i o n , t h e n , i n a n y s u c h c a s e , t h e C o m m i s s i o n m a y r e m o v e t h e T r u s t e e a n d a p p o i n t a s u c c e s s o r t r u s t e e b y a n i n s t r u m e n t i n w r i t i n g e x e c u t e d b y a n A u t h o r i z e d R e p r e s e n t a t i v e , o r a n y H o l d e r w h o h a s b e e n a b o n a f i d e H o l d e r o f a B o n d f o r a t l e a s t s i x m o n t h s m a y , o n b e h a l f o f i t s e l f a n d a l l o t h e r s s i m i l a r l y s i t u a t e d , p e t i t i o n a n y c o u r t o f c o m p e t e n t j u r i s d i c t i o n f o r t h e r e m o v a l o f t h e T r u s t e e a n d t h e a p p o i n t m e n t o f a s u c c e s s o r t r u s t e e . S u c h c o u r t m a y t h e r e u p o n , a f t e r s u c h n o t i c e , i f a n y , a s i t m a y d e e m p r o p e r a n d p r e s c r i b e , r e m o v e t h e T r u s t e e a n d a p p o i n t a s u c c e s s o r t r u s t e e . I f n o s u c c e s s o r t r u s t e e s h a l l h a v e b e e n s o a p p o i n t e d b y t h e C o m m i s s i o n a n d h a v e a c c e p t e d a p p o i n t m e n t w i t h i n t h i r t y ( 3 0 ) d a y s a f t e r s u c h r e m o v a l , t h e T r u s t e e m a y p e t i t i o n a n y c o u r t o f c o m p e t e n t j u r i s d i c t i o n f o r t h e a p p o i n t m e n t o f a s u c c e s s o r t r u s t e e , o r a n y H o l d e r w h o h a s b e e n a b o n a f i d e H o l d e r o f a B o n d f o r a t l e a s t s i x m o n t h s m a y , o n b e h a l f o f i t s e l f a n d a n y o t h e r s s i m i l a r l y s i t u a t e d , p e t i t i o n a n y s u c h c o u r t f o r t h e a p p o i n t m e n t o f a s u c c e s s o r t r u s t e e . ( d ) T h e C o m m i s s i o n o r H o l d e r s o f a m a j o r i t y i n a g g r e g a t e p r i n c i p a l a m o u n t o f t h e B o n d s a t t h e t i m e O u t s t a n d i n g m a y a t a n y t i m e r e m o v e t h e T r u s t e e a n d a p p o i n t a s u c c e s s o r t r u s t e e b y a n i n s t r u m e n t o r c o n c u r r e n t i n s t r u m e n t s i n w r i t i n g s i g n e d b y a n A u t h o r i z e d R e p r e s e n t a t i v e o f t h e C o m m i s s i o n o r b y s u c h H o l d e r s , a s t h e c a s e m a y b e . ( e ) A n y r e s i g n a t i o n o r r e m o v a l o f t h e T r u s t e e a n d a p p o i n t m e n t o f a s u c c e s s o r t r u s t e e p u r s u a n t t o a n y o f t h e p r o v i s i o n s o f t h i s S e c t i o n 8 . 0 3 s h a l l b e c o m e e f f e c t i v e u p o n w r i t t e n a c c e p t a n c e o f a p p o i n t m e n t b y t h e s u c c e s s o r t r u s t e e a c c e p t a b l e t o t h e C o m m i s s i o n . A n y s u c c e s s o r t r u s t e e s h a l l e x e c u t e , a c k n o w l e d g e a n d d e l i v e r t o t h e C o m m i s s i o n a n d t o i t s p r e d e c e s s o r t r u s t e e a n i n s t r u m e n t a c c e p t i n g s u c h a p p o i n t m e n t h e r e u n d e r , a n d t h e r e u p o n t h e r e s i g n a t i o n o r r e m o v a l o f t h e p r e d e c e s s o r t r u s t e e s h a l l b e c o m e e f f e c t i v e a n d s u c h s u c c e s s o r t r u s t e e , w i t h o u t a n y f u r t h e r a c t , d e e d o r c o n v e y a n c e , s h a l l b e c o m e v e s t e d w i t h a l l t h e r i g h t s , p o w e r s , t r u s t s , d u t i e s a n d o b l i g a t i o n s o f i t s p r e d e c e s s o r i n t h e t r u s t s h e r e u n d e r , w i t h l i k e e f f e c t a s O I I S W e s t : 2 6 0 9 3 5 7 0 9 4 4 3 4 9 8 I if originally named as Trustee herein; but, nevertheless, on the Written Request of the Commission or the request of the successor trustee, the predecessor trustee ceasing to act shall execute and deliver an instrument transferring to such successor trustee, upon the trusts herein expressed, all the rights, powers and trusts of the trustee so ceasing to act. Upon request of any such successor trustee, the Commission shall execute any and all instruments in writing necessary or desirable for more fully and certainly vesting in and confirming to such successor trustee all such rights, powers and duties. No successor trustee shall accept appointment as provided in this Section 8.03 unless at the time of such acceptance such successor trustee shall be eligible under the provisions of this Section 8.03. Upon acceptance of appointment by a successor trustee as provided in this Section 8.03, the Commission or such successor trustee shall give Holders notice of the succession of such trustee to the trusts hereunder. (f) Any company into which the Trustee may be merged or converted or with which it may be consolidated or any company resulting from any merger, conversion or consolidation to which it shall be a party or any company to which the Trustee may sell or transfer all or substantially all of its corporate trust business, provided such company shall be eligible under this Section 8.03 and acceptable to the Commission, shall be the successor to such Trustee without the execution or filing of any paper or any further act, anything herein to the contrary notwithstanding. (g) In the event of the resignation or removal of the Trustee, the Trustee shall deliver any money and any Bonds and its related books and records held by it in such capacity to its successor. (h) The Trustee may execute any of the trusts or powers hereof and perform any of its duties and responsibilities hereunder by or through attorneys, agents or receivers, including issuing and paying agents as provided in Section 8.05, and the Trustee shall not be answerable for the conduct of the same if appointed with due care hereunder, provided that the Trustee shall remain responsible for its duties hereunder. The Trustee may consult with counsel and the advice or any opinion of counsel shall be full and complete authorization and protection in respect of any action taken or omitted by it hereunder in the absence of negligence and willful misconduct and in accordance with such advice or opinion of counsel. Section 8.04 Instrument of Bondholders. Any instrument required by this Indenture to be executed by Bondholders may be in any number of writings of similar tenor and may be executed by Bondholders in person or by agent appointed in writing. Proof of the execution of any such instrument or of the writing appointing any such agent and of the ownership of Bonds given in any of the following forms shall be sufficient for any of the purposes of this Indenture: (i) a certificate of any officer in any jurisdiction who by law has power to take acknowledgements within such jurisdiction that the person signing such_. writing acknowledged before him the execution thereof; or (ii) a certificate executed by any trust company or bank stating that at the date thereof the party named therein did exhibit to an officer of such trust company or bank, as the property of such party, the Bonds therein mentioned. The Trustee may rely on such an instrument of Bondholders unless and until the Trustee receives notice in the form specified in (i) or (ii) above that the original such instrument is no longer reliable. In the event that the Trustee shall receive conflicting directions from two or OHS West:260935709.4 44 • 499 more groups of Bondholders, each with combined holdings of not less than twenty-five percent (25%) of the principal amount of Outstanding Bonds, the directions given by the group of Bondholders that holds the largest percentage of Bonds shall be controlling and the Trustee shall follow such directions to the extent required herein. The Trustee shall have no liability provided it is following the instructions of such Bondholders permitted to direct the Trustee pursuant to this Indenture. Section 8.05 Issuing and Paying Agents. The Commission may appoint and at all times have one or more issuing and paying agents in such place or places as the Commission may designate, for the payment of a Series of Bonds. Such issuing and paying agent shall meet the qualifications for the Trustee and the procedures and conditions for removal and resignation set forth in Section 8.03 hereof. It shall be the duty of the Trustee to make such arrangements with any such issuing and paying agent as may be necessary to assure, to the extent of the moneys held by the Trustee for such payment, the prompt payment of Bonds presented at either place of payment. ARTICLE IX AMENDMENTS Section 9.01 Amendments to Indenture Not Requiring Consent of Bondholders. Except to the extent restricted by a Supplemental Indenture, the Commission and the Trustee, without the consent of or notice to any Bondholders, may execute Supplemental Indentures amending this Indenture for one or more of the following purposes: (a) to grant to or confer upon the Bondholders of any Series any additional rights, remedies, powers or authority that may lawfully be granted to or conferred upon the Bondholders; security; (b) to grant or pledge to the Bondholders of any Series any additional (c) to amend this Indenture in such manner as may be necessary or convenient in connection with the book -entry system for payments, transfers and other matters relating to the Bonds; (d) to cure any ambiguity or to correct or supplement any provision of the Indenture that, in the Opinion of Bond Counsel, is defective or inconsistent with any other provision of the Indenture; (e) to make any change therein necessary, in the Opinion of Bond Counsel, to maintain the exclusion from gross income for federal income tax purposes of the interest on any Outstanding Bonds intended by the Commission to bear federally tax-exempt interest; (f) to make modifications or adjustments necessary in order to accommodate a Credit Support Instrument or a Reserve Facility; OHS WesC2609357094 45 500 (g) to modify, alter, amend or supplement this Indenture if (1) all of the Bonds to be affected thereby are variable interest rate bonds, (2) the modification, alteration, amendment or supplement shall not become effective until written notice thereof shall have been given to Bondholders of the affected Series by the Trustee, and (3) thirty (30) days shall have passed during which time such Bondholders shall have had the opportunity to tender their variable interest rate bonds for purchase; (h) to make any change therein that does not materially and adversely affect Bondholders (and the absence of a material or adverse effect may, but is not required to, be evidenced by a Certificate of the Commission or an Opinion of Bond Counsel delivered pursuant to Section 9.04); and (i) to issue additional Bonds hereunder in accordance with the terms hereof; provided, that no such amendment may permit, or be construed as permitting, (i) an extension of the maturity of the principal of, or the mandatory redemption date of, or interest on, any Bond, or (ii) a reduction in the principal amount of, or the redemption premium or the rate of interest on, any Bond, or (iii) a preference or priority of any Bond or Bonds over any other Bond or Bonds, or (iv) a reduction in the aggregate principal amount of the Bonds required for any consent to any amendment pursuant to Section 9.02. Section 9.02 Amendments to Indenture Requiring Consent of Bondholders. Exclusive of amendments authorized by Section 9.01 and subject to the terms and provisions contained in this Section 9.02 and in any Supplemental Indenture, the Holders of not less than a majority of the aggregate principal amount of the then Outstanding Bonds, or if less than all of the Outstanding Bonds are affected, the Holders of not less than a majority of the aggregate principal amount of the Outstanding Bonds affected, shall have the right, from time to time, anything contained in this Indenture to the contrary notwithstanding, to consent to such other amendments hereto for the purpose of modifying, altering, amending, or supplementing any of the terms or provisions contained in this Indenture or in any Supplemental Indenture; provided, however, that nothing in this Section 9.02 shall permit, or be construed as permitting (i) an extension of the maturity of the principal of, or the mandatory redemption date of, or interest on, any Bond, or (ii) a reduction in the principal amount of, or the redemption premium or the rate of interest on, any Bond, or (iii) a preference or priority of any Bond or Bonds over any other Bond or Bonds, or (iv) a reduction in the aggregate principal amount of the Bonds required for any consent to any amendment. Section 9.03 Notice to and Consent of Bondholders. If consent of the Bondholders is required under the terms of this Indenture for the amendment of this Indenture or for any other similar purpose, the Commission shall cause notice of the proposed amendment to be given by first-class mail to the Holders of the Outstanding Bonds then shown on the registration books for the Bonds. Such notice shall briefly set forth the nature of the proposed amendment or other action and shall state that copies of any such amendment are on file at the office of the Commission and the Principal Office of the Trustee for inspection by all Bondholders. If, within sixty (60) days or such longer period as shall be prescribed by the Commission following the mailing of such notice, the Holders of the requisite principal amount of the Bonds Outstanding by instruments filed with the Commission shall have consented to the OHS Wes4260935709.4 46 • • 501 " a m e n d m e n t o r o t h e r p r o p o s e d a c t i o n , t h e n t h e C o m m i s s i o n m a y a d o p t o r e x e c u t e , a s a p p r o p r i a t e , s u c h a m e n d m e n t o r t a k e s u c h p r o p o s e d a c t i o n a n d t h e c o n s e n t o f t h e B o n d h o l d e r s s h a l l t h e r e b y b e c o n c l u s i v e l y p r e s u m e d . S u c h i n s t r u m e n t s f i l e d w i t h t h e C o m m i s s i o n m a y i n c l u d e d o c u m e n t s s t a t i n g t h a t H o l d e r s o f B o n d s h a v e c o n s e n t e d t o a n a m e n d m e n t b y p u r c h a s i n g s u c h B o n d s i f t h e o f f i c i a l s t a t e m e n t o r o t h e r d i s c l o s u r e d o c u m e n t r e l a t e d t o s u c h p u r c h a s e d i s c l o s e d t h a t t h e p u r c h a s e o f t h e B o n d s w a s d e e m e d t o m e a n t h a t t h e H o l d e r s c o n s e n t e d t o t h e a m e n d m e n t . S e c t i o n 9 . 0 4 E x e c u t i o n a n d E f f e c t o f S u p p l e m e n t a l I n d e n t u r e s . P r i o r t o e x e c u t i n g a n y S u p p l e m e n t a l I n d e n t u r e h e r e u n d e r , t h e T r u s t e e s h a l l b e e n t i t l e d t o r e c e i v e a n d r e l y u p o n a n O p i n i o n o f B o n d C o u n s e l t o t h e e f f e c t t h a t s u c h S u p p l e m e n t a l I n d e n t u r e i s a u t h o r i z e d o r p e r m i t t e d h e r e u n d e r . T h e T r u s t e e i s n o t o b l i g a t e d t o e x e c u t e a n y S u p p l e m e n t a l I n d e n t u r e a d v e r s e l y a f f e c t i n g i t s r i g h t s , d u t i e s p r o t e c t i o n s a n d i m m u n i t i e s h e r e u n d e r . U p o n t h e e x e c u t i o n a n d d e l i v e r y o f a n y S u p p l e m e n t a l I n d e n t u r e p u r s u a n t t o t h i s A r t i c l e I X , t h i s I n d e n t u r e s h a l l b e d e e m e d t o b e m o d i f i e d a n d a m e n d e d i n a c c o r d a n c e t h e r e w i t h , a n d t h e r e s p e c t i v e r i g h t s , d u t i e s a n d o b l i g a t i o n s u n d e r t h i s I n d e n t u r e o f t h e C o m m i s s i o n , t h e T r u s t e e a n d a l l O w n e r s o f O u t s t a n d i n g B o n d s s h a l l t h e r e a f t e r b e d e t e r m i n e d , e x e r c i s e d a n d e n f o r c e d s u b j e c t i n a l l r e s p e c t s t o s u c h m o d i f i c a t i o n a n d a m e n d m e n t , a n d a l l t h e t e r m s a n d c o n d i t i o n s o f a n y s u c h S u p p l e m e n t a l I n d e n t u r e s h a l l b e d e e m e d t o b e p a r t o f t h e t e r m s a n d c o n d i t i o n s o f t h i s I n d e n t u r e f o r a n y a n d a l l p u r p o s e s . S e c t i o n 9 . 0 5 B o n d s O w n e d b y C o m m i s s i o n . ( a ) F o r p u r p o s e s o f t h i s A r t i c l e I X , B o n d s o w n e d o r h e l d b y o r f o r t h e a c c o u n t o f t h e C o m m i s s i o n s h a l l n o t b e d e e m e d O u t s t a n d i n g f o r t h e p u r p o s e o f c o n s e n t o r o t h e r a c t i o n o r a n y c a l c u l a t i o n o f O u t s t a n d i n g B o n d s p r o v i d e d f o r i n t h i s A r t i c l e I X , a n d t h e C o m m i s s i o n s h a l l n o t b e e n t i t l e d w i t h r e s p e c t t o s u c h B o n d s t o g i v e a n y c o n s e n t o r t a k e a n y o t h e r a c t i o n p r o v i d e d f o r i n t h i s A r t i c l e I X ; e x c e p t t h a t i n d e t e r m i n i n g w h e t h e r t h e T r u s t e e s h a l l b e p r o t e c t e d i n r e l y i n g u p o n a n y s u c h a p p r o v a l o r c o n s e n t o f a H o l d e r , o n l y B o n d s w h i c h t h e T r u s t e e a c t u a l l y k n o w s t o b e o w n e d b y t h e C o m m i s s i o n s h a l l b e d i s r e g a r d e d u n l e s s a l l B o n d s a r e o w n e d o r h e l d b y o r f o r t h e a c c o u n t o f t h e C o m m i s s i o n , i n w h i c h c a s e s u c h B o n d s s h a l l b e c o n s i d e r e d O u t s t a n d i n g f o r t h e p u r p o s e o f s u c h d e t e r m i n a t i o n . U p o n r e q u e s t o f t h e T r u s t e e , a t t h e t i m e o f a n y c o n s e n t o r o t h e r a c t i o n i s t o b e t a k e n u n d e r t h i s A r t i c l e I X , t h e C o m m i s s i o n s h a l l f u r n i s h t h e T r u s t e e a C e r t i f i c a t e o f t h e C o m m i s s i o n , u p o n w h i c h t h e T r u s t e e m a y r e l y , d e s c r i b i n g a l l B o n d s s o t o b e e x c l u d e d . ( b ) T h e p u r c h a s e o r o t h e r a c q u i s i t i o n o f B o n d s b y o r o n b e h a l f o f t h e C o m m i s s i o n s h a l l n o t c a n c e l , e x t i n g u i s h , o r o t h e r w i s e a f f e c t t h e B o n d s u n l e s s s u c h B o n d s a r e s u r r e n d e r e d b y t h e C o m m i s s i o n t o t h e T r u s t e e f o r c a n c e l l a t i o n i n a c c o r d a n c e w i t h S e c t i o n 1 0 . 0 1 ( b ) . A R T I C L E X D I S C H A R G E O F L I E N S e c t i o n 1 0 . 0 1 D i s c h a r g e o f L i e n a n d S e c u r i t y I n t e r e s t . ( a ) A t t h e e l e c t i o n o f t h e C o m m i s s i o n , u p o n p a y m e n t i n f u l l o f a l l t h e B o n d s a n d o f a l l o t h e r a m o u n t s p a y a b l e u n d e r t h i s I n d e n t u r e , t h e p l e d g e a n d l i e n o n t h e R e v e n u e a r i s i n g u n d e r t h i s I n d e n t u r e s h a l l c e a s e , d e t e r m i n e a n d b e v o i d ; p r o v i d e d , h o w e v e r , s u c h d i s c h a r g e o f t h i s I n d e n t u r e s h a l l n o t t e r m i n a t e t h e p o w e r s a n d r i g h t s g r a n t e d t o t h e T r u s t e e w i t h r e s p e c t t o t h e p a y m e n t , t r a n s f e r a n d e x c h a n g e o f t h e B o n d s , a n d S e c t i o n 8 . 0 2 s h a l l s u r v i v e h e r e u n d e r . O H S W e s c 2 6 0 9 3 5 7 0 9 . 4 4 7 5 0 2 (b) The Commission may at any time surrender to the Trustee for cancellation any Bonds previously authenticated and delivered hereunder that the Commission at its option may have acquired in any manner whatsoever and such Bonds upon such surrender and cancellation shall be deemed to be paid and retired. (c) Notwithstanding any provision in the Indenture to the contrary, if the principal of or interest on any Bonds shall be paid by a Credit Provider, those Bonds shall remain Outstanding for all purposes, not be defeased or otherwise satisfied and not be considered paid by the Commission within the meaning of this Section 10.01, and the pledge of the Revenue and all covenants, agreements and other obligations of the Commission as herein provided shall continue to exist and shall run to the benefit of such Credit Provider, and such Credit Provider shall be subrogated to the rights of the Holders. Section 10.02 Provision for Payment of Bonds. Bonds (or any portion of the Bonds) shall be deemed to have been paid within the meaning of Section 10.01 if: (a) there shall have been irrevocably deposited with the Trustee in trust either (i) lawful money of the United States of America in an amount that shall be sufficient, or (ii) Defeasance Securities, the principal and interest on which when due, together with the moneys, if any, deposited with the Trustee at the same time, shall be sufficient (as confirmed by a report of an Independent Certified Public Accountant), to pay when due the principal amount of, redemption premium (if any) and all unpaid interest on such Bonds (or any portion thereof) to the maturity or the redemption date thereof, as the case may be; and (b) if any such Bonds are to be redeemed on any date prior to their maturity, (i) the Trustee shall have received (not less than 45 days prior to the proposed redemption date) in form -satisfactory to it irrevocable written instructions from an Authorized Representative to redeem such Bonds on such date and (ii) notice of such redemption shall have been given or provision satisfactory to the Trustee shall have been irrevocably made for the giving of such notice. Limitations elsewhere specified herein regarding the investment of money held by the Trustee shall not be construed to prevent the depositing and holding of the Defeasance Securities described in Section 10.02(a)(ii) for the purpose of defeasing the lien of this Indenture as to Bonds that have not yet become due and payable. In addition, all money so deposited with the Trustee as provided in Section 10.02(a)(i) may also be invested and reinvested, at the written direction of an Authorized Representative, in Defeasance Securities, maturing in the amounts and times as hereinbefore set forth, subject to the confirming report of an Independent Certified Public Accountant as to the sufficiency thereof as provided in Section 10.02(a)(ii), and all income from all Defeasance Securities in the hands of the Trustee pursuant to this Section 10.02, that is not required for the payment of the principal of the Bonds and interest and redemption premium, if any, thereon with respect to which such money shall have been so deposited, shall be deposited in the Bond Fund as and when realized and applied as is other money deposited in the Bond Fund, or, in the event there are no longer any Bonds Outstanding under this Indenture, such income shall be automatically paid over to the Commission. OHS Wesc260935709.4 48 s 503 " N o t w i t h s t a n d i n g a n y o t h e r p r o v i s i o n o f t h i s I n d e n t u r e , n o B o n d t h a t i s s u b j e c t t o o p t i o n a l o r m a n d a t o r y t e n d e r i n a c c o r d a n c e w i t h t h e p r o v i s i o n s o f t h e S u p p l e m e n t a l I n d e n t u r e p u r s u a n t t o w h i c h s u c h B o n d w a s i s s u e d , s h a l l b e d e e m e d t o b e p a i d w i t h i n t h e m e a n i n g o f t h i s I n d e n t u r e , u n l e s s a r r a n g e m e n t s s h a l l h a v e b e e n m a d e t o a s s u r e t h a t s u c h B o n d , i f t e n d e r e d f o r p u r c h a s e p r i o r t o t h e d a t e o f i t s r e d e m p t i o n o r m a t u r i t y i n a c c o r d a n c e w i t h t h e p r o v i s i o n s o f t h e a p p l i c a b l e S u p p l e m e n t a l I n d e n t u r e , c o u l d b e p a i d a n d r e d e e m e d f r o m s u c h m o n e y s o r D e f e a s a n c e S e c u r i t i e s a s a r e p r o v i d e d p u r s u a n t t o t h i s S e c t i o n 1 0 . 0 2 . S e c t i o n 1 0 . 0 3 U n c l a i m e d M o n e y s . A n y t h i n g c o n t a i n e d h e r e i n t o t h e c o n t r a r y n o t w i t h s t a n d i n g , a n y m o n e y s h e l d b y t h e T r u s t e e i n t r u s t f o r t h e p a y m e n t a n d d i s c h a r g e o f a n y o f t h e B o n d s t h a t r e m a i n u n c l a i m e d f o r t w o ( 2 ) y e a r s a f t e r t h e d a t e w h e n s u c h B o n d s s h a l l h a v e b e c o m e d u e a n d p a y a b l e ( d u r i n g w h i c h p e r i o d t h e T r u s t e e s h a l l h o l d s u c h m o n e y s w i t h o u t l i a b i l i t y f o r i n t e r e s t ) , e i t h e r a t t h e i r s t a t e d m a t u r i t y d a t e s , , t e n d e r f o r p u r c h a s e o r b y c a l l f o r r e d e m p t i o n , i f s u c h m o n e y s w e r e h e l d b y t h e T r u s t e e a t s u c h d a t e , o r f o r t w o ( 2 ) y e a r s a f t e r t h e d a t e o f d e p o s i t o f s u c h m o n e y s , i f d e p o s i t e d w i t h T r u s t e e a f t e r t h e d a t e w h e n s u c h B o n d s o r t h e P u r c h a s e P r i c e t h e r e o f b e c a m e d u e a n d p a y a b l e , s h a l l a u t o m a t i c a l l y b e r e p a i d b y t h e T r u s t e e t o t h e C o m m i s s i o n a s i t s a b s o l u t e p r o p e r t y f r e e f r o m t r u s t , a n d t h e T r u s t e e s h a l l t h e r e u p o n b e r e l e a s e d a n d d i s c h a r g e d w i t h r e s p e c t t h e r e t o a n d t h e H o l d e r s s h a l l l o o k o n l y t o t h e C o m m i s s i o n f o r t h e p a y m e n t o f t h e p r i n c i p a l o r P u r c h a s e P r i c e o f , t h e r e d e m p t i o n p r e m i u m s , i f a n y , a n d i n t e r e s t o n s u c h B o n d s . A R T I C L E X I M I S C E L L A N E O U S S e c t i o n 1 1 . 0 1 L i a b i l i t y o f C o m m i s s i o n L i m i t e d t o R e v e n u e . N o t w i t h s t a n d i n g a n y t h i n g c o n t a i n e d h e r e i n , t h e C o m m i s s i o n s h a l l n o t b e r e q u i r e d t o a d v a n c e a n y m o n e y d e r i v e d f r o m a n y s o u r c e o f i n c o m e o t h e r t h a n R e v e n u e a s p r o v i d e d h e r e i n f o r t h e p a y m e n t o f t h e p r i n c i p a l o f o r r e d e m p t i o n p r e m i u m , i f a n y , o r i n t e r e s t o n t h e B o n d s o r f o r t h e p e r f o r m a n c e o f a n y a g r e e m e n t s o r c o v e n a n t s c o n t a i n e d h e r e i n . T h e C o m m i s s i o n m a y , h o w e v e r , a d v a n c e f u n d s f o r a n y s u c h p u r p o s e s o l o n g a s s u c h f u n d s a r e d e r i v e d f r o m a s o u r c e l e g a l l y a v a i l a b l e f o r s u c h p u r p o s e a n d m a y b e u s e d b y t h e C o m m i s s i o n f o r s u c h p u r p o s e w i t h o u t i n c u r r i n g a n i n d e b t e d n e s s p r o h i b i t e d h e r e b y . T h e B o n d s a r e s p e c i a l o b l i g a t i o n s o f t h e C o m m i s s i o n p a y a b l e , a s t o p r i n c i p a l t h e r e o f , a n d r e d e m p t i o n p r e m i u m , i f a n y , u p o n t h e r e d e m p t i o n o f a n y t h e r e o f , a n d i n t e r e s t t h e r e o n , s o l e l y f r o m R e v e n u e a s p r o v i d e d h e r e i n a n d t h e C o m m i s s i o n i s n o t o b l i g a t e d t o p a y t h e m e x c e p t f r o m R e v e n u e . T h e B o n d s d o n o t c o n s t i t u t e a d e b t o r l i a b i l i t y o f t h e S t a t e o r o f a n y p o l i t i c a l s u b d i v i s i o n o f t h e S t a t e o t h e r t h a n t h e C o m m i s s i o n , o r a p l e d g e o f t h e f u l l f a i t h a n d c r e d i t o f t h e S t a t e o r o f a n y p o l i t i c a l s u b d i v i s i o n o f t h e S t a t e . S e c t i o n 1 1 . 0 2 L i m i t a t i o n o f R i g h t s ; T h i r d P a r t y B e n e f i c i a r y . W i t h t h e e x c e p t i o n o f r i g h t s h e r e i n e x p r e s s l y c o n f e r r e d , n o t h i n g e x p r e s s e d o r m e n t i o n e d i n o r t o b e i m p l i e d f r o m t h i s I n d e n t u r e o r t h e B o n d s i s i n t e n d e d o r s h a l l b e c o n s t r u e d t o g i v e t o a n y P e r s o n o t h e r t h a n t h e B o n d h o l d e r s a n d e a c h C r e d i t P r o v i d e r a n y l e g a l o r e q u i t a b l e r i g h t , r e m e d y o r c l a i m u n d e r o r i n r e s p e c t t o t h i s I n d e n t u r e o r a n y c o v e n a n t s , c o n d i t i o n s a n d p r o v i s i o n s h e r e i n c o n t a i n e d ; t h i s O H S W e s t . - 2 6 0 9 3 5 7 0 9 4 4 9 5 0 4 Indenture and all of the covenants, conditions and provisions herein being intended to be and being for the sole and exclusive benefit of the Bondholders and each Credit Provider. Section 11.03 Rights of Credit Providers. (a) A Supplemental Indenture authorizing a Series of Bonds may provide that any Credit Provider providing a Credit Support Instrument with respect to Bonds of such Series may exercise any right under this Indenture given to the Owners of the Bonds to which such Credit Support Instrument relates. (b) All provisions under this Indenture authorizing the exercise of rights by a Credit Provider with respect to consents, approvals, directions, waivers, appointments, requests or other actions, shall be deemed not to require or permit such consents, approvals, directions, waivers, appointments, requests or other actions and shall be read as if the Credit Provider were not mentioned therein during any period during which there is a default by such Credit Provider under the applicable Credit Support Instrument or after the applicable Credit Support Instrument shall at any time for any reason cease to be valid and binding on the Credit Provider, or shall be declared to be null and void by final judgment of a court of competent jurisdiction, or after the Credit Support Instrument has been rescinded, repudiated by the Credit Provider or terminated, or after a receiver, conservator or liquidator has been appointed for the Credit Provider or if the Credit Provider is rated below Baa3 by Moody's or BBB- by S&P. All provisions relating to the rights of a Credit Provider shall be of no further force and effect if all amounts owing to the Credit Provider under a Credit Support Instrument have been paid and the Credit Support Instrument provided by such Credit Provider is no longer in effect. Section 11.04 Severability. If any provision of this Indenture is held to be in conflict with any applicable statute or rule of law or is otherwise held to be unenforceable for any reason whatsoever, such circumstances shall not have the effect of rendering the other provision or provisions herein contained invalid, inoperative, or unenforceable to any extent whatsoever. If any one or more of the provisions contained in this Indenture or in the Bonds shall for any reason be held to be invalid, illegal or unenforceable in any respect, then such provision or provisions shall be deemed severable from the remaining provisions contained in this Indenture and such invalidity, illegality or unenforceability shall not affect any other provision of this Indenture, and this Indenture shall be construed as if such invalid or illegal or unenforceable provision had never been contained herein. The Commission hereby declares that it would have executed this Indenture and each and every other section, paragraph, sentence, clause or phrase hereof, and authorized the issuance of the Bonds pursuant to this Indenture, irrespective of the fact that any one or more sections, paragraphs, sentences, clausesor phrases of this Indenture may be held illegal, invalid or unenforceable. OHS West:260935709.4 50 • 505 " " " S e c t i o n 1 1 . 0 5 N o t i c e s . E x c e p t a s o t h e r w i s e p r o v i d e d h e r e i n , i t s h a l l b e s u f f i c i e n t s e r v i c e o r g i v i n g o f n o t i c e , r e q u e s t , c o m p l a i n t , d e m a n d o r o t h e r p a p e r i f t h e s a m e s h a l l b e d u l y m a i l e d b y r e g i s t e r e d o r c e r t i f i e d m a i l , p o s t a g e p r e p a i d , a d d r e s s e d a s f o l l o w s : I f t o t h e C o m m i s s i o n : R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n P . O . B o x 1 2 0 0 8 R i v e r s i d e , C a l i f o r n i a 9 2 5 0 2 A t t e n t i o n : C h i e f F i n a n c i a l O f f i c e r T e l e p h o n e : ( 9 5 1 ) 7 8 7 - 7 1 4 1 F a x : ( 9 5 1 ) 7 8 7 - 7 9 2 0 I f t o t h e T r u s t e e : U . S . B a n k N a t i o n a l A s s o c i a t i o n 6 3 3 W e s t F i f t h S t r e e t , 2 4 t h F l o o r L o s A n g e l e s , C A 9 0 0 7 1 A t t e n t i o n : C o r p o r a t e T r u s t S e r v i c e s T e l e p h o n e : ( 2 1 3 ) 6 1 5 - 6 0 0 2 F a x : ( 2 1 3 ) 6 1 5 - 6 1 9 9 T h e C o m m i s s i o n a n d t h e T r u s t e e b y n o t i c e g i v e n h e r e u n d e r m a y d e s i g n a t e a n y d i f f e r e n t a d d r e s s e s t o w h i c h s u b s e q u e n t n o t i c e s , c e r t i f i c a t e s o r o t h e r c o m m u n i c a t i o n s s h a l l b e s e n t , o r a d d r e s s e s o r o t h e r i n s t r u c t i o n s f o r t h e g i v i n g o f E l e c t r o n i c n o t i c e , b u t n o n o t i c e d i r e c t e d t o a n y o n e s u c h e n t i t y s h a l l b e t h e r e b y r e q u i r e d t o b e s e n t t o m o r e t h a n t w o a d d r e s s e s . S e c t i o n H . 0 6 P a y m e n t s D u e o n N o n - B u s i n e s s D a y s . E x c e p t a s s p e c i f i c a l l y p r o v i d e d o t h e r w i s e i n a S u p p l e m e n t a l I n d e n t u r e , a n y p a y m e n t o r t r a n s f e r t h a t w o u l d o t h e r w i s e b e c o m e d u e o n a d a y t h a t i s n o t a B u s i n e s s D a y n e e d n o t b e m a d e o n s u c h d a y b u t s h a l l b e m a d e o n t h e n e x t s u c c e e d i n g B u s i n e s s D a y , w i t h t h e s a m e f o r c e a n d e f f e c t a s i f m a d e o n t h e d a t e d u e , a n d n o i n t e r e s t s h a l l a c c r u e f o r t h e p e r i o d f r o m a n d a f t e r t h e d a t e d u e . S e c t i o n 1 1 . 0 7 C a p t i o n s . T h e c a p t i o n s o r h e a d i n g s i n t h i s I n d e n t u r e a r e f o r c o n v e n i e n c e o n l y a n d i n n o w a y d e f i n e , l i m i t o r d e s c r i b e t h e s c o p e o r i n t e n t o f a n y p r o v i s i o n s o r s e c t i o n s o f t h i s I n d e n t u r e . S e c t i o n 1 1 . 0 8 C a l i f o r n i a L a w . T h i s I n d e n t u r e s h a l l b e c o n s t r u e d a n d g o v e r n e d i n a c c o r d a n c e w i t h t h e l a w s o f t h e S t a t e o f C a l i f o r n i a . S e c t i o n 1 1 . 0 9 E f f e c t i v e D a t e . T h i s I n d e n t u r e s h a l l b e c o m e e f f e c t i v e u p o n i t s e x e c u t i o n a n d d e l i v e r y . S e c t i o n 1 1 . 1 0 E x e c u t i o n i n S e v e r a l C o u n t e r p a r t s . T h i s I n d e n t u r e m a y b e e x e c u t e d i n a n y n u m b e r o f c o u n t e r p a r t s a n d e a c h o f s u c h c o u n t e r p a r t s s h a l l f o r a l l p u r p o s e s b e O H S W e s t 2 6 0 9 3 5 7 0 9 . 4 5 1 5 0 6 deemed to be an original; and all such counterparts, or as many of them as the Commission and Trustee shall preserve undestroyed, shall together constitute but one and the same instrument. OHS West:260935709.4 52 • • 507 IN WITNESS WHEREOF, the parties hereto have caused this Subordinate Indenture to be executed by their officers thereunto duly authorized as of the day and year first written above. Countersigned: Clerk of the Board OHS West260935709 4 RIVERSIDE COUNTY TRANSPORTATION COMMISSION By Executive Director U.S. BANK NATIONAL ASSOCIATION as Trustee By Authorized Officer 53 508 ATTACHMENT 5 FIRST SUPPLEMENTAL INDENTURE between RIVERSIDE COUNTY TRANSPORTATION COMMISSION and U.S. BANK NATIONAL ASSOCIATION, as Trustee Dated as of 1, 201 Relating to the Riverside County Transportation Commission Toll Revenue Bonds, 201 Series A (Supplementing the Master Indenture Dated as of 1, 201_) OHS West.26094 1335.I 509 TABLE OF CONTENTS Page ARTICLE XII DEFINITIONS Section 12.01. Definitions 1 Section I2.02. Rules of Construction 2 ARTICLE XIII FINDINGS, DETERMINATIONS AND DIRECTIONS Section 13.01. Findings and Determinations 3 Section 13.02. Recital in Bonds 3 Section 13.03. Effect of Findings and Recital 3 ARTICLE XIV AUTHORIZATION OF 201 SERIES A BONDS Section 14.01. Principal Amount, Designation and Series 3 Section 14.02. Purpose 3 Section 14.03. Form, Denomination, Numbers and Letters 4 Section 14.04. Date, Maturities and Interest Rates 4 Section 14.05. Conditions To Delivery of 201_ Series A Bonds 5 Section 14.06. 201_ Series A Bonds Reserve Requirement 5 Section 14.07. Disposition of Proceeds of 201Series A Bonds 5 ARTICLE XV REDEMPTION OF 201 SERIES A BONDS Section 15.01. Optional Redemption of 201Series A Bonds 5 Section 15.02. Mandatory Redemption of 201_ Series A Bonds From Sinking Fund Installments 6 Section 15.03. Selection of 201_ Series A Bonds for Redemption 7 Section 15.04. Purchase In Lieu of Redemption g ARTICLE XVI ESTABLISHMENT OF FUNDS AND ACCOUNTS AND APPLICATION THEREOF Section 16.01. Funds and Accounts g Section 16.02. 201_ Series A Bonds Project Fund g Section 16.03. 201_ Series A Bonds Costs of Issuance Fund 9 Section 16.04. 201_ Series A Reserve Account 9 OHS West:260941335.1 -i- 510 Section 17.01. Section 17.02. Section 17.03. Section 17.04. Section 17.05. Section 17.06. Section 17.07. Section 17.08. Exhibit A Exhibit B OHS West260941335.1 TABLE OF CONTENTS (continued) Page ARTICLE XVII MISCELLANEOUS Severability 9 Parties Interested Herein 9 Headings Not Binding 10 Notice Addresses 10 Notices to Rating Agencies 10 Indenture to Remain in Effect 10 Effective Date of First Supplemental Indenture 10 Execution in Counterparts 10 Form of 201 Series A Bond A-1 Notice Addresses B-1 511 " " " T H I S F I R S T S U P P L E M E N T A L I N D E N T U R E , d a t e d a s o f 1 , 2 0 1 _ ( t h i s " F i r s t S u p p l e m e n t a l I n d e n t u r e " ) , b e t w e e n t h e R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N , a p u b l i c e n t i t y d u l y e x i s t i n g u n d e r t h e l a w s o f t h e S t a t e o f C a l i f o r n i a ( t h e " C o m m i s s i o n " ) a n d U . S . B A N K N A T I O N A L A S S O C I A T I O N , a n a t i o n a l b a n k i n g a s s o c i a t i o n d u l y o r g a n i z e d a n d e x i s t i n g u n d e r t h e l a w s o f t h e U n i t e d S t a t e s o f A m e r i c a , a s t r u s t e e ( t o g e t h e r w i t h a n y s u c c e s s o r t h e r e t o , t h e " T r u s t e e " ) . W I T N E S S E T H : W H E R E A S , t h i s F i r s t S u p p l e m e n t a l I n d e n t u r e i s s u p p l e m e n t a l t o t h e M a s t e r I n d e n t u r e , d a t e d a s o f 1 , 2 0 1 _ ( a s s u p p l e m e n t e d a n d a m e n d e d f r o m t i m e t o t i m e p u r s u a n t t o i t s t e r m s , t h e " I n d e n t u r e " ) , b e t w e e n t h e C o m m i s s i o n a n d t h e T r u s t e e ; W H E R E A S , t h e I n d e n t u r e p r o v i d e s t h a t t h e C o m m i s s i o n m a y i s s u e B o n d s f r o m t i m e t o t i m e a s a u t h o r i z e d b y a S u p p l e m e n t a l I n d e n t u r e , w h i c h B o n d s a r e t o b e p a y a b l e f r o m R e v e n u e a n d c e r t a i n o t h e r a m o u n t s , i n c l u d i n g s u c h o t h e r s o u r c e s a s m a y b e s p e c i f i e d w i t h r e s p e c t t o a p a r t i c u l a r S e r i e s o f B o n d s i n t h e S u p p l e m e n t a l I n d e n t u r e a u t h o r i z i n g s u c h S e r i e s ; a n d W H E R E A S , t h e C o m m i s s i o n d e s i r e s t o p r o v i d e a t t h i s t i m e f o r t h e i s s u a n c e o f B o n d s s e c u r e d b y t h e p l e d g e o f R e v e n u e u n d e r t h e I n d e n t u r e , s u c h B o n d s t o b e d e s i g n a t e d " R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n T o l l R e v e n u e B o n d s , 2 0 1 _ S e r i e s A , " f o r t h e p u r p o s e o f p r o v i d i n g f u n d s t o p a y f o r t h e c o s t s o f t h e i n i t i a l p h a s e o f t h e R i v e r s i d e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t , a l l a s p r o v i d e d i n t h i s F i r s t S u p p l e m e n t a l I n d e n t u r e ; N O W , T H E R E F O R E , t h e p a r t i e s h e r e t o h e r e b y a g r e e a s f o l l o w s : A R T I C L E X I I D E F I N I T I O N S S e c t i o n 1 2 . 0 1 . D e f i n i t i o n s . ( a ) D e f i n i t i o n s . U n l e s s t h e c o n t e x t o t h e r w i s e r e q u i r e s , o r a s o t h e r w i s e p r o v i d e d i n s u b s e c t i o n ( b ) o f t h i s S e c t i o n , a l l t e r n s d e f i n e d i n t h e I n d e n t u r e s h a l l h a v e t h e s a m e m e a n i n g s , r e s p e c t i v e l y , i n t h i s F i r s t S u p p l e m e n t a l I n d e n t u r e . ( b ) A d d i t i o n a l D e f i n i t i o n s . U n l e s s t h e c o n t e x t o t h e r w i s e r e q u i r e s , t h e f o l l o w i n g t e r m s s h a l l , f o r a l l p u r p o s e s o f t h i s F i r s t S u p p l e m e n t a l I n d e n t u r e , h a v e t h e f o l l o w i n g m e a n i n g s : " A u t h o r i z e d D e n o m i n a t i o n s " m e a n s , w i t h r e s p e c t t o 2 0 1 _ S e r i e s A B o n d s , $ 5 , 0 0 0 a n d a n y i n t e g r a l m u l t i p l e t h e r e o f . " C u r r e n t I n t e r e s t B o n d s " m e a n s B o n d s t h e i n t e r e s t r a t e o n w h i c h i s f i x e d o n t h e d a t e o f i s s u a n c e o f s u c h B o n d s a t a s i n g l e n u m e r i c a l r a t e f o r t h e e n t i r e t e r m o f t h e B o n d s a n d w h i c h p a y i n t e r e s t s e m i a n n u a l l y t o t h e O w n e r s t h e r e o f e x c l u d i n g t h e f i r s t p a y m e n t o f i n t e r e s t t h e r e o n . O H S W e s t : 2 6 0 9 4 1 3 3 5 . t 5 1 2 "First Supplemental Indenture" means this First Supplemental Indenture, dated as of 1, 201_. "Interest Payment Date" means with respect to the 201_ Series A Bonds, [June 1 and December 1 ] of each year until the redemption or maturity of such 201_ Series A Bonds, commencing with 1, 200_ "Issue Date" means, with respect to the 201_ Series A Bonds, the date on which the 201_ Series A Bonds are first delivered to the purchasers thereof. "Record Date" means, with respect to the 201_ Series A Bonds, the fifteenth (15th) day (whether or not a Business Day) of the month preceding the month in which such Interest Payment Date occurs. "Second Supplemental Indenture" means that certain Second Supplemental Indenture, of even date herewith, between the Commission and the Trustee, as amended and supplemented from time to time. "201_ Series A Bonds" means the Riverside County Transportation Commission Toll Revenue Bonds, 201_ Series A, authorized by Article XIV of this Indenture. ["201_ Series A Bonds Tax Certificate" shall mean that certain Tax Certificate executed on behalf of the Commission in connection with the issuance of the 201_ Series A Bonds and relating to the requirements of the Code.] "201_ Series A Bonds Costs of Issuance Fund" means the 201_ Series A Bonds Costs of Issuance Fund established pursuant to Section 16.02. "201_ Series B Bonds" means the Riverside County Transportation Commission Toll Revenue Bonds, 201_ Series B, authorized by the Second Supplemental Indenture. Section 12.02. Rules of Construction. Words of the masculine gender shall be deemed and construed to include correlative words of the feminine and neuter genders. Unless the context shall otherwise indicate, words importing the singular number shall include the plural number and vice versa, and words importing persons shall include corporations and associations, including public bodies, as well as natural persons. Defined terms shall include any variant of the terms set forth in this Article XII. The terms "hereby," "hereof," "hereto," "herein," "hereunder," and any similar terms, as used in this First Supplemental Indenture, refer to the Indenture. OHS West:260941335.1 -2- 513 " A R T I C L E X I I I F I N D I N G S , D E T E R M I N A T I O N S A N D D I R E C T I O N S S e c t i o n 1 3 . 0 1 . F i n d i n g s a n d D e t e r m i n a t i o n s . T h e C o m m i s s i o n h e r e b y f i n d s a n d d e t e r m i n e s t h a t t h e 2 0 1 _ S e r i e s A B o n d s s h a l l b e i s s u e d p u r s u a n t t o A r t i c l e X I V h e r e o f a n d u p o n t h e i s s u a n c e o f t h e 2 0 1 _ S e r i e s A B o n d s , a n y a n d a l l a c t s , c o n d i t i o n s a n d t h i n g s r e q u i r e d t o e x i s t , t o h a p p e n a n d t o b e p e r f o r m e d , p r e c e d e n t t o a n d i n t h e i s s u a n c e t h e r e o f , w i l l e x i s t , w i l l h a v e h a p p e n e d a n d w i l l h a v e b e e n p e r f o r m e d , i n d u e t i m e , f o r m a n d m a n n e r , a s r e q u i r e d b y t h e C o n s t i t u t i o n a n d s t a t u t e s o f t h e S t a t e . S e c t i o n 1 3 . 0 2 . R e c i t a l i n B o n d s . T h e r e s h a l l b e i n c l u d e d i n e a c h o f t h e d e f i n i t i v e 2 0 1 _ S e r i e s A B o n d s , a n d a l s o i n e a c h o f t h e t e m p o r a r y 2 0 1 _ S e r i e s A B o n d s , i f a n y a r e i s s u e d , a c e r t i f i c a t i o n a n d r e c i t a l t h a t a n y a n d a l l a c t s , c o n d i t i o n s a n d t h i n g s r e q u i r e d t o e x i s t , t o h a p p e n a n d t o b e p e r f o r m e d , p r e c e d e n t t o a n d i n t h e i n c u r r i n g o f t h e i n d e b t e d n e s s e v i d e n c e d b y t h a t 2 0 1 _ S e r i e s A B o n d , a n d i n t h e i s s u i n g o f t h a t 2 0 1 _ S e r i e s A B o n d , e x i s t , h a v e h a p p e n e d a n d h a v e b e e n p e r f o r m e d i n d u e t i m e , f o r m a n d m a n n e r , a s r e q u i r e d b y t h e C o n s t i t u t i o n a n d s t a t u t e s o f t h e S t a t e a n d t h e A c t , a n d t h a t s a i d 2 0 1 _ S e r i e s A B o n d , t o g e t h e r w i t h a l l o t h e r i n d e b t e d n e s s o f t h e C o m m i s s i o n p a y a b l e o u t o f R e v e n u e , i s w i t h i n e v e r y d e b t a n d o t h e r l i m i t p r e s c r i b e d b y t h e C o n s t i t u t i o n a n d s t a t u t e s o f t h e S t a t e a n d t h e A c t , a n d t h a t s u c h c e r t i f i c a t i o n a n d r e c i t a l s h a l l b e i n s u c h f o r m a s i s s e t f o r t h i n t h e f o r m o f t h e 2 0 1 _ S e r i e s A B o n d a t t a c h e d h e r e t o a s E x h i b i t A . S e c t i o n 1 3 . 0 3 . E f f e c t o f F i n d i n g s a n d R e c i t a l . F r o m a n d a f t e r t h e i s s u a n c e o f t h e 2 0 1 _ S e r i e s A B o n d s , t h e f i n d i n g s a n d d e t e r m i n a t i o n s h e r e i n s h a l l b e c o n c l u s i v e e v i d e n c e o f t h e e x i s t e n c e o f t h e f a c t s s o f o u n d a n d d e t e r m i n e d i n a n y a c t i o n o r p r o c e e d i n g i n a n y c o u r t i n w h i c h t h e v a l i d i t y o f t h e 2 0 1 _ S e r i e s A B o n d s i s a t i s s u e , a n d n o b o n a f i d e p u r c h a s e r o f a n y s u c h 2 0 1 _ S e r i e s A B o n d c o n t a i n i n g t h e c e r t i f i c a t i o n a n d r e c i t a l s h a l l b e r e q u i r e d t o s e e t o t h e e x i s t e n c e o f a n y f a c t , o r t o t h e p e r f o r m a n c e o f a n y c o n d i t i o n , o r t o t h e t a k i n g o f a n y p r o c e e d i n g , r e q u i r e d p r i o r t o s u c h i s s u a n c e , o r t o t h e a p p l i c a t i o n o f t h e p u r c h a s e p r i c e f o r s u c h 2 0 1 _ S e r i e s A B o n d s . A R T I C L E X I V A U T H O R I Z A T I O N O F 2 0 1 S E R I E S A B O N D S S e c t i o n 1 4 . 0 1 . P r i n c i p a l A m o u n t , D e s i g n a t i o n a n d S e r i e s . P u r s u a n t t o t h e p r o v i s i o n s o f t h i s I n d e n t u r e a n d t h e p r o v i s i o n s o f t h e A c t , a S e r i e s o f B o n d s e n t i t l e d t o t h e b e n e f i t , p r o t e c t i o n a n d s e c u r i t y o f s u c h p r o v i s i o n s , i n c l u d i n g w i t h o u t l i m i t a t i o n t h e p l e d g e o f R e v e n u e a n d o t h e r a m o u n t s i n A r t i c l e V h e r e o f , i s h e r e b y a u t h o r i z e d i n t h e a g g r e g a t e p r i n c i p a l a m o u n t o f $ . S u c h B o n d s s h a l l b e d e s i g n a t e d a s , a n d s h a l l b e d i s t i n g u i s h e d f r o m t h e B o n d s o f a l l o t h e r S e r i e s b y t h e t i t l e , " R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n T o l l R e v e n u e B o n d s , 2 0 1 _ S e r i e s A . " S e c t i o n 1 4 . 0 2 . P u r p o s e . T h e 2 0 1 _ S e r i e s A B o n d s a r e i s s u e d f o r t h e p u r p o s e o f f i n a n c i n g t h e R i v e r s i d e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t , f u n d i n g t h e r e q u i r e d d e p o s i t t o t h e 2 0 1 _ S e r i e s A R e s e r v e A c c o u n t a n d p a y i n g c o s t s o f i s s u a n c e . O H S W e s t : 2 6 0 9 4 1 3 3 5 . 1 - 3 - 5 1 4 Section 14.03. Form, Denomination, Numbers and Letters. The 201_ Series A Bonds shall be issued as Book -Entry Bonds in fully registered form in Authorized Denominations and shall be numbered from one upward in consecutive numerical order preceded by the letter "R" prefixed to the number. The 201_ Series A Bonds and the certificate of. authentication shall be substantially in the form attached hereto as Exhibit A, which form is hereby approved and adopted as the form of the 201_ Series A Bonds and as the form of the certificate of authentication. Section 14.04. Date, Maturities and Interest Rates. (a) The 201_ Series A Bonds shall be issued as Current Interest Bonds in the aggregate principal amount of $ . The 201 Series A Bonds shall be dated their Issue Date, shall bear interest from that date at the following rates per annum, computed on the basis of a 360-day year comprised of twelve 30-day months, and shall mature on June 1 in the following years and in the following amounts: Maturity Date (June 1) Principal Amount Interest Rate * Term Bond Final Maturity f Priced to first call date of June 1, 20_ at par. (b) Each 201_ Series A Bond shall bear interest from the latest of: (i) its Issue Date; (ii) the most recent Interest Payment Date to which interest has been paid thereon or duly provided for, or (iii) if the date of authentication of such Bond is after a Record Date but prior to the immediately succeeding Interest Payment Date, the Interest Payment Date immediately succeeding such date of authentication (c) As long as the 201_ Series A Bonds are Book -Entry Bonds, principal of and premium, if any, and interest on the 201_ Series A Bonds shall be payable by wire transfer to the Securities Depository in lawful money of the United States of America. (d) If the 201_ Series A Bonds cease to be Book -Entry Bonds, principal of and premium, if any, on the 201_ Series A Bonds shall be payable when due upon presentation and surrender thereof at the Principal Office of the Trustee and interest shall be payable by first class mail on each interest payment date to the Owners thereof as of the close of business on the Record Date; provided, however, that Owners of $1,000,000 or more in aggregate principal amount of 201_ Series A Bonds may, at any time prior to a Record Date, give the Trustee written instructions for payment of such interest on each succeeding interest payment date by wire transfer. OHS Wesc260941335 l -4- • 515 Section 14.05. Conditions To Delivery of 201 Series A Bonds. Each of the 201_ Series A Bonds shall be executed and delivered as authorized by this First Supplemental Indenture and the Indenture, including Articles II and III thereof, upon the receipt of payment therefor from the purchaser thereof. Section 14.06. 201 Series A Bonds Reserve Requirement. The Reserve Requirement, calculated with respect to the Bonds that will be Outstanding upon the issuance of the 201_ Series A Bonds and the 201_ Series B Bonds, will be $ , and this Reserve Requirement is satisfied by $ deposited in the Reserve Fund from the proceeds of the 201_ Series A Bonds together with $ deposited in the Reserve Fund from the proceeds of the 201_ Series B Bonds pursuant to the provisions of the Second Supplemental Indenture, which amounts will total not less than $ Section 14.07. Disposition of Proceeds of 201 Series A Bonds. The net proceeds from the sale of the 201_ Series A Bonds shall be received by the Trustee and transferred and deposited by the Trustee as follows: (i) Deposit $ into the 201_ Series A Bonds Costs of Issuance Fund; (ii) Deposit $ into the 201_ Series A Reserve Account in the Reserve Fund; and (iii) Deposit the remaining amount of $ into the 201_ Series A Bonds Project Fund. ARTICLE XV REDEMPTION OF 201 SERIES A BONDS Section 15.01. Optional Redemption of 201 Series A Bonds. (a) The 201_ Series A Bonds maturing on or before June 1, 20 shall not be subject to redemption prior to their respective stated maturities. The 201 Series A Bonds maturing on or after June 1, 20 shall be subject to redemption prior to their respective stated maturities, at the option of the Commission, from any source of available funds, as a whole or in part, on any date on or after June 1, 20 at the principal amount of 201_ Series A Bonds called for redemption plus accrued interest to the date fixed for redemption, without premium. The Commission shall give the Trustee written notice at least thirty (30) days (or such lesser time period acceptable to the Trustee) before any date fixed for the redemption of the 201_ Series A Bonds to be redeemed pursuant to this subsection (a), designating the maturity or maturities of the 201_ Series A Bonds to be redeemed, the portions thereof to be redeemed and the fact and date of such redemption. (b) Any optional redemption of 201_ Series A Bonds and notice thereof shall be rescinded and cancelled pursuant to the provisions of Section 4.03 if for any reason on the date fixed for redemption moneys are not available in the Redemption Fund or otherwise held in trust OHS West: 260941335.1 -5- 516 for such purpose in an amount sufficient to pay in full on said date the principal of, interest, and any premium due on the 201_ Series A Bonds called for redemption. Section 15.02. Mandatory Redemption of 201 Series A Bonds From Sinking Fund Installments. (a) The 201_ Series A Bonds maturing on June I, 20_ June 1, 20_ June I, 20 and June 1, 20_ respectively, shall also be subject to mandatory redemption prior to their respective stated maturities, in part, by lot, from Sinking Fund Installments on each June 1 a Sinking Fund Installment is due as specified in Section 15.02(b), in the principal amount equal to the Sinking Fund Installment due on such date and at a redemption price equal to 100% of the principal amount thereof, plus accrued but unpaid interest to the redemption date, without premium. (b) The Sinking Fund Installments for the 201_ Series A Term Bond maturing on June I, 20 shall be due in the amounts and on the dates as follows: Sinking Fund Installment Dates Sinking Fund (June 1) Installments *Final Maturity (c) The Sinking Fund Installments for the 201_ Series A Term Bond maturing on June 1, 20 shall be due in the amounts and on the dates as follows: Sinking Fund Installment Dates Sinking Fund (June l) Installments *Final Maturity (d) The Sinking Fund Installments for the 201_ Series A Term Bond maturing on June 1, 20 shall be due in the amounts and on the dates as follows: OHS West:260941335.1 -6- • 517 " S i n k i n g F u n d I n s t a l l m e n t D a t e s S i n k i n g F u n d ( J u n e 1 ) I n s t a l l m e n t s * F i n a l M a t u r i t y ( e ) T h e S i n k i n g F u n d I n s t a l l m e n t s f o r t h e 2 0 1 _ S e r i e s A T e r m B o n d m a t u r i n g o n J u n e 1 , 2 0 s h a l l b e d u e i n t h e a m o u n t s a n d o n t h e d a t e s a s f o l l o w s : S i n k i n g F u n d I n s t a l l m e n t D a t e s S i n k i n g F u n d ( J u n e 1 ) I n s t a l l m e n t s * F i n a l M a t u r i t y O n o r b e f o r e t h e d a t e s u c h S i n k i n g F u n d I n s t a l l m e n t s a r e d u e , t h e T r u s t e e s h a l l d e p o s i t s u c h a m o u n t s t o t h e P r i n c i p a l A c c o u n t a n d a m o u n t s s o t r a n s f e r r e d s h a l l b e a p p l i e d a s p r o v i d e d i n S e c t i o n 5 . 0 2 a n d t h i s S e c t i o n 1 5 . 0 2 . S e c t i o n 1 5 . 0 3 . S e l e c t i o n o f 2 0 1 S e r i e s A B o n d s f o r R e d e m p t i o n . T h e C o m m i s s i o n s h a l l d e s i g n a t e w h i c h m a t u r i t i e s o f 2 0 1 _ S e r i e s A B o n d s a r e t o b e c a l l e d f o r r e d e m p t i o n p u r s u a n t t o S e c t i o n 1 5 . 0 1 a n d w h a t S i n k i n g F u n d I n s t a l l m e n t s a r e t o b e r e d u c e d a s a l l o c a t e d t o s u c h r e d e m p t i o n s . W h e n e v e r p r o v i s i o n i s m a d e i n t h i s I n d e n t u r e f o r t h e r e d e m p t i o n o f l e s s t h a n a l l o f t h e 2 0 1 _ S e r i e s A B o n d s m a t u r i n g o n a s p e c i f i c m a t u r i t y d a t e , t h e T r u s t e e s h a l l s e l e c t t h e B o n d s o f s u c h m a t u r i t y t o b e r e d e e m e d , f r o m t h e O u t s t a n d i n g B o n d s o f s u c h m a t u r i t y a n d S e r i e s n o t p r e v i o u s l y c a l l e d f o r r e d e m p t i o n , i n m i n i m u m d e n o m i n a t i o n s o f $ 5 , 0 0 0 ( o f p r i n c i p a l ) , b y l o t i n a n y m a n n e r w h i c h t h e T r u s t e e i n i t s s o l e d i s c r e t i o n s h a l l d e e m a p p r o p r i a t e . I n t h e e v e n t T e r m B o n d s a r e d e s i g n a t e d f o r r e d e m p t i o n , t h e C o m m i s s i o n m a y d e s i g n a t e t h e S i n k i n g F u n d I n s t a l l m e n t s u n d e r S e c t i o n 1 5 . 0 2 , o r p o r t i o n s t h e r e o f , t h a t a r e t o b e r e d u c e d a s a l l o c a t e d t o s u c h r e d e m p t i o n . T h e T r u s t e e s h a l l p r o m p t l y n o t i f y t h e C o m m i s s i o n i n w r i t i n g o f t h e B o n d s o f s u c h S e r i e s s o s e l e c t e d f o r r e d e m p t i o n . O H S W e s t . 2 6 0 9 4 1 3 3 5 _ 1 - 7 - 5 1 8 Section 15.04. Purchase In Lieu of Redemption. In lieu of mandatory redemption from Sinking Fund Installments, the Commission may surrender to the Trustee for cancellation 201_ Series A Term Bonds purchased on the open market and such 201_ Series A Term Bonds shall be cancelled by the Trustee. If any 201_ Series A Term Bonds are so cancelled, the Commission may designate the Sinking Fund Installments or portions thereof that are to be reduced as allocated to such cancellation. ARTICLE XVI ESTABLISHMENT OF FUNDS AND ACCOUNTS AND APPLICATION THEREOF Section 16.01. Funds and Accounts. To ensure the proper application of such portion of proceeds from the sale of the 201_ Series A Bonds to be applied to pay Costs of the Riverside SR-91 Corridor Improvement Project and Costs of Issuance of the 201_ Series A Bonds, there is hereby established the 201_ Series A Bonds Project Fund, which shall be held by the Trustee. To ensure the proper application of such proceeds from the sale of the 201_ Series A Bonds to be applied to satisfy the 201_ Series A Reserve Requirement, there is hereby established the 201_ Series A Reserve Account within the Reserve Fund, such account to be held by the Trustee. Section 16.02. 201 Series A Bonds Project Fund. The monies set aside and placed in the 201_ Series A Bonds Project Fund shall be expended for the purpose of paying the costs of the Riverside SR-91 Corridor Improvement Project and shall not be used for any other purpose whatsoever. Pursuant to Section 5.07, all interest, profits and other income received from the investment of moneys in the 201_ Series A Bonds Project Fund shall be deposited in the 201_ Series A Bonds Project Fund. (a) Before any payment from the 201_ Series A Bonds Project Fund shall be made by the Trustee, the Commission shall file or cause to be filed with the Trustee a requisition of the Commission in the form attached hereto as Exhibit C (each a "Requisition'), such Requisition to be signed by an Authorized Representative and to include: (i) the item number of such payment; (ii) the name and address of the person to whom each such payment is due, which may be the Commission in the case of reimbursement for costs theretofore paid by the Commission; (iii) the respective amounts to be paid; (iv) the purpose by general classification for which each obligation to be paid was incurred; and (v) that obligations in the stated amounts have been incurred by the Commission and are presently due and payable and that each item thereof is a proper charge against the 201_ Series A Bonds Project Fund and has not been previously paid from said fund. (b) When the Commission determines that the Riverside SR-91 Corridor Improvement Project has been completed, a Certificate of the Commission shall be delivered to the Trustee by the Commission stating: (i) the fact and date of such completion; (ii) that all of the costs thereof have been determined and paid (or that all of such costs have been paid less specified claims that are subject to dispute and for which a retention in the 201_ Series A Bonds Project Fund is to be maintained in the full amount of such claims until such dispute is resolved); and (iii) that the Trustee is to transfer the remaining balance in the 201_ Series A Bonds Project OHS West260941335.1 -8- 519 " F u n d , l e s s t h e a m o u n t o f a n y s u c h r e t e n t i o n , t o t h e 2 0 1 _ S e r i e s A R e s e r v e A c c o u n t , t o t h e e x t e n t o f a n y d e f i c i e n c y t h e r e i n , a n d t h e n t o t h e B o n d F u n d . S e c t i o n 1 6 . 0 3 . 2 0 1 S e r i e s A B o n d s C o s t s o f I s s u a n c e F u n d . T h e m o n i e s s e t a s i d e a n d p l a c e d i n t h e 2 0 1 _ S e r i e s A B o n d s C o s t s o f I s s u a n c e F u n d s h a l l r e m a i n t h e r e i n u n t i l 1 , 2 0 1 _ a n d e x p e n d e d f o r t h e p u r p o s e o f p a y i n g t h e C o s t s o f I s s u a n c e o f t h e 2 0 1 _ S e r i e s A B o n d s . B e f o r e a n y p a y m e n t f r o m t h e 2 0 1 _ S e r i e s A B o n d s C o s t s o f I s s u a n c e F u n d s h a l l b e m a d e b y t h e T r u s t e e , t h e C o m m i s s i o n s h a l l f i l e o r c a u s e t o b e f i l e d w i t h t h e T r u s t e e a r e q u i s i t i o n o f t h e C o m m i s s i o n ( e a c h a " R e q u i s i t i o n " ) , s u c h R e q u i s i t i o n t o b e s i g n e d b y a n A u t h o r i z e d R e p r e s e n t a t i v e a n d t o i n c l u d e : ( i ) t h e i t e m n u m b e r o f s u c h p a y m e n t ; ( i i ) t h e n a m e a n d a d d r e s s o f t h e p e r s o n t o w h o m e a c h s u c h p a y m e n t i s d u e , w h i c h m a y b e t h e C o m m i s s i o n i n t h e c a s e o f r e i m b u r s e m e n t f o r c o s t s t h e r e t o f o r e p a i d b y t h e C o m m i s s i o n ; ( i i i ) t h e r e s p e c t i v e a m o u n t s t o b e p a i d ; ( i v ) t h e p u r p o s e b y g e n e r a l c l a s s i f i c a t i o n f o r w h i c h e a c h o b l i g a t i o n t o b e p a i d w a s i n c u r r e d ; a n d ( v ) t h a t o b l i g a t i o n s i n t h e s t a t e d a m o u n t s h a v e b e e n i n c u r r e d b y t h e C o m m i s s i o n a n d a r e p r e s e n t l y d u e a n d p a y a b l e a n d t h a t e a c h i t e m t h e r e o f i s a p r o p e r c h a r g e a g a i n s t t h e 2 0 1 _ S e r i e s A B o n d s C o s t s o f I s s u a n c e F u n d a n d h a s n o t b e e n p r e v i o u s l y p a i d f r o m s a i d f u n d . O n 1 , 2 0 1 , a n y a m o u n t s r e m a i n i n g i n t h e 2 0 1 _ S e r i e s A B o n d s C o s t s o f I s s u a n c e F u n d s h a l l b e t r a n s f e r r e d t o t h e B o n d F u n d a n d t h e 2 0 1 _ S e r i e s A B o n d s C o s t s o f I s s u a n c e F u n d s h a l l b e c l o s e d . S e c t i o n 1 6 . 0 4 . 2 0 1 S e r i e s A R e s e r v e A c c o u n t . T h e m o n i e s s e t a s i d e a n d p l a c e d i n t h e 2 0 1 _ S e r i e s A R e s e r v e A c c o u n t o n a c c o u n t o f t h e 2 0 1 _ S e r i e s A R e s e r v e R e q u i r e m e n t s h a l l b e h e l d s o l e l y f o r t h e b e n e f i t o f t h e 2 0 1 S e r i e s A B o n d s a n d s h a l l b e u s e d , w i t h d r d a w n , a n d r e p l e n i s h e d a s p r o v i d e d h e r e i n a n d i n S e c t i o n 5 . 0 3 . I f , o n a n y d a t e o f v a l u a t i o n o f P e r m i t t e d I n v e s t m e n t s c r e d i t e d t o t h e 2 0 1 _ S e r i e s A R e s e r v e A c c o u n t p u r s u a n t t o S e c t i o n 5 . 0 7 , t h e a m o u n t o n d e p o s i t i n t h e 2 0 1 _ S e r i e s A R e s e r v e A c c o u n t e x c e e d s t h e 2 0 1 _ S e r i e s A R e s e r v e R e q u i r e m e n t a s o f s u c h d a t e , t h e T r u s t e e s h a l l t r a n s f e r s u c h e x c e s s a m o u n t t o t h e B o n d F u n d o r a s o t h e r w i s e d i r e c t e d p u r s u a n t t o a W r i t t e n R e q u e s t o f t h e C o m m i s s i o n , p r o v i d e d t h a t s u c h W r i t t e n R e q u e s t o f t h e C o m m i s s i o n i s a c c o m p a n i e d b y a n O p i n i o n o f B o n d C o u n s e l t o t h e e f f e c t t h a t s u c h t r a n s f e r s h a l l n o t a d v e r s e l y a f f e c t t h e r e c e i p t o f S u b s i d y P a y m e n t s w i t h r e s p e c t t o t h e 2 0 1 S e r i e s A B o n d s . A R T I C L E X V I I M I S C E L L A N E O U S S e c t i o n 1 7 . 0 1 . S e v e r a b i l i t y . I f a n y c o v e n a n t , a g r e e m e n t o r p r o v i s i o n , o r a n y p o r t i o n t h e r e o f , c o n t a i n e d i n t h i s F i r s t S u p p l e m e n t a l I n d e n t u r e , o r t h e a p p l i c a t i o n t h e r e o f t o a n y p e r s o n o r c i r c u m s t a n c e , i s h e l d t o b e u n c o n s t i t u t i o n a l , i n v a l i d o r u n e n f o r c e a b l e , t h e r e m a i n d e r o f t h i s F i r s t S u p p l e m e n t a l I n d e n t u r e , a n d t h e a p p l i c a t i o n o f a n y s u c h c o v e n a n t , a g r e e m e n t o r p r o v i s i o n , o r p o r t i o n t h e r e o f , t o o t h e r p e r s o n s o r c i r c u m s t a n c e s , s h a l l b e d e e m e d s e v e r a b l e a n d s h a l l n o t b e a f f e c t e d t h e r e b y , a n d t h i s F i r s t S u p p l e m e n t a l I n d e n t u r e s h a l l r e m a i n v a l i d . S e c t i o n 1 7 . 0 2 . P a r t i e s I n t e r e s t e d H e r e i n . N o t h i n g i n t h i s F i r s t S u p p l e m e n t a l I n d e n t u r e e x p r e s s e d o r i m p l i e d i s i n t e n d e d o r s h a l l b e c o n s t r u e d t o c o n f e r u p o n , o r t o g i v e t o , a n y p e r s o n o r e n t i t y , o t h e r t h a n t h e C o m m i s s i o n , t h e T r u s t e e , a n d t h e O w n e r s o f t h e 2 0 1 _ S e r i e s A B o n d s , a n y r i g h t , r e m e d y o r c l a i m u n d e r o r b y r e a s o n o f t h i s F i r s t S u p p l e m e n t a l I n d e n t u r e o r a n y O H S W e s t : 2 6 0 9 4 1 3 3 5 _ 1 - 9 - 5 2 0 covenant, condition or stipulation hereof; and all the covenants, stipulations, promises and agreements in this First Supplemental Indenture contained by and on behalf of the Commission shall be for the sole and exclusive benefit of the Commission, the Trustee, and the Owners. Section 17.03. Headings Not Binding. The headings in this First Supplemental Indenture are for convenience only and in no way define, limit or describe the scope or intent of any provisions or sections of this First Supplemental Indenture. Section 17.04. Notice Addresses. Except as otherwise provided herein, it shall be sufficient service or giving of notice, request, complaint, demand or other paper if the same shall be duly mailed by registered or certified mail, postage prepaid, addressed to the Notice Address for the appropriate party or parties as provided in Exhibit B hereto. Any such entity by notice given hereunder may designate any different addresses to which subsequent notices, certificates or other communications shall be sent, but no notice directed to any one such entity shall be thereby required to be sent to more than two addresses. Section 17.05. Notices to Rating Agencies. The Trustee shall provide notice to the Rating Agencies of the following events with respect to the 201_ Series A Bonds: (1) Change in Trustee; (2) Amendments to the Indenture; and (3) Redemption or defeasance of the 201_ Series A Bonds. Section 17.06. Indenture to Remain in Effect. Save and except as amended and supplemented by this First Supplemental Indenture, the Master Indenture shall remain in full force and effect. Section 17.07. Effective Date of First Supplemental Indenture. This First Supplemental Indenture shall take effect upon its execution and delivery. Section 17.08. Execution in Counterparts. This First Supplemental Indenture may be executed in several counterparts, each of which shall be deemed an original, and all of which shall constitute but one and the same instrument. OHS West:260941335.1 -10- • 521 " I N W I T N E S S W H E R E O F , t h e p a r t i e s h e r e t o h a v e e x e c u t e d t h i s F i r s t S u p p l e m e n t a l I n d e n t u r e b y t h e i r o f f i c e r s t h e r e u n t o d u l y a u t h o r i z e d a s o f t h e d a y a n d y e a r f i r s t w r i t t e n a b o v e . C o u n t e r s i g n e d : C l e r k o f t h e B o a r d O H S W e s t 2 6 0 9 4 1 3 3 5 I R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N B y : E x e c u t i v e D i r e c t o r U . S . B A N K N A T I O N A L A S S O C I A T I O N B y : A u t h o r i z e d O f f i c e r 5 2 2 " " " E X H I B I T A - 1 F O R M O F 2 0 1 S E R I E S A B O N D N o . R A - $ R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n T o l l R e v e n u e B o n d ( F i x e d R a t e B o n d ) , 2 0 1 _ S e r i e s A I N T E R E S T R A T E M A T U R I T Y I S S U E D A T E J u n e 1 , 2 0 _ ( 1 , 2 0 1 _ R E G I S T E R E D O W N E R : C e d e & C o . P R I N C I P A L A M O U N T : D o l l a r s C U S I P R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N , a p u b l i c e n t i t y d u l y o r g a n i z e d a n d e x i s t i n g u n d e r t h e l a w s o f t h e S t a t e o f C a l i f o r n i a ( t h e " C o m m i s s i o n " ) , f o r v a l u e r e c e i v e d , h e r e b y p r o m i s e s t o p a y ( b u t s o l e l y f r o m R e v e n u e a s h e r e i n a f t e r r e f e r r e d t o ) i n l a w f u l m o n e y o f t h e U n i t e d S t a t e s o f A m e r i c a , t o t h e r e g i s t e r e d o w n e r o r r e g i s t e r e d a s s i g n s , o n t h e m a t u r i t y d a t e s e t f o r t h a b o v e , u n l e s s r e d e e m e d p r i o r t h e r e t o a s h e r e i n a f t e r p r o v i d e d , t h e p r i n c i p a l a m o u n t s p e c i f i e d a b o v e , u n t i l t h e p r i n c i p a l h e r e o f s h a l l h a v e b e e n p a i d , a t t h e i n t e r e s t r a t e p e r a n n u m s p e c i f i e d a b o v e b a s e d o n a 3 6 0 - d a y y e a r o f t w e l v e 3 0 - d a y m o n t h s , p a y a b l e o n 1 , 2 0 1 _ a n d s e m i a n n u a l l y t h e r e a f t e r o n J u n e 1 a n d D e c e m b e r I a n d a t m a t u r i t y o r u p o n t h e p r i o r r e d e m p t i o n t h e r e o f ( e a c h , a n " I n t e r e s t P a y m e n t D a t e " ) . T h i s B o n d s h a l l b e a r i n t e r e s t f r o m t h e l a t e s t o f ( i ) i t s I s s u e D a t e ; ( i i ) t h e m o s t r e c e n t I n t e r e s t P a y m e n t D a t e t o w h i c h i n t e r e s t h a s b e e n p a i d o r d u l y p r o v i d e d f o r , o r ( i i i ) i f t h e d a t e o f a u t h e n t i c a t i o n o f t h i s B o n d i s a f t e r a R e c o r d D a t e b u t p r i o r t o t h e i m m e d i a t e l y s u c c e e d i n g I n t e r e s t P a y m e n t D a t e , t h e I n t e r e s t P a y m e n t D a t e i m m e d i a t e l y s u c c e e d i n g s u c h d a t e o f a u t h e n t i c a t i o n . A s l o n g a s 2 0 1 _ S e r i e s A B o n d s a r e B o o k - E n t r y B o n d s , p r i n c i p a l o f a n d p r e m i u m , i f a n y , a n d i n t e r e s t o n t h e 2 0 1 _ S e r i e s A B o n d s s h a l l b e p a y a b l e b y w i r e t r a n s f e r t o t h e S e c u r i t i e s D e p o s i t o r y i n l a w f u l m o n e y o f t h e U n i t e d S t a t e s o f A m e r i c a . I f t h e 2 0 1 _ S e r i e s A B o n d s c e a s e t o b e B o o k - E n t r y B o n d s , p r i n c i p a l o f a n d p r e m i u m , i f a n y , o n t h e 2 0 1 _ S e r i e s A B o n d s s h a l l b e p a y a b l e w h e n d u e u p o n p r e s e n t a t i o n a n d s u r r e n d e r t h e r e o f a t t h e P r i n c i p a l O f f i c e o f U . S . B a n k N a t i o n a l A s s o c i a t i o n , a s t r u s t e e ( t h e " T r u s t e e " ) a n d - i n t e r e s t s h a l l b e p a y a b l e b y f i r s t c l a s s m a i l o n e a c h i n t e r e s t p a y m e n t d a t e t o t h e O w n e r s t h e r e o f a s o f t h e c l o s e o f b u s i n e s s o n t h e R e c o r d D a t e ; p r o v i d e d , h o w e v e r , t h a t O w n e r s o f $ 1 , 0 0 0 , 0 0 0 o r m o r e i n a g g r e g a t e p r i n c i p a l a m o u n t o f 2 0 1 _ S e r i e s A B o n d s m a y , a t a n y t i m e p r i o r t o a R e c o r d D a t e , g i v e t h e T r u s t e e w r i t t e n i n s t r u c t i o n s f o r p a y m e n t o f s u c h i n t e r e s t o n e a c h s u c c e e d i n g i n t e r e s t p a y m e n t d a t e b y w i r e t r a n s f e r . A s u s e d h e r e i n , " R e c o r d D a t e " m e a n s t h e f i f t e e n t h d a y ( w h e t h e r o r n o t a B u s i n e s s D a y ) o f t h e m o n t h p r e c e d i n g s u c h I n t e r e s t P a y m e n t D a t e . O H S W e s t 2 6 0 9 4 1 3 3 5 . 1 A - 1 5 2 3 This Bond is one of a duly authorized issue of bonds of the Commission, designated as "Riverside County Transportation Commission Toll Revenue Bonds" (the "Bonds"), of the series designated above, all of which are being issued pursuant to the provisions of Division 12 of the Public Utilities Code of the State of California (the "Act') and a Master Indenture, dated as of . 1, 201_ (the "Master Indenture"), as supplemented, including as supplemented by a First Supplemental Indenture, dated as of 1, 201_ (the "First Supplemental Indenture"), each between. the Commission and the Trustee. The Master Indenture, as supplemented and amended from time to time pursuant to its terms, including as supplemented by the First Supplemental Indenture, is hereinafter referred to as the "Indenture." Said authorized issue of Bonds is not limited in aggregate principal amount and consists or may consist of one or more series of varying denominations, dates, maturities, interest rates and other provisions, as in the Indenture provided. Capitalized terms used herein and not otherwise defined shall have the meaning given such terns in the Indenture. THIS BOND IS A SPECIAL OBLIGATION OF THE COMMISSION PAYABLE SOLELY FROM REVENUE AS DEFINED AND PROVIDED IN THE INDENTURE AND THE COMMISSION IS NOT OBLIGATED TO PAY THIS BOND EXCEPT FROM REVENUE. THIS BOND DOES NOT CONSTITUTE A DEBT OR LIABILITY OF THE STATE OF CALIFORNIA OR ANY POLITICAL SUBDIVISION OF THE STATE OTHER THAN THE COMMISSION. NEITHER THE FULL FAITH AND CREDIT NOR THE TAXING POWER OF THE STATE OF CALIFORNIA OR ANY POLITICAL SUBDIVISION OF THE SATE OF CALIFORNIA IS PLEDGED TO THE PAYMENT OF PRINCIPAL OR INTEREST OF THIS BOND. Reference is hereby made to the Indenture and the Act for a description of the terms on which the Bonds are issued and to be issued, the provisions with regard to the nature and extent of the pledge of Revenue and the rights of the registered owners of the Bonds and all the terms of the Indenture are hereby incorporated herein and constitute a contract between the Commission and the registered owner from time to time of this Bond, and to all the provisions thereof the registered owner of this Bond, by its acceptance hereof, consents and agrees. Additional Bonds may be issued and other indebtedness may be incurred on a parity with the Series of Bonds of which this Bond is a part, but only subject to the conditions and limitations contained in the Indenture. This Bond is payable both as to principal and interest, and as to any premium upon the redemption hereof, solely from Revenue as defined in the Indenture, subject only to the provisions of the Indenture permitting application thereof for the purposes and on the terms and conditions set forth therein, and the Commission is not obligated to pay this Bond except from Revenue. The Bonds of the Series of Bonds of which this Bond is a part maturing on or before June 1, 20 are not subject to redemption prior to their respective stated maturities. The Bonds of the Series of Bonds of which this Bond is a part maturing on or after June 1, 20 shall be subject to redemption prior to their respective stated maturities, at the option of the Commission, from any source of available funds, as a whole or in part (and if in part, in such order of maturity as the Commission shall specify and within a maturity by lot or by such other method as the Trustee determines to be fair and reasonable and in Authorized Denominations), on any date on or after OHS West:260941335.1 A-2 • • • 524 " " J u n e 1 , 2 0 �� a t t h e p r i n c i p a l a m o u n t o f s u c h B o n d s c a l l e d f o r r e d e m p t i o n , p l u s a c c r u e d i n t e r e s t t o t h e d a t e f i x e d f o r r e d e m p t i o n , w i t h o u t p r e m i u m . T h e B o n d s o f t h e S e r i e s o f B o n d s o f w h i c h t h i s B o n d i s a p a r t m a t u r i n g o n J u n e 1 , 2 0 1 - s h a l l b e s u b j e c t t o m a n d a t o r y r e d e m p t i o n p r i o r t o t h e i r s t a t e d m a t u r i t y , i n p a r t , f r o m S i n k i n g F u n d I n s t a l l m e n t s r e q u i r e d b y a n d a s s p e c i f i e d i n t h e I n d e n t u r e , a t a r e d e m p t i o n p r i c e e q u a l t o t h e p r i n c i p a l a m o u n t t h e r e o f , p l u s a c c r u e d b u t u n p a i d i n t e r e s t t o t h e r e d e m p t i o n d a t e , w i t h o u t p r e m i u m , o n J u n e 1 , 2 0 _ a n d o n e a c h J u n e 1 t h e r e a f t e r . T h e r i g h t s a n d o b l i g a t i o n s o f t h e C o m m i s s i o n a n d o f t h e h o l d e r s a n d r e g i s t e r e d o w n e r s o f t h e B o n d s o f t h e S e r i e s o f B o n d s o f w h i c h t h i s B o n d i s a p a r t m a y b e m o d i f i e d o r a m e n d e d a t a n y t i m e i n t h e m a n n e r , t o t h e e x t e n t , a n d u p o n t h e t e r m s p r o v i d e d i n t h e I n d e n t u r e , w h i c h p r o v i d e , i n c e r t a i n c i r c u m s t a n c e s , f o r m o d i f i c a t i o n s a n d a m e n d m e n t s w i t h o u t t h e c o n s e n t o f o r n o t i c e t o t h e r e g i s t e r e d o w n e r s o f B o n d s . T h i s B o n d i s t r a n s f e r a b l e o r e x c h a n g e a b l e a s p r o v i d e d i n t h e I n d e n t u r e , o n l y u p o n t h e B o n d R e g i s t e r a t t h e P r i n c i p a l O f f i c e o f t h e T r u s t e e , b y t h e r e g i s t e r e d o w n e r h e r e o f i n p e r s o n , o r b y s u c h o w n e r ' s d u l y a u t h o r i z e d a t t o r n e y , u p o n s u r r e n d e r o f t h i s B o n d a t t h e P r i n c i p a l O f f i c e o f t h e T r u s t e e , t o g e t h e r w i t h a w r i t t e n i n s t r u m e n t o f t r a n s f e r s a t i s f a c t o r y t o t h e T r u s t e e d u l y e x e c u t e d b y t h e r e g i s t e r e d o w n e r o r s u c h o w n e r ' s d u l y a u t h o r i z e d a t t o r n e y , a n d t h e r e u p o n a n e w B o n d o r B o n d s o f t h e s a m e s e r i e s , m a t u r i t y , i n t e r e s t r a t e a n d i n t h e s a m e a g g r e g a t e p r i n c i p a l a m o u n t , s h a l l b e i s s u e d t o t h e t r a n s f e r e e i n e x c h a n g e t h e r e f o r a s p r o v i d e d i n t h e I n d e n t u r e , u p o n p a y m e n t o f a n y c h a r g e s t h e r e i n p r e s c r i b e d . T h e p e r s o n i n w h o s e n a m e t h i s B o n d i s r e g i s t e r e d s h a l l b e d e e m e d a n d r e g a r d e d a s t h e a b s o l u t e o w n e r h e r e o f f o r a l l p u r p o s e s , i n c l u d i n g r e c e i v i n g p a y m e n t o f , o r o n a c c o u n t o f , t h e p r i n c i p a l o f a n d p r e m i u m a n d i n t e r e s t d u e h e r e o n . I t i s h e r e b y c e r t i f i e d a n d r e c i t e d t h a t a n y a n d a l l a c t s , c o n d i t i o n s a n d t h i n g s r e q u i r e d t o e x i s t , t o h a p p e n a n d t o b e p e r f o r m e d , p r e c e d e n t t o a n d i n t h e i n c u r r i n g o f t h e i n d e b t e d n e s s e v i d e n c e d b y t h i s B o n d , a n d i n t h e i s s u i n g o f t h i s B o n d , e x i s t , h a v e h a p p e n e d a n d h a v e b e e n p e r f o r m e d i n d u e t i m e , f o r m a n d m a n n e r , a s r e q u i r e d b y t h e C o n s t i t u t i o n a n d s t a t u t e s o f t h e S t a t e o f C a l i f o r n i a a n d t h e A c t , a n d t h a t t h i s B o n d , t o g e t h e r w i t h a l l o t h e r i n d e b t e d n e s s o f t h e C o m m i s s i o n p a y a b l e o u t o f R e v e n u e , i s w i t h i n e v e r y d e b t a n d o t h e r l i m i t p r e s c r i b e d b y t h e C o n s t i t u t i o n a n d s t a t u t e s o f t h e S t a t e o f C a l i f o r n i a a n d t h e A c t . T h i s B o n d s h a l l n o t b e e n t i t l e d t o a n y b e n e f i t u n d e r t h e I n d e n t u r e , o r b e c o m e v a l i d o r o b l i g a t o r y f o r a n y p u r p o s e , u n t i l t h e c e r t i f i c a t e o f a u t h e n t i c a t i o n h e r e o n e n d o r s e d s h a l l h a v e b e e n m a n u a l l y s i g n e d b y t h e T r u s t e e . O H S W e s t 2 6 0 9 4 1 3 3 5 . 1 A - 3 5 2 5 IN WITNESS WHEREOF the Riverside County Transportation Commission has caused this Bond to be executed in its name and on its behalf by the manual or facsimile signature of its duly authorized representatives all as of the Issue Date set forth above. (Seal) Countersigned: By: Chief Financial Officer OHS West.260941335.1 RIVERSIDE COUNTY TRANSPORTATION COMMISSION By: Chair of the Board of Commissioners A-4 • 526 " " [ F O R M O F C E R T I F I C A T E O F . A U T H E N T I C A T I O N ] T h i s B o n d i s o n e o f t h e 2 0 1 _ S e r i e s A B o n d s d e s c r i b e d i n t h e w i t h i n m e n t i o n e d I n d e n t u r e a n d w a s a u t h e n t i c a t e d o n t h e d a t e s e t f o r t h b e l o w . D a t e o f A u t h e n t i c a t i o n : U . S . B A N K N A T I O N A L A S S O C I A T I O N , a s T r u s t e e B y : A u t h o r i z e d O f f i c e r [ D T C L E G E N D ] U n l e s s t h i s B o n d i s p r e s e n t e d b y a n a u t h o r i z e d r e p r e s e n t a t i v e o f T h e D e p o s i t o r y T r u s t C o m p a n y t o t h e i s s u e r o r i t s a g e n t f o r r e g i s t r a t i o n o f t r a n s f e r , e x c h a n g e o r p a y m e n t , a n d a n y B o n d i s s u e d i s r e g i s t e r e d i n t h e n a m e o f C e d e & C o . o r s u c h o t h e r n a m e a s r e q u e s t e d b y a n a u t h o r i z e d r e p r e s e n t a t i v e o f T h e D e p o s i t o r y T r u s t C o m p a n y a n d a n y p a y m e n t i s m a d e t o C e d e & C o . , A N Y T R A N S F E R , P L E D G E O R O T H E R U S E H E R E O F F O R V A L U E O R O T H E R W I S E B Y O R T O A N Y P E R S O N I S W R O N G F U L s i n c e t h e r e g i s t e r e d o w n e r h e r e o f , C e d e & C o . , h a s a n i n t e r e s t h e r e i n . O B S W e s C 2 6 0 9 4 1 3 3 5 . 1 A - 5 5 2 7 [FORM OF ASSIGNMENT] FOR VALUE RECEIVED, the undersigned hereby sells, assigns and transfers unto (Please Print or Type Name and Address of Assignee) PLEASE INSERT SOCIAL SECURITY OR OTHER TAX IDENTIFICATION NUMBER OF ASSIGNEE the within bond and all rights thereunder, and hereby irrevocably constitutes and appoints to transfer the within Bond on the books kept for registration thereof with full power of substitution in the premises. Dated: Signature: (Signature of Assignor) Notice: The signature on this assignment must correspond with the name of the Registered Owner as it appears upon the face of the within Bond in every particular without alteration or enlargement or any change whatsoever. SIGNATURE GUARANTEED: Notice: Signature must be guaranteed by an eligible guarantor firm. OHS West.260941335.1 A-6 528 " E X H I B I T B N O T I C E A D D R E S S E S T o t h e C o m m i s s i o n : R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n P . O . B o x 1 2 0 0 8 R i v e r s i d e , C a l i f o r n i a 9 2 5 0 2 A t t e n t i o n : C h i e f F i n a n c i a l O f f i c e r T e l e p h o n e : ( 9 5 1 ) 7 8 7 - 7 1 4 1 F a x : ( 9 5 1 ) 7 8 7 - 7 9 2 0 T o t h e T r u s t e e : U . S . B a n k N a t i o n a l A s s o c i a t i o n 6 3 3 W e s t F i f t h S t r e e t , 2 4 t h F l o o r L o s A n g e l e s , C a l i f o r n i a 9 0 0 7 1 A t t e n t i o n : C o r p o r a t e T r u s t S e r v i c e s T e l e p h o n e : ( 2 1 3 ) 6 1 5 - 6 0 0 2 F a x : ( 2 1 3 ) 6 1 5 - 6 1 9 9 T o t h e R a t i n g A g e n c i e s : S t a n d a r d & P o o r ' s R a t i n g s S e r v i c e s 5 5 W a t e r S t r e e t , 3 8 t h F l o o r N e w Y o r k , N e w Y o r k 1 0 0 4 1 T e l e p h o n e N o . : 2 1 2 - 4 3 8 - 2 0 0 0 F a c s i m i l e N o . : 2 1 2 - 4 3 8 - 2 1 5 7 p u b f i n _ s t r u c t u r e d @ s t a n d a r d a n d p o o r s . c o m M o o d y ' s I n v e s t o r s S e r v i c e M S P G S u r v e i l l a n c e 9 9 C h u r c h S t r e e t , 9 t h F l o o r N e w Y o r k , N e w Y o r k 1 0 0 0 7 F i t c h R a t i n g s O n e S t a t e S t r e e t P l a z a N e w Y o r k , N e w Y o r k 1 0 0 0 4 O H S W e s t : 2 6 0 9 4 1 3 3 5 . I B - 1 5 2 9 ATTACHMENT 6 SECOND SUPPLEMENTAL INDENTURE between RIVERSIDE COUNTY TRANSPORTATION COMMISSION and U.S. BANK NATIONAL ASSOCIATION, as Trustee Dated as of 1, 201_ Relating to the Riverside County Transportation Commission Toll Revenue Bonds, 201 Series B (Supplementing the Master Indenture Dated as of 1, 201J OHS Wes1260941596.I 530 Section 18.01. Section 18.02. Section 19.01. Section 19.02. Section 19.03. Section 19.04. Section 19.05. Section 20.01. Section 20.02. Section 20.03. Section 20.04. Section 20.05. Section 20.06. Section 20.07. Section 21.01. Section 21.02. Section 21.03. Section 21.04. ESTABLISH Section 22.01. Section 22.02. OHS West260941596.1 TABLE OF CONTENTS Page ARTICLE XVIII DEFINITIONS Definitions 2 Rules of Construction 3 ARTICLE XIX FINDINGS, DETERMINATIONS, DIRECTIONS AND SUBORDINATE PLEDGE OF SALES TAX REVENUES Findings and Determinations 3 Recital in Bonds 3 Effect of Findings and Recital 4 Pledge of Sales Tax Revenues 4 Limitations on the Issuance of Obligations Payable from Sales Tax Revenues 4 ARTICLE XX AUTHORIZATION OF 201 SERIES B BONDS Principal Amount, Designation and Series 4 Purpose 4 Form, Denomination, Numbers and Letters 4 Date, Maturities and Interest Rates 5 Conditions To Delivery of 201_ Series B Bonds 5 201_ Series B Bonds Reserve Requirement 6 Disposition of Proceeds of 201 Series B Bonds 6 ARTICLE XXI REDEMPTION OF 201 SERIES B BONDS Optional Redemption of 201 Series B Bonds 6 Mandatory Redemption of 201_ Series B Bonds From Sinking Fund Installments 7 Selection of 201_ Series B Bonds for Redemption 8 Purchase In Lieu of Redemption 9 ARTICLE XXII MENT OF FUNDS AND ACCOUNTS AND APPLICATION THEREOF Funds and Accounts 9 201_ Series B Bonds Project Fund 9 -i- 531 Section 22.03. Section 22.04. Section 23.01. Section 23.02. Section 23.03. Section 23.04. Section 23.05. Section 23.06. Section 23.07. Section 23.08. Exhibit A Exhibit B OHS West:260941596.1 TABLE OF CONTENTS (continued) Page 201Series B Bonds Costs of Issuance Fund 10 201Series B Reserve Account 10 ARTICLE XXIII MISCELLANEOUS Severability 10 Parties Interested Herein 10 Headings Not Binding l 1 Notice Addresses 11 Notices to Rating Agencies 11 Indenture to Remain in Effect 11 Effective Date of Second Supplemental Indenture 11 Execution in Counterparts 11 Form of 201 Series B Bond A-1 Notice Addresses B-1 532 " " " T H I S S E C O N D S U P P L E M E N T A L I N D E N T U R E , d a t e d a s o f 1 , 2 0 1 _ ( t h i s " S e c o n d S u p p l e m e n t a l I n d e n t u r e " ) , b e t w e e n t h e R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N , a p u b l i c e n t i t y d u l y e x i s t i n g u n d e r t h e l a w s o f t h e S t a t e o f C a l i f o r n i a ( t h e " C o m m i s s i o n " ) a n d U . S . B A N K N A T I O N A L A S S O C I A T I O N , a n a t i o n a l b a n k i n g a s s o c i a t i o n d u l y o r g a n i z e d a n d e x i s t i n g u n d e r t h e l a w s o f t h e U n i t e d S t a t e s o f A m e r i c a , a s t r u s t e e ( t o g e t h e r w i t h a n y s u c c e s s o r t h e r e t o , t h e " T r u s t e e " ) . W I T N E S S E T H : W H E R E A S , t h i s S e c o n d S u p p l e m e n t a l I n d e n t u r e i s s u p p l e m e n t a l t o t h e M a s t e r I n d e n t u r e , d a t e d a s o f 1 , 2 0 1 _ ( a s s u p p l e m e n t e d a n d a m e n d e d f r o m t i m e t o t i m e p u r s u a n t t o i t s t e r m s , t h e " I n d e n t u r e " ) , b e t w e e n t h e C o m m i s s i o n a n d t h e T r u s t e e ; W H E R E A S , t h e C o m m i s s i o n h a s h e r e t o f o r e i s s u e d i t s S a l e s T a x R e v e n u e B o n d s ( L i m i t e d T a x B o n d s ) i n t h e a g g r e g a t e p r i n c i p a l a m o u n t o f $ 1 8 5 , 0 0 0 , 0 0 0 ( t h e " S a l e s T a x B o n d s " ) , p u r s u a n t t o a n i n d e n t u r e , d a t e d a s o f J u n e 1 , 2 0 0 8 , a s a m e n d e d a n d s u p p l e m e n t e d , i n c l u d i n g b y a s e c o n d s u p p l e m e n t a l i n d e n t u r e , d a t e d a s o f O c t o b e r 1 , 2 0 0 9 , e a c h b y a n d b e t w e e n t h e C o m m i s s i o n a n d U . S . B a n k N a t i o n a l A s s o c i a t i o n , a s t r u s t e e ; W H E R E A S , t h e C o m m i s s i o n h a s h e r e t o f o r e a u t h o r i z e d t h e i s s u a n c e f r o m t i m e t o t i m e o f n o t t o e x c e e d $ 2 0 0 , 0 0 0 , 0 0 0 i n a g g r e g a t e p r i n c i p a l a m o u n t o f i t s C o m m e r c i a l P a p e r N o t e s ( L i m i t e d T a x B o n d s ) , S e r i e s A a n d S e r i e s B ( c o l l e c t i v e l y w i t h t h e S a l e s T a x B o n d s , t h e " S e n i o r S a l e s T a x B o n d s " ) , p u r s u a n t t o a n i n d e n t u r e d a t e d a s o f M a r c h 1 , 2 0 0 5 , b y a n d b e t w e e n t h e C o m m i s s i o n a n d U . S . B a n k N a t i o n a l A s s o c i a t i o n , a s s u c c e s s o r t r u s t e e ; W H E R E A S , t h e I n d e n t u r e p r o v i d e s t h a t t h e C o m m i s s i o n m a y i s s u e B o n d s f r o m t i m e t o t i m e a s a u t h o r i z e d b y a S u p p l e m e n t a l I n d e n t u r e , w h i c h B o n d s a r e t o b e p a y a b l e f r o m R e v e n u e a n d c e r t a i n o t h e r a m o u n t s , i n c l u d i n g s u c h o t h e r s o u r c e s a s m a y b e s p e c i f i e d w i t h r e s p e c t t o a p a r t i c u l a r S e r i e s o f B o n d s i n t h e S u p p l e m e n t a l I n d e n t u r e a u t h o r i z i n g s u c h S e r i e s ; a n d W H E R E A S , t h e C o m m i s s i o n d e s i r e s t o p r o v i d e a t t h i s t i m e f o r t h e i s s u a n c e o f B o n d s s e c u r e d b y t h e p l e d g e o f R e v e n u e u n d e r t h e I n d e n t u r e a n d a d d i t i o n a l l y s e c u r e d b y a p l e d g e o f S a l e s T a x R e v e n u e s , o n a b a s i s s u b o r d i n a t e t o t h e l i e n s e c u r i n g t h e C o m m i s s i o n ' s o u t s t a n d i n g S e n i o r S a l e s T a x B o n d s , s u c h B o n d s t o b e d e s i g n a t e d " R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n T o l l R e v e n u e B o n d s , 2 0 1 _ S e r i e s B , " f o r t h e p u r p o s e o f p r o v i d i n g f u n d s t o p a y f o r t h e c o s t s o f t h e i n i t i a l p h a s e o f t h e R i v e r s i d e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t , a l l a s p r o v i d e d i n t h i s S e c o n d S u p p l e m e n t a l I n d e n t u r e ; N O W , T H E R E F O R E , t h e p a r t i e s h e r e t o h e r e b y a g r e e a s f o l l o w s : O H S W e s [ 2 6 0 9 4 1 5 9 6 . 1 5 3 3 ARTICLE XVIII DEFINITIONS Section 18.01. Definitions. (a) Definitions. Unless the context otherwise requires, or as otherwise provided in subsection (b) of this Section, all terms defined in the Indenture shall have the same meanings, respectively, in this Second Supplemental Indenture. (b) Additional Definitions. Unless the context otherwise requires, the following terms shall, for all purposes of this Second Supplemental Indenture, have the following meanings: "Authorized Denominations" means, with respect to 20I_ Series B Bonds, $5,000 and any integral multiple thereof. "Current Interest Bonds" means Bonds the interest rate on which is fixed on the date of issuance of such Bonds at a single numerical rate for the entire term of the Bonds and which pay interest semiannually to the Owners thereof excluding the first payment of interest thereon. "Second Supplemental Indenture" means this Second Supplemental Indenture, dated as of 1, 201_. "Interest Payment Date" means with respect to the 201_ Series B Bonds, [June 1 and December 1] of each year until the redemption or maturity of such 201_ Series B Bonds, commencing with 1, 200_. "Issue Date" means, with respect to the 201_ Series B Bonds, the date on which the 201_ Series B Bonds are first delivered to the purchasers thereof. "Record Date" means, with respect to the 201_ Series B Bonds, the fifteenth (.15th) day (whether or not a Business Day) of the month preceding the month in which such Interest Payment Date occurs. "Sales Tax Bonds" means the Commission's Sales Tax Revenue Bonds (Limited Tax Bonds) issued pursuant to an indenture, dated as of June 1, 2008, by and between the Commission and U.S. Bank National Association, as trustee, as amended and supplemented from time to time. "Sales Tax CP Notes" means the Commission's Commercial Paper Notes (Limited Tax Bonds), Series A and Series B, authorized to be issued from time to time pursuant to an indenture dated as of March I, 2005, by and between the Commission and U.S. Bank National Association, as successor trustee, as amended and supplemented from time to time. OHS West260941596.1 -2- • • 534 " " " S e c o n d S u p p l e m e n t a l I n d e n t u r e " m e a n s t h i s S e c o n d S u p p l e m e n t a l I n d e n t u r e , d a t e d a s o f 1 , 2 0 1 _ , b e t w e e n t h e C o m m i s s i o n a n d t h e T r u s t e e , a s a m e n d e d a n d s u p p l e m e n t e d f r o m t i m e t o t i m e . " S e c o n d S u p p l e m e n t a l I n d e n t u r e " m e a n s t h a t c e r t a i n S e c o n d S u p p l e m e n t a l I n d e n t u r e , o f e v e n d a t e h e r e w i t h , b e t w e e n t h e C o m m i s s i o n a n d t h e T r u s t e e , a s a m e n d e d a n d s u p p l e m e n t e d f r o m t i m e t o t i m e . " S e n i o r S a l e s T a x B o n d s " m e a n s , c o l l e c t i v e l y , t h e S a l e s T a x B o n d s a n d t h e S a l e s T a x C P N o t e s . " 2 0 1 _ S e r i e s B B o n d s " m e a n s t h e R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n T o l l R e v e n u e B o n d s , 2 0 1 _ S e r i e s B , a u t h o r i z e d b y A r t i c l e X X o f t h i s I n d e n t u r e . [ " 2 0 1 _ S e r i e s B B o n d s T a x C e r t i f i c a t e " s h a l l m e a n t h a t c e r t a i n T a x C e r t i f i c a t e e x e c u t e d o n b e h a l f o f t h e C o m m i s s i o n i n c o n n e c t i o n w i t h t h e i s s u a n c e o f t h e 2 0 1 _ S e r i e s B B o n d s a n d r e l a t i n g t o t h e r e q u i r e m e n t s o f t h e C o d e . ] " 2 0 1 _ S e r i e s B B o n d s C o s t s o f I s s u a n c e F u n d " m e a n s t h e 2 0 1 _ S e r i e s B B o n d s C o s t s o f I s s u a n c e F u n d e s t a b l i s h e d p u r s u a n t t o S e c t i o n 2 2 . 0 2 . " 2 0 1 _ S e r i e s B B o n d s " m e a n s t h e R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n T o l l R e v e n u e B o n d s , 2 0 1 _ S e r i e s B , a u t h o r i z e d b y t h e S e c o n d S u p p l e m e n t a l I n d e n t u r e . S e c t i o n 1 8 . 0 2 . R u l e s o f C o n s t r u c t i o n . W o r d s o f t h e m a s c u l i n e g e n d e r s h a l l b e d e e m e d a n d c o n s t r u e d t o i n c l u d e c o r r e l a t i v e w o r d s o f t h e f e m i n i n e a n d n e u t e r g e n d e r s . U n l e s s t h e c o n t e x t s h a l l o t h e r w i s e i n d i c a t e , w o r d s i m p o r t i n g t h e s i n g u l a r n u m b e r s h a l l i n c l u d e t h e p l u r a l n u m b e r a n d v i c e v e r s a , a n d w o r d s i m p o r t i n g p e r s o n s s h a l l i n c l u d e c o r p o r a t i o n s a n d a s s o c i a t i o n s , i n c l u d i n g p u b l i c b o d i e s , a s w e l l a s n a t u r a l p e r s o n s . D e f i n e d t e r m s s h a l l i n c l u d e a n y v a r i a n t o f t h e t e r m s s e t f o r t h i n t h i s A r t i c l e X V I I I . T h e t e r n s " h e r e b y , " " h e r e o f , " " h e r e t o , " " h e r e i n , " " h e r e u n d e r , " a n d a n y s i m i l a r t e r m s , a s u s e d i n t h i s S e c o n d S u p p l e m e n t a l i n d e n t u r e , r e f e r t o t h e I n d e n t u r e . A R T I C L E X I X F I N D I N G S , D E T E R M I N A T I O N S , D I R E C T I O N S A N D S U B O R D I N A T E P L E D G E O F S A L E S T A X R E V E N U E S S e c t i o n 1 9 . 0 1 . F i n d i n g s a n d D e t e r m i n a t i o n s . T h e C o m m i s s i o n h e r e b y f i n d s a n d d e t e r m i n e s t h a t t h e 2 0 1 _ S e r i e s B B o n d s s h a l l b e i s s u e d p u r s u a n t t o A r t i c l e X X h e r e o f a n d u p o n t h e i s s u a n c e o f t h e 2 0 1 _ S e r i e s B B o n d s , a n y a n d a l l a c t s , c o n d i t i o n s a n d t h i n g s r e q u i r e d t o e x i s t , t o h a p p e n a n d t o b e p e r f o r m e d , p r e c e d e n t t o a n d i n t h e i s s u a n c e t h e r e o f , w i l l e x i s t , w i l l h a v e h a p p e n e d a n d w i l l h a v e b e e n p e r f o r m e d , i n d u e t i m e , f o r m a n d m a n n e r , a s r e q u i r e d b y t h e C o n s t i t u t i o n a n d s t a t u t e s o f t h e S t a t e . S e c t i o n 1 9 . 0 2 . R e c i t a l i n B o n d s . T h e r e s h a l l b e i n c l u d e d i n e a c h o f t h e d e f i n i t i v e 2 0 1 _ S e r i e s B B o n d s , a n d a l s o i n e a c h o f t h e t e m p o r a r y 2 0 1 _ S e r i e s B B o n d s , i f a n y O H S W e s t 1 6 0 9 4 1 5 9 6 1 5 3 5 are issued, a certification and recital that any and all acts, conditions and things required to exist, to happen and to be performed, precedent to and in the incurring of the indebtedness evidenced by that 201_ Series B Bond, and in the issuing of that 201_ Series B Bond, exist, have happened and have been performed in due time, form and manner, as required by the Constitution and . statutes of the State and the Act, and that said 201_ Series B Bond, together with all other indebtedness of the Commission payable out of Revenue, is within every debt and other limit prescribed by the Constitution and statutes of the State and the Act, and that such certification and recital shall be in such form as is set forth in the form of the 201_ Series B Bond attached hereto as Exhibit A. Section 19.03. Effect of Findings and Recital. From and after the issuance of the 201_ Series B Bonds, the findings and determinations herein shall be conclusive evidence of the existence of the facts so found and determined in any action or proceeding in any court in which the validity of the 201_ Series B Bonds is at issue, and no bona fide purchaser of any such 201_ Series B Bond containing the certification and recital shall be required to see to the existence of any fact, or to the performance of any condition, or to the taking of any proceeding, required prior to such issuance, or to the application of the purchase price for such 201_ Series B Bonds. Section 19.04. Pledge of Sales Tax Revenues. Pursuant to the terms of the Indenture and the definition of Revenue in Section 1.01, there are hereby additionally pledged to secure the punctual payment of the principal of and interest on the 201_ Series B Bonds Sales Tax Revenues on a basis junior and fully subordinate to the respective 'liens securing the Commission's Senior Sales Tax Bonds. Section 19.05. Limitations on the Issuance of Obligations Payable from Sales Tax Revenues. [TO BE DISCUSSED]. ARTICLE XX AUTHORIZATION OF 201 SERIES B BONDS Section 20.01. Principal Amount, Designation and Series. Pursuant to the provisions of this Indenture and the provisions of the Act, a Series of Bonds entitled to the benefit, protection and security of such provisions, including without limitation the pledge of Revenue and other amounts in Article V hereof, and additionally payable from and secured by Sales Tax Revenues pursuant to the specific pledge thereof in Section 19.04, is hereby authorized in the aggregate principal amount of $ . Such Bonds shall be designated as, and shall be distinguished from the Bonds of all other Series by the title, "Riverside County Transportation Commission Toll Revenue Bonds, 201_ Series B_" Section 20.02. Purpose. The 201_ Series B Bonds are issued for the purpose of financing the Riverside SR-91 Corridor Improvement Project, funding the required deposit to the 201_ Series B Reserve Account and paying costs of issuance. Section 20.03. Form, Denomination, Numbers and Letters. The 201_ Series B Bonds shall be issued as Book -Entry Bonds in fully registered form in Authorized OHS West:260941596.1 -4- • 536 " " " D e n o m i n a t i o n s a n d s h a l l b e n u m b e r e d f r o m o n e u p w a r d i n c o n s e c u t i v e n u m e r i c a l o r d e r p r e c e d e d b y t h e l e t t e r " R " p r e f i x e d t o t h e n u m b e r . T h e 2 0 1 _ S e r i e s B B o n d s a n d t h e c e r t i f i c a t e o f a u t h e n t i c a t i o n s h a l l b e s u b s t a n t i a l l y i n t h e f o r m a t t a c h e d h e r e t o a s E x h i b i t A , w h i c h f o r m i s h e r e b y a p p r o v e d a n d a d o p t e d a s t h e f o r m o f t h e 2 0 1 _ S e r i e s B B o n d s a n d a s t h e f o r m o f t h e c e r t i f i c a t e o f a u t h e n t i c a t i o n . S e c t i o n 2 0 . 0 4 . D a t e , M a t u r i t i e s a n d I n t e r e s t R a t e s . ( a ) T h e 2 0 1 _ S e r i e s B B o n d s s h a l l b e i s s u e d a s C u r r e n t I n t e r e s t B o n d s i n t h e a g g r e g a t e p r i n c i p a l a m o u n t o f $ . T h e 2 0 1 S e r i e s B B o n d s s h a l l b e d a t e d t h e i r I s s u e D a t e , s h a l l b e a r i n t e r e s t f r o m t h a t d a t e a t t h e f o l l o w i n g r a t e s p e r a n n u m , c o m p u t e d o n t h e b a s i s o f a 3 6 0 - d a y y e a r c o m p r i s e d o f t w e l v e 3 0 - d a y m o n t h s , a n d s h a l l m a t u r e o n J u n e 1 i n t h e f o l l o w i n g y e a r s a n d i n t h e f o l l o w i n g a m o u n t s : M a t u r i t y D a t e ( J u n e 1 ) P r i n c i p a l A m o u n t I n t e r e s t R a t e * T e r m B o n d F i n a l M a t u r i t y j P r i c e d t o f i r s t c a l l d a t e o f J u n e 1 , 2 0 _ a t p a r . ( b ) E a c h 2 0 1 _ S e r i e s B B o n d s h a l l b e a r i n t e r e s t f r o m t h e l a t e s t o f : ( i ) i t s I s s u e D a t e ; ( i i ) t h e m o s t r e c e n t I n t e r e s t P a y m e n t D a t e t o w h i c h i n t e r e s t h a s b e e n p a i d t h e r e o n o r d u l y p r o v i d e d f o r , o r ( i i i ) i f t h e d a t e o f a u t h e n t i c a t i o n o f s u c h B o n d i s a f t e r a R e c o r d D a t e b u t p r i o r t o t h e i m m e d i a t e l y s u c c e e d i n g I n t e r e s t P a y m e n t D a t e , t h e I n t e r e s t P a y m e n t D a t e i m m e d i a t e l y s u c c e e d i n g s u c h d a t e o f a u t h e n t i c a t i o n ( c ) A s l o n g a s t h e 2 0 1 S e r i e s B B o n d s a r e B o o k - E n t r y B o n d s , p r i n c i p a l o f a n d p r e m i u m , i f a n y , a n d i n t e r e s t o n t h e 2 0 1 _ S e r i e s B B o n d s s h a l l b e p a y a b l e b y w i r e t r a n s f e r t o t h e S e c u r i t i e s D e p o s i t o r y i n l a w f u l m o n e y o f t h e U n i t e d S t a t e s o f A m e r i c a . ( d ) I f t h e 2 0 1 _ S e r i e s B B o n d s c e a s e t o b e B o o k - E n t r y B o n d s , p r i n c i p a l o f a n d p r e m i u m , i f a n y , o n t h e 2 0 1 _ S e r i e s B B o n d s s h a l l b e p a y a b l e w h e n d u e u p o n p r e s e n t a t i o n a n d s u r r e n d e r t h e r e o f a t t h e P r i n c i p a l O f f i c e o f t h e T r u s t e e a n d i n t e r e s t s h a l l b e p a y a b l e b y f i r s t c l a s s m a i l o n e a c h i n t e r e s t p a y m e n t d a t e t o t h e O w n e r s t h e r e o f a s o f t h e c l o s e o f b u s i n e s s o n t h e R e c o r d D a t e ; p r o v i d e d , h o w e v e r , t h a t O w n e r s o f $ 1 , 0 0 0 , 0 0 0 o r m o r e i n a g g r e g a t e p r i n c i p a l a m o u n t o f 2 0 1 _ S e r i e s B B o n d s m a y , a t a n y t i m e p r i o r t o a R e c o r d D a t e , g i v e t h e T r u s t e e w r i t t e n i n s t r u c t i o n s f o r p a y m e n t o f s u c h i n t e r e s t o n e a c h s u c c e e d i n g i n t e r e s t p a y m e n t d a t e b y w i r e t r a n s f e r . S e c t i o n 2 0 . 0 5 . C o n d i t i o n s T o D e l i v e r y o f 2 0 1 S e r i e s B B o n d s . E a c h o f t h e 2 0 1 _ S e r i e s B B o n d s s h a l l b e e x e c u t e d a n d d e l i v e r e d a s a u t h o r i z e d b y t h i s S e c o n d S u p p l e m e n t a l O H S W e s t . 2 6 0 9 4 1 5 9 6 . 1 - 5 - 5 3 7 Indenture and the Indenture, including Articles II and III thereof, upon the receipt of payment therefor from the purchaser thereof. Section 20.06. 201 Series B Bonds Reserve Requirement. The Reserve . Requirement, calculated with respect to the Bonds that will be Outstanding upon the issuance of the 201_ Series A Bonds and the 201_ Series B Bonds, will be $ , and this Reserve Requirement is satisfied by $ deposited in the Reserve Fund from the proceeds of the 201_ Series B Bonds together with $ deposited in the Reserve Fund from the proceeds of the 201_ Series A Bonds pursuant to the provisions of the First Supplemental Indenture, which amounts will total not less than $ Section 20.07. Disposition of Proceeds of 201 Series B Bonds. The net proceeds from the sale of the 201_ Series B Bonds shall be received by the Trustee and transferred and deposited by the Trustee as follows: (i) Deposit $ into the 201_ Series B Bonds Costs of Issuance Fund; (ii) Deposit $ into the 201_ Series B Reserve Account in the Reserve Fund; and (iii) Deposit the remaining amount of $ into the 201_ Series B Bonds Project Fund. ARTICLE XXI REDEMPTION OF 201_ SERIES B BONDS Section 21.01. Optional Redemption of 201 Series B Bonds. (a) The 201_ Series B Bonds maturing on or before June 1, 20 shall not be subject to redemption prior to their respective stated maturities. The 201_ Series B Bonds maturing on or after June 1, 20 shall be subject to redemption prior to their respective stated maturities, at the option of the Commission, from any source of available funds, as a whole or in part, on any date on or after June 1, 20 at the principal amount of 201_ Series B Bonds called for redemption plus accrued interest to the date fixed for redemption, without premium. The Commission shall give the Trustee written notice at least thirty (30) days (or such lesser time period acceptable to the Trustee) before any date fixed for the redemption of the 201 Series B Bonds to be redeemed pursuant to this subsection (a), designating the maturity or maturities of the 201_ Series B Bonds to be redeemed, the portions thereof to be redeemed and the fact and date of such redemption. (b) Any optional redemption of 201_ Series B Bonds and notice thereof shall be rescinded and cancelled pursuant to the provisions of Section 4.03 if for any reason on the date fixed for redemption moneys are not available in the Redemption Fund or otherwise held in trust for such purpose in an amount sufficient to pay in full on said date the principal of, interest, and any premium due on the 201_ Series B Bonds called for redemption. OHS West-260941596.1 -6- s • 538 " " S e c t i o n 2 1 . 0 2 . M a n d a t o r y R e d e m p t i o n o f 2 0 1 S e r i e s B B o n d s F r o m S i n k i n g F u n d I n s t a l l m e n t s : ( a ) T h e 2 0 1 _ S e r i e s B B o n d s m a t u r i n g o n J u n e 1 , 2 0 _ J u n e 1 , 2 0 �� J u n e I , . 2 0 a n d J u n e 1 , 2 0 _ , r e s p e c t i v e l y , s h a l l a l s o b e s u b j e c t t o m a n d a t o r y r e d e m p t i o n p r i o r t o t h e i r r e s p e c t i v e s t a t e d m a t u r i t i e s , i n p a r t , b y l o t , f r o m S i n k i n g F u n d I n s t a l l m e n t s o n e a c h J u n e 1 a S i n k i n g F u n d I n s t a l l m e n t i s d u e a s s p e c i f i e d i n S e c t i o n 2 1 . 0 2 ( b ) , i n t h e p r i n c i p a l a m o u n t e q u a l t o t h e S i n k i n g F u n d I n s t a l l m e n t d u e o n s u c h d a t e a n d a t a r e d e m p t i o n p r i c e e q u a l t o 1 0 0 % o f t h e p r i n c i p a l a m o u n t t h e r e o f , p l u s a c c r u e d b u t u n p a i d i n t e r e s t t o t h e r e d e m p t i o n d a t e , w i t h o u t p r e m i u m . ( b ) T h e S i n k i n g F u n d I n s t a l l m e n t s f o r t h e 2 0 1 _ S e r i e s B T e n n B o n d m a t u r i n g o n J u n e 1 , 2 0 s h a l l b e d u e i n t h e a m o u n t s a n d o n t h e d a t e s a s f o l l o w s : S i n k i n g F u n d I n s t a l l m e n t D a t e s S i n k i n g F u n d ( J u n e 1 ) I n s t a l l m e n t s * F i n a l M a t u r i t y ( c ) T h e S i n k i n g F u n d I n s t a l l m e n t s f o r t h e 2 0 1 _ S e r i e s B T e r m B o n d m a t u r i n g o n J u n e 1 , 2 0 _ s h a l l b e d u e i n t h e a m o u n t s a n d o n t h e d a t e s a s f o l l o w s : S i n k i n g F u n d I n s t a l l m e n t D a t e s S i n k i n g F u n d ( J u n e 1 ) I n s t a l l m e n t s * F i n a l M a t u r i t y ( d ) T h e S i n k i n g F u n d I n s t a l l m e n t s f o r t h e 2 0 1 _ S e r i e s B T e r m B o n d m a t u r i n g o n J u n e 1 , 2 0 _ s h a l l b e d u e i n t h e a m o u n t s a n d o n t h e d a t e s a s f o l l o w s : . O H S W e s t : 2 6 0 9 4 1 5 9 6 . 1 - 7 - 5 3 9 Sinking Fund Installment Dates Sinking Fund (June 1) Installments *Final Maturity (e) The Sinking Fund Installments for the 201_ Series B Tenn Bond maturing on June 1, 20 shall be due in the amounts and on the dates as follows: Sinking Fund Installment Dates Sinking Fund (June 1) Installments *Final Maturity On or before the date such Sinking Fund Installments are due, the Trustee shall deposit such amounts to the Principal Account and amounts so transferred shall be applied as provided in Section 5.02 and this Section 21.02. Section 21.03. Selection of 201 Series B Bonds for Redemption. The Commission shall designate which maturities of 201_ Series B Bonds are to be called for redemption pursuant to Section 21.01 and what Sinking Fund Installments are to be reduced as allocated to such redemptions. Whenever provision is made in this Indenture for the redemption of less than all of the 201_ Series B Bonds maturing on a specific maturity date, the Trustee shall select the Bonds of such maturity to be redeemed, from the Outstanding Bonds of such maturity and Series not previously called for redemption, in minimum denominations of $5,000 (of principal), by lot in any manner which the Trustee in its sole discretion shall deem appropriate. In the event Term Bonds are designated for redemption, the Commission may designate the Sinking Fund Installments under Section 21.02, or portions thereof, that are to be reduced as allocated to such redemption. The Trustee shall promptly notify the Commission in writing of the Bonds of such Series so selected for redemption. OHS West.260941596.I -8- 540 " " " S e c t i o n 2 1 . 0 4 . P u r c h a s e I n L i e u o f R e d e m p t i o n . I n l i e u o f m a n d a t o r y r e d e m p t i o n f r o m S i n k i n g F u n d I n s t a l l m e n t s , t h e C o m m i s s i o n m a y s u r r e n d e r t o t h e T r u s t e e f o r c a n c e l l a t i o n 2 0 1 _ S e r i e s B T e r m B o n d s p u r c h a s e d o n t h e o p e n m a r k e t a n d s u c h 2 0 1 _ S e r i e s B T e r m B o n d s s h a l l b e c a n c e l l e d b y t h e T r u s t e e . I f a n y 2 0 1 _ S e r i e s B T e r m B o n d s a r e s o c a n c e l l e d , t h e C o m m i s s i o n m a y d e s i g n a t e t h e S i n k i n g F u n d I n s t a l l m e n t s o r p o r t i o n s t h e r e o f t h a t a r e t o b e r e d u c e d a s a l l o c a t e d t o s u c h c a n c e l l a t i o n . A R T I C L E X X I I E S T A B L I S H M E N T O F F U N D S A N D A C C O U N T S A N D A P P L I C A T I O N T H E R E O F S e c t i o n 2 2 . 0 1 . F u n d s a n d A c c o u n t s . T o e n s u r e t h e p r o p e r a p p l i c a t i o n o f s u c h p o r t i o n o f p r o c e e d s f r o m t h e s a l e o f t h e 2 0 1 _ S e r i e s B B o n d s t o b e a p p l i e d t o p a y C o s t s o f t h e R i v e r s i d e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t a n d C o s t s o f I s s u a n c e o f t h e 2 0 1 _ S e r i e s B B o n d s , t h e r e i s h e r e b y e s t a b l i s h e d t h e 2 0 1 _ S e r i e s B B o n d s P r o j e c t F u n d , w h i c h s h a l l b e h e l d b y t h e T r u s t e e . T o e n s u r e t h e p r o p e r a p p l i c a t i o n o f s u c h p r o c e e d s f r o m t h e s a l e o f t h e 2 0 1 _ S e r i e s B B o n d s t o b e a p p l i e d t o s a t i s f y t h e 2 0 1 _ S e r i e s B R e s e r v e R e q u i r e m e n t , t h e r e i s h e r e b y e s t a b l i s h e d t h e 2 0 1 _ S e r i e s B R e s e r v e A c c o u n t w i t h i n t h e R e s e r v e F u n d , s u c h a c c o u n t t o b e h e l d b y t h e T r u s t e e . S e c t i o n 2 2 . 0 2 . 2 0 1 S e r i e s B B o n d s P r o j e c t F u n d . T h e m o n i e s s e t a s i d e a n d p l a c e d i n t h e 2 0 1 _ S e r i e s B B o n d s P r o j e c t F u n d s h a l l b e e x p e n d e d f o r t h e p u r p o s e o f p a y i n g t h e c o s t s o f t h e R i v e r s i d e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t a n d s h a l l n o t b e u s e d f o r a n y o t h e r p u r p o s e w h a t s o e v e r . P u r s u a n t t o S e c t i o n 5 . 0 7 , a l l i n t e r e s t , p r o f i t s a n d o t h e r i n c o m e r e c e i v e d f r o m t h e i n v e s t m e n t o f m o n e y s i n t h e 2 0 1 _ S e r i e s B B o n d s P r o j e c t F u n d s h a l l b e d e p o s i t e d i n t h e 2 0 1 _ S e r i e s B B o n d s P r o j e c t F u n d . ( a ) B e f o r e a n y p a y m e n t f r o m t h e 2 0 1 _ S e r i e s B B o n d s P r o j e c t F u n d s h a l l b e m a d e b y t h e T r u s t e e , t h e C o m m i s s i o n s h a l l f i l e o r c a u s e t o b e f i l e d w i t h t h e T r u s t e e a r e q u i s i t i o n o f t h e C o m m i s s i o n i n t h e f o r m a t t a c h e d h e r e t o a s E x h i b i t C ( e a c h a " R e q u i s i t i o n ' ) , s u c h R e q u i s i t i o n t o b e s i g n e d b y a n A u t h o r i z e d R e p r e s e n t a t i v e a n d t o i n c l u d e : ( i ) t h e i t e m n u m b e r o f s u c h p a y m e n t ; ( i i ) t h e n a m e a n d a d d r e s s o f t h e p e r s o n t o w h o m e a c h s u c h p a y m e n t i s d u e , w h i c h m a y b e t h e C o m m i s s i o n i n t h e c a s e o f r e i m b u r s e m e n t f o r c o s t s t h e r e t o f o r e p a i d b y t h e C o m m i s s i o n ; ( i i i ) t h e r e s p e c t i v e a m o u n t s t o b e p a i d ; ( i v ) t h e p u r p o s e b y g e n e r a l c l a s s i f i c a t i o n f o r w h i c h e a c h o b l i g a t i o n t o b e p a i d w a s i n c u r r e d ; a n d ( v ) t h a t o b l i g a t i o n s i n t h e s t a t e d a m o u n t s h a v e b e e n i n c u r r e d b y t h e C o m m i s s i o n a n d a r e p r e s e n t l y d u e a n d p a y a b l e a n d t h a t e a c h i t e m t h e r e o f i s a p r o p e r c h a r g e a g a i n s t t h e 2 0 1 _ S e r i e s B B o n d s P r o j e c t F u n d a n d h a s n o t b e e n p r e v i o u s l y p a i d f r o m s a i d f u n d . ( b ) W h e n t h e C o m m i s s i o n d e t e r m i n e s t h a t t h e R i v e r s i d e S R - 9 1 C o r r i d o r I m p r o v e m e n t P r o j e c t h a s b e e n c o m p l e t e d , a C e r t i f i c a t e o f t h e C o m m i s s i o n s h a l l b e d e l i v e r e d t o t h e T r u s t e e b y t h e C o m m i s s i o n s t a t i n g : ( i ) t h e f a c t a n d d a t e o f s u c h c o m p l e t i o n ; ( i i ) t h a t a l l o f t h e c o s t s t h e r e o f h a v e b e e n d e t e r m i n e d a n d p a i d ( o r t h a t a l l o f s u c h c o s t s h a v e b e e n p a i d l e s s s p e c i f i e d c l a i m s t h a t a r e s u b j e c t t o d i s p u t e a n d f o r w h i c h a r e t e n t i o n i n t h e 2 0 1 _ S e r i e s B B o n d s P r o j e c t F u n d i s t o b e m a i n t a i n e d i n t h e f u l l a m o u n t o f s u c h c l a i m s u n t i l s u c h d i s p u t e i s r e s o l v e d ) ; a n d ( i i i ) t h a t t h e T r u s t e e i s t o t r a n s f e r t h e r e m a i n i n g b a l a n c e i n t h e 2 0 1 _ S e r i e s B B o n d s P r o j e c t O H S W e s t : 2 6 0 9 4 1 5 9 6 . 1 - 9 - 5 4 1 Fund, less the amount of any such retention, to the 201_ Series B Reserve Account, to the extent of any deficiency therein, and then to the Bond Fund. Section 22.03. 201 Series B Bonds Costs of Issuance Fund. The monies set aside and placed in the 201_ Series B Bonds Costs of Issuance Fund shall remain therein until 1, 201_ and expended for the purpose of paying the Costs of Issuance of the 201_ Series B Bonds. Before any payment from the 201 Series B Bonds Costs of Issuance Fund shall be made by the Trustee, the Commission shall file or cause to be filed with the Trustee a requisition of the Commission (each a "Requisition'), such Requisition to be signed by an Authorized Representative and to include: (i) the item number of such payment; (ii) the name and address of the person to whom each such payment is due, which may be the Commission in the case of reimbursement for costs theretofore paid by the Commission; (iii) the respective amounts to be paid; (iv) the purpose by general classification for which each obligation to be paid was incurred; and (v) that obligations in the stated amounts have been incurred by the Commission and are presently due and payable and that each item thereof is a proper charge against the 201_ Series B Bonds Costs of Issuance Fund and has not been previously paid from said fund. On 1, 201_, any amounts remaining in the 201_ Series B Bonds Costs of Issuance Fund shall be transferred to the Bond Fund and the 201_ Series B Bonds Costs of Issuance Fund shall be closed. Section 22.04. 201 Series B Reserve Account. The monies set aside and placed in the 201_ Series B Reserve Account on account of the 201_ Series B Reserve Requirement shall be held solely for the benefit of the 201_ Series B Bonds and shall be used, withdrdawn, and replenished as provided herein and in Section 5.03. If, on any date of valuation of Permitted Investments credited to the 201_ Series B Reserve Account pursuant to Section 5.07, the amount on deposit in the 201_ Series B Reserve Account exceeds the 201_ Series B Reserve Requirement as of such date, the Trustee shall transfer such excess amount to the Bond Fund or as otherwise directed pursuant to a Written Request of the Commission, provided that such Written Request of the Commission is accompanied by an Opinion of Bond Counsel to the effect that such transfer shall not adversely affect the receipt of Subsidy Payments with respect to the 201 Series B Bonds. ARTICLE XXIII MISCELLANEOUS Section 23.01. Severabilitv. If any covenant, agreement or provision, or any portion thereof, contained in this Second Supplemental Indenture, or the application thereof to any person or circumstance, is held to be unconstitutional, invalid or unenforceable, the remainder of this Second Supplemental Indenture, and the application of any such `covenant, agreement or provision, or portion thereof, to other persons or circumstances, shall be deemed severable and shall not be affected thereby, and this Second Supplemental Indenture shall remain valid. Section 23.02. Parties Interested Herein. Nothing in this Second Supplemental Indenture expressed or implied is intended or shall be construed to confer upon, or to give to, any person or entity, other than the Commission, the Trustee, and the Owners of the OHS West'.2609415%.1 -10- • • • 542 " 2 0 1 _ S e r i e s B B o n d s , a n y r i g h t , r e m e d y o r c l a i m u n d e r o r b y r e a s o n o f t h i s S e c o n d S u p p l e m e n t a l I n d e n t u r e o r a n y c o v e n a n t , c o n d i t i o n o r s t i p u l a t i o n h e r e o f ; a n d a l l t h e c o v e n a n t s , s t i p u l a t i o n s , p r o m i s e s a n d a g r e e m e n t s i n t h i s S e c o n d S u p p l e m e n t a l I n d e n t u r e c o n t a i n e d b y a n d o n b e h a l f o f t h e C o m m i s s i o n s h a l l b e f o r t h e s o l e a n d e x c l u s i v e b e n e f i t o f t h e C o m m i s s i o n , t h e T r u s t e e , a n d t h e O w n e r s . S e c t i o n 2 3 . 0 3 . H e a d i n g s N o t B i n d i n g . T h e h e a d i n g s i n t h i s S e c o n d S u p p l e m e n t a l I n d e n t u r e a r e f o r c o n v e n i e n c e o n l y a n d i n n o w a y d e f i n e , l i m i t o r d e s c r i b e t h e s c o p e o r i n t e n t o f a n y p r o v i s i o n s o r s e c t i o n s o f t h i s S e c o n d S u p p l e m e n t a l I n d e n t u r e . S e c t i o n 2 3 . 0 4 . N o t i c e A d d r e s s e s . E x c e p t a s o t h e r w i s e p r o v i d e d h e r e i n , i t s h a l l b e s u f f i c i e n t s e r v i c e o r g i v i n g o f n o t i c e , r e q u e s t , c o m p l a i n t , d e m a n d o r o t h e r p a p e r i f t h e s a m e s h a l l b e d u l y m a i l e d b y r e g i s t e r e d o r c e r t i f i e d m a i l , p o s t a g e p r e p a i d , a d d r e s s e d t o t h e N o t i c e A d d r e s s f o r t h e a p p r o p r i a t e p a r t y o r p a r t i e s a s p r o v i d e d i n E x h i b i t B h e r e t o . A n y s u c h e n t i t y b y n o t i c e g i v e n h e r e u n d e r m a y d e s i g n a t e a n y d i f f e r e n t a d d r e s s e s t o w h i c h s u b s e q u e n t n o t i c e s , c e r t i f i c a t e s o r o t h e r c o m m u n i c a t i o n s s h a l l b e s e n t , b u t n o n o t i c e d i r e c t e d t o a n y o n e s u c h e n t i t y s h a l l b e t h e r e b y r e q u i r e d t o b e s e n t t o m o r e t h a n t w o a d d r e s s e s . S e c t i o n 2 3 . 0 5 . N o t i c e s t o R a t i n g A g e n c i e s . T h e T r u s t e e s h a l l p r o v i d e n o t i c e t o t h e R a t i n g A g e n c i e s o f t h e f o l l o w i n g e v e n t s w i t h r e s p e c t t o t h e 2 0 1 _ S e r i e s B B o n d s : ( 1 ) C h a n g e i n T r u s t e e ; ( 2 ) A m e n d m e n t s t o t h e I n d e n t u r e ; a n d ( 3 ) R e d e m p t i o n o r d e f e a s a n c e o f t h e 2 0 1 S e r i e s B B o n d s . S e c t i o n 2 3 . 0 6 . I n d e n t u r e t o R e m a i n i n E f f e c t . S a v e a n d e x c e p t a s a m e n d e d a n d s u p p l e m e n t e d b y t h i s S e c o n d S u p p l e m e n t a l I n d e n t u r e , t h e M a s t e r I n d e n t u r e s h a l l r e m a i n i n f u l l f o r c e a n d e f f e c t . S e c t i o n 2 3 . 0 7 . E f f e c t i v e D a t e o f S e c o n d S u p p l e m e n t a l I n d e n t u r e . T h i s S e c o n d S u p p l e m e n t a l I n d e n t u r e s h a l l t a k e e f f e c t u p o n i t s e x e c u t i o n a n d d e l i v e r y . S e c t i o n 2 3 . 0 8 . E x e c u t i o n i n C o u n t e r p a r t s . T h i s S e c o n d S u p p l e m e n t a l I n d e n t u r e m a y b e e x e c u t e d i n s e v e r a l c o u n t e r p a r t s , e a c h o f w h i c h s h a l l b e d e e m e d a n o r i g i n a l , a n d a l l o f w h i c h s h a l l c o n s t i t u t e b u t o n e a n d t h e s a m e i n s t r u m e n t . O H S W e s t 2 6 0 9 4 1 5 9 6 . 1 - I I - 5 4 3 IN WITNESS WHEREOF, the parties hereto have executed this Second Supplemental Indenture by their officers thereunto duly authorized as of the day and year first written above. Countersigned: Clerk of the Board OHS West :260941596_ I RIVERSIDE COUNTY TRANSPORTATION COMMISSION By: Executive Director U.S. BANK NATIONAL ASSOCIATION By: Authorized Officer • 544 " " E X H I B I T A - 1 F O R M O F 2 0 1 S E R I E S B B O N D N o . R B - _ $ R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n T o l l R e v e n u e B o n d ( F i x e d R a t e B o n d ) , 2 0 1 _ S e r i e s B I N T E R E S T R A T E M A T U R I T Y I S S U E D A T E J u n e 1 , 2 0 _ 1 , 2 0 1 _ R E G I S T E R E D O W N E R : C e d e & C o . P R I N C I P A L A M O U N T : D o l l a r s C U S I P R I V E R S I D E C O U N T Y T R A N S P O R T A T I O N C O M M I S S I O N , a _ p u b l i c e n t i t y d u l y o r g a n i z e d a n d e x i s t i n g u n d e r t h e l a w s o f t h e S t a t e o f C a l i f o r n i a ( t h e " C o m m i s s i o n " ) , f o r v a l u e r e c e i v e d , h e r e b y p r o m i s e s t o p a y ( b u t s o l e l y f r o m R e v e n u e a s h e r e i n a f t e r r e f e r r e d t o ) , i n l a w f u l m o n e y o f t h e U n i t e d S t a t e s o f A m e r i c a , t o t h e r e g i s t e r e d o w n e r o r r e g i s t e r e d a s s i g n s , o n t h e m a t u r i t y d a t e s e t f o r t h a b o v e , u n l e s s r e d e e m e d p r i o r t h e r e t o a s h e r e i n a f t e r p r o v i d e d , t h e p r i n c i p a l a m o u n t s p e c i f i e d a b o v e , u n t i l t h e p r i n c i p a l h e r e o f s h a l l h a v e b e e n p a i d , a t t h e i n t e r e s t r a t e p e r a n n u m s p e c i f i e d a b o v e b a s e d o n a 3 6 0 - d a y y e a r o f t w e l v e 3 0 - d a y m o n t h s , p a y a b l e o n 1 , 2 0 1 _ a n d s e m i a n n u a l l y t h e r e a f t e r o n J u n e 1 a n d D e c e m b e r 1 a n d a t m a t u r i t y o r u p o n t h e p r i o r r e d e m p t i o n t h e r e o f ( e a c h , a n " I n t e r e s t P a y m e n t D a t e " ) . T h i s B o n d s h a l l b e a r i n t e r e s t f r o m t h e l a t e s t o f : ( i ) i t s I s s u e D a t e ; ( i i ) t h e m o s t r e c e n t I n t e r e s t P a y m e n t D a t e t o w h i c h i n t e r e s t h a s b e e n p a i d o r d u l y p r o v i d e d f o r , o r ( i i i ) i f t h e d a t e o f a u t h e n t i c a t i o n o f t h i s B o n d i s a f t e r a R e c o r d D a t e b u t p r i o r t o t h e i m m e d i a t e l y s u c c e e d i n g I n t e r e s t P a y m e n t D a t e , t h e I n t e r e s t P a y m e n t D a t e i m m e d i a t e l y s u c c e e d i n g s u c h d a t e o f a u t h e n t i c a t i o n . A s l o n g a s 2 0 1 _ S e r i e s B B o n d s a r e B o o k - E n t r y B o n d s , p r i n c i p a l o f a n d p r e m i u m , i f a n y , a n d i n t e r e s t o n t h e 2 0 1 _ S e r i e s B B o n d s s h a l l b e p a y a b l e b y w i r e t r a n s f e r t o t h e S e c u r i t i e s D e p o s i t o r y i n l a w f u l m o n e y o f t h e U n i t e d S t a t e s o f A m e r i c a . I f t h e 2 0 1 _ S e r i e s B B o n d s c e a s e t o b e B o o k - E n t r y B o n d s , p r i n c i p a l o f a n d p r e m i u m , i f a n y , o n t h e 2 0 1 _ S e r i e s B B o n d s s h a l l b e p a y a b l e w h e n d u e u p o n p r e s e n t a t i o n a n d s u r r e n d e r t h e r e o f a t t h e P r i n c i p a l O f f i c e o f U . S . B a n k N a t i o n a l A s s o c i a t i o n , a s t r u s t e e ( t h e " T r u s t e e " ) a n d i n t e r e s t s h a l l b e p a y a b l e b y f i r s t c l a s s m a i l o n e a c h i n t e r e s t p a y m e n t d a t e t o t h e O w n e r s t h e r e o f a s o f t h e c l o s e o f b u s i n e s s o n t h e R e c o r d D a t e ; p r o v i d e d , h o w e v e r , t h a t O w n e r s o f $ 1 , 0 0 0 , 0 0 0 o r m o r e i n a g g r e g a t e p r i n c i p a l a m o u n t o f 2 0 1 _ S e r i e s B B o n d s m a y , a t a n y t i m e p r i o r t o a R e c o r d D a t e , g i v e t h e T r u s t e e w r i t t e n i n s t r u c t i o n s f o r p a y m e n t o f s u c h i n t e r e s t o n e a c h s u c c e e d i n g i n t e r e s t p a y m e n t d a t e b y w i r e t r a n s f e r . A s u s e d h e r e i n , " R e c o r d D a t e " m e a n s t h e f i f t e e n t h d a y ( w h e t h e r o r n o t a B u s i n e s s D a y ) o f t h e m o n t h p r e c e d i n g s u c h I n t e r e s t P a y m e n t D a t e . O H S W e s t . 2 6 0 9 4 1 5 9 6 . 1 A - 1 5 4 5 This Bond is one of a duly authorized issue of bonds of the Commission, designated as "Riverside County Transportation Commission Toll Revenue Bonds" (the "Bonds"), of the series designated above, all of which are being issued pursuant to the provisions of Division 12 of the Public Utilities Code of the State of California (the "Act') and a Master Indenture, dated as of I, 201_ (the "Master Indenture"), as supplemented, including as supplemented by a Second Supplemental Indenture, dated as of I, 201_ (the "Second Supplemental Indenture"), each between the Commission and the Trustee. The Master Indenture, as supplemented and amended from time to time pursuant to its terms, including as supplemented by the Second Supplemental Indenture, is hereinafter referred to as the "Indenture" Said authorized issue of Bonds is not limited in aggregate principal amount and consists or may consist of one or more series of varying denominations, dates, maturities, interest rates and other provisions, as in the Indenture provided. Capitalized terms used herein and not otherwise defined shall have the meaning given such terms in the Indenture. THIS BOND IS A SPECIAL OBLIGATION OF THE COMMISSION PAYABLE SOLELY FROM REVENUE AS DEFINED AND PROVIDED IN THE INDENTURE AND THE COMMISSION IS NOT OBLIGATED TO PAY THIS BOND EXCEPT FROM REVENUE. THIS BOND DOES NOT CONSTITUTE A DEBT OR LIABILITY OF THE STATE OF CALIFORNIA OR ANY POLITICAL SUBDIVISION OF THE STATE OTHER THAN THE COMMISSION. NEITHER THE FULL FAITH AND CREDIT NOR THE TAXING POWER OF THE STATE OF CALIFORNIA OR ANY POLITICAL SUBDIVISION OF THE SATE OF CALIFORNIA IS PLEDGED TO THE PAYMENT OF PRINCIPAL OR INTEREST OF THIS BOND. Reference is hereby made to the Indenture and the Act for a description of the terms on which the Bonds are issued and to be issued, the provisions with regard to the nature and extent of the pledge of Revenue and the rights of the registered owners of the Bonds and all the terms of the Indenture are hereby incorporated herein and constitute a contract between the Commission and the registered owner from time to time of this Bond, and to all the provisions thereof the registered owner of this Bond, by its acceptance hereof, consents and agrees. Additional Bonds may be issued and other indebtedness may be incurred on a parity with the Series of Bonds of which this Bond is a part, but only subject to the conditions and limitations contained in the Indenture. This Bond is payable both as to principal and interest, and as to any premium upon the redemption hereof, solely from Revenue as defined in the Indenture, subject only to the provisions of the Indenture permitting application thereof for the purposes and on the terms and conditions set forth therein, and the Commission is not obligated to pay this Bond except from Revenue. The Bonds of the Series of Bonds of which this Bond is a part maturing on or before June 1, 20 are not subject to redemption prior to their respective stated maturities. The Bonds of the Series of Bonds of which this Bond is a part maturing on or after June 1, 20_ shall be subject to redemption prior to their respective stated maturities, at the option of the Commission, from any source of available funds, as a whole or in part (and if in part, in such order of maturity as the Commission shall specify and within a maturity by lot or by such other method as the Trustee determines to be fair and reasonable and in Authorized Denominations), on any date on or after OHS West:260941596.1 A-2 546 " J u n e 1 , 2 0 a t t h e p r i n c i p a l a m o u n t o f s u c h B o n d s c a l l e d f o r r e d e m p t i o n , p l u s a c c r u e d i n t e r e s t t o t h e d a t e f i x e d f o r r e d e m p t i o n , w i t h o u t p r e m i u m . T h e B o n d s o f t h e S e r i e s o f B o n d s o f w h i c h t h i s B o n d i s a p a r t m a t u r i n g o n J u n e 1 , 2 0 f s h a l l b e s u b j e c t t o m a n d a t o r y r e d e m p t i o n p r i o r t o t h e i r s t a t e d m a t u r i t y , i n p a r t , f r o m S i n k i n g F u n d I n s t a l l m e n t s r e q u i r e d b y a n d a s s p e c i f i e d i n t h e I n d e n t u r e , a t a r e d e m p t i o n p r i c e e q u a l t o t h e p r i n c i p a l a m o u n t t h e r e o f , p l u s a c c r u e d b u t u n p a i d i n t e r e s t t o t h e r e d e m p t i o n d a t e , w i t h o u t p r e m i u m , o n J u n e 1 , 2 0 _ a n d o n e a c h J u n e 1 t h e r e a f t e r . T h e r i g h t s a n d o b l i g a t i o n s o f t h e C o m m i s s i o n a n d o f t h e h o l d e r s a n d r e g i s t e r e d o w n e r s o f t h e B o n d s o f t h e S e r i e s o f B o n d s o f w h i c h t h i s B o n d i s a p a r t m a y b e m o d i f i e d o r a m e n d e d a t a n y t i m e i n t h e m a n n e r , t o t h e e x t e n t , a n d u p o n t h e t e r m s p r o v i d e d i n t h e I n d e n t u r e , w h i c h p r o v i d e , i n c e r t a i n c i r c u m s t a n c e s , f o r m o d i f i c a t i o n s a n d a m e n d m e n t s w i t h o u t t h e c o n s e n t o f o r n o t i c e t o t h e r e g i s t e r e d o w n e r s o f B o n d s . T h i s B o n d i s t r a n s f e r a b l e o r e x c h a n g e a b l e a s p r o v i d e d i n t h e I n d e n t u r e , o n l y u p o n t h e B o n d R e g i s t e r a t t h e P r i n c i p a l O f f i c e o f t h e T r u s t e e , b y t h e r e g i s t e r e d o w n e r h e r e o f i n p e r s o n , o r b y s u c h o w n e r ' s d u l y a u t h o r i z e d a t t o r n e y , u p o n s u r r e n d e r o f t h i s B o n d a t t h e P r i n c i p a l O f f i c e o f t h e T r u s t e e , t o g e t h e r w i t h a w r i t t e n i n s t r u m e n t o f t r a n s f e r s a t i s f a c t o r y t o t h e T r u s t e e d u l y e x e c u t e d b y t h e r e g i s t e r e d o w n e r o r s u c h o w n e r ' s d u l y a u t h o r i z e d a t t o r n e y , a n d t h e r e u p o n a n e w B o n d o r B o n d s o f t h e s a m e s e r i e s , m a t u r i t y , i n t e r e s t r a t e a n d i n t h e s a m e a g g r e g a t e p r i n c i p a l a m o u n t , s h a l l b e i s s u e d t o t h e t r a n s f e r e e i n e x c h a n g e t h e r e f o r a s p r o v i d e d i n t h e I n d e n t u r e , u p o n p a y m e n t o f a n y c h a r g e s t h e r e i n p r e s c r i b e d . T h e p e r s o n i n w h o s e n a m e t h i s B o n d i s r e g i s t e r e d s h a l l b e d e e m e d a n d r e g a r d e d a s t h e a b s o l u t e o w n e r h e r e o f f o r a l l p u r p o s e s , i n c l u d i n g r e c e i v i n g p a y m e n t o f , o r o n a c c o u n t o f , t h e p r i n c i p a l o f a n d p r e m i u m a n d i n t e r e s t d u e h e r e o n . I t i s h e r e b y c e r t i f i e d a n d r e c i t e d t h a t a n y a n d a l l a c t s , c o n d i t i o n s a n d t h i n g s r e q u i r e d t o e x i s t , t o h a p p e n a n d t o b e p e r f o r m e d , p r e c e d e n t t o a n d i n t h e i n c u r r i n g o f t h e i n d e b t e d n e s s e v i d e n c e d b y t h i s B o n d , a n d i n t h e i s s u i n g o f t h i s B o n d , e x i s t , h a v e h a p p e n e d a n d h a v e b e e n p e r f o r m e d i n d u e t i m e , f o r m a n d m a n n e r , a s r e q u i r e d b y t h e C o n s t i t u t i o n a n d s t a t u t e s o f t h e S t a t e o f C a l i f o r n i a a n d t h e A c t , a n d t h a t t h i s B o n d , t o g e t h e r w i t h a l l o t h e r i n d e b t e d n e s s o f t h e C o m m i s s i o n p a y a b l e o u t o f R e v e n u e , i s w i t h i n e v e r y d e b t a n d o t h e r l i m i t p r e s c r i b e d b y t h e C o n s t i t u t i o n a n d s t a t u t e s o f t h e S t a t e o f C a l i f o r n i a a n d t h e A c t . T h i s B o n d s h a l l n o t b e e n t i t l e d t o a n y b e n e f i t u n d e r t h e I n d e n t u r e , o r b e c o m e v a l i d o r o b l i g a t o r y f o r a n y p u r p o s e , u n t i l t h e c e r t i f i c a t e o f a u t h e n t i c a t i o n h e r e o n e n d o r s e d s h a l l h a v e b e e n m a n u a l l y s i g n e d b y t h e T r u s t e e . O H S W e s t : 2 6 0 9 4 1 5 9 6 . 1 A - 3 5 4 7 IN WITNESS WHEREOF the Riverside County Transportation Commission has caused this Bond to be executed in its name and on its behalf by the manual or facsimile signature of its duly authorized representatives all as of the Issue Date set forth above. (Seal) Countersigned: By: Chief Financial Officer OHS West:260941596.1 RIVERSIDE COUNTY TRANSPORTATION COMMISSION By: Chair of the Board of Commissioners A-4 • 548 " " " [ F O R M O F C E R T I F I C A T E O F A U T H E N T I C A T I O N ] T h i s B o n d i s o n e o f t h e 2 0 1 _ S e r i e s B B o n d s d e s c r i b e d i n t h e w i t h i n m e n t i o n e d I n d e n t u r e a n d w a s a u t h e n t i c a t e d o n t h e d a t e s e t f o r t h b e l o w . D a t e o f A u t h e n t i c a t i o n : U . S . B A N K N A T I O N A L A S S O C I A T I O N , a s T r u s t e e B y : A u t h o r i z e d O f f i c e r [ D T C L E G E N D ] U n l e s s t h i s B o n d i s p r e s e n t e d b y a n a u t h o r i z e d r e p r e s e n t a t i v e o f T h e D e p o s i t o r y T r u s t C o m p a n y t o t h e i s s u e r o r i t s a g e n t f o r r e g i s t r a t i o n o f t r a n s f e r , e x c h a n g e o r p a y m e n t , a n d a n y B o n d i s s u e d i s r e g i s t e r e d i n t h e n a m e o f C e d e & C o . o r s u c h o t h e r n a m e a s r e q u e s t e d b y a n a u t h o r i z e d r e p r e s e n t a t i v e o f T h e D e p o s i t o r y T r u s t C o m p a n y a n d a n y p a y m e n t i s m a d e t o C e d e & C o . , A N Y T R A N S F E R , P L E D G E O R O T H E R U S E H E R E O F F O R V A L U E O R O T H E R W I S E B Y O R T O A N Y P E R S O N I S W R O N G F U L s i n c e t h e r e g i s t e r e d o w n e r h e r e o f , C e d e & C o . , h a s a n i n t e r e s t h e r e i n . O H S W e s t 2 6 0 9 4 1 5 9 6 . 1 A - 5 5 4 9 [FORM OF ASSIGNMENT] FOR VALUE RECEIVED, the undersigned hereby sells, assigns and transfers unto (Please Print or Type Name and Address of Assignee) PLEASE INSERT SOCIAL SECURITY OR OTHER TAX IDENTIFICATION NUMBER OF ASSIGNEE the within bond and all rights thereunder, and hereby irrevocably constitutes and appoints to transfer the within Bond on the books kept for registration thereof with full power of substitution in the premises. Dated: Signature: (Signature of Assignor) Notice: The signature on this assignment must correspond with the name of the Registered Owner as it appears upon the face of the within Bond in every particular without alteration or enlargement or any change whatsoever. SIGNATURE GUARANTEED: Notice: Signature must be guaranteed by an eligible guarantor firm. OHS West:260941596_1 A-6 • 550 " " " E X H I B I T B N O T I C E A D D R E S S E S T o t h e C o m m i s s i o n : R i v e r s i d e C o u n t y T r a n s p o r t a t i o n C o m m i s s i o n P . O . B o x 1 2 0 0 8 R i v e r s i d e , C a l i f o r n i a 9 2 5 0 2 A t t e n t i o n : C h i e f F i n a n c i a l O f f i c e r T e l e p h o n e : ( 9 5 1 ) 7 8 7 - 7 1 4 1 F a x : ( 9 5 1 ) 7 8 7 - 7 9 2 0 T o t h e T r u s t e e : U . S . B a n k N a t i o n a l A s s o c i a t i o n 6 3 3 W e s t F i f t h S t r e e t , 2 4 t h F l o o r L o s A n g e l e s , C a l i f o r n i a 9 0 0 7 1 A t t e n t i o n : C o r p o r a t e T r u s t S e r v i c e s T e l e p h o n e : ( 2 1 3 ) 6 1 5 - 6 0 0 2 F a x : ( 2 1 3 ) 6 1 5 - 6 1 9 9 T o t h e R a t i n g A g e n c i e s : S t a n d a r d & P o o r ' s R a t i n g s S e r v i c e s 5 5 W a t e r S t r e e t , 3 8 t h F l o o r N e w Y o r k , N e w Y o r k 1 0 0 4 1 T e l e p h o n e N o . : 2 1 2 - 4 3 8 - 2 0 0 0 F a c s i m i l e N o . : 2 1 2 - 4 3 8 - 2 1 5 7 p u b f i n _ s t r u c t u r e d @ s t a n d a r d a n d p o o r s . c o m M o o d y ' s I n v e s t o r s S e r v i c e M S P G S u r v e i l l a n c e 9 9 C h u r c h S t r e e t , 9 t h F l o o r N e w Y o r k , N e w Y o r k 1 0 0 0 7 F i t c h R a t i n g s O n e S t a t e S t r e e t P l a z a N e w Y o r k , N e w Y o r k 1 0 0 0 4 O H S W e s c 2 6 0 N 1 5 9 6 . 1 B - I 5 5 1 Toll Revenue Bond Authorization to Finance SR-91 CIP Design -Build Costs July 14, 2010 Project Status • Approved by RCTC as priority project • Environmental approval expected Fall 2011 • Hired project and construction manager • Obtained design -build authority from CTC • Selected bond underwriting team • Commenced right of way acquisition —Open market and hardship transactions Design -Build Benefits • Schedule acceleration (est. 3+ years) • Innovation more possible • Risk transfer to design -build contractor • Cost certainty can increase • High quality delivery by collaborative team • Local job creation • Congestion and air quality improvements Design -Build Planning • Negotiate and execute various agreements with other agencies — Design -build phase —Operations phase • Develop design -build procurement —Selection planned in Fall 2011 • Develop financial model and evaluate potential financing structures Design -Build Financing • Toll Revenue Bonds -Authorization not to exceed $900 million -Sale and financial close by January 2012 Not subject to Measure A debt limit • TIFIA Loan/ TIGER II Grant —Applications to be submitted August 2010 • Measure A sales tax revenue support —Subordinate basis 0 u Staff Recommendation • Adopt Resolution No. 10-026 • Approve the form of documents and authorize Executive Director to approve and execute final form — Indenture — First Supplemental Indenture — Second Supplemental Indenture — Design -Build Agreement with Caltrans — Cooperative Agreement with OCTA • Commission will approve disclosure at future meeting " A G E N D A I T E M 1 3 C O M M I S S I O N E R S R E P O R T " RIVERSIDE COUNTY TRANSPORTATION COMMISSION DATE: July 14, 2010 TO: Riverside County Transportation Commission FROM: Commissioners Daryl Busch, Greg Pettis, and Ron Roberts SUBJECT: American Public Transportation Association Rail Conference 2010 BACKGROUND INFORMATION: The passage of Assembly Bill 1234 requires a report on trips that are made by an elected official on behalf of a public agency. The purpose of this report is to provide information on the recently completed American Public Transportation Association (APTA) Rail Conference in Vancouver, June 6-9, 2010. On an annual basis, the APTA Rail Conference is held to address nearly every aspect of commuter rail and rail transit. With all the recent activity in high-speed rail, American Recovery and Reinvestment (ARRA) funding, and other issues impacting the industry, this year had record attendance with over 1,100 participants. In addition, there was significant Southern California presence including board members and staff from the other partner Metrolink agencies. This conference provides a great opportunity to learn more about the industry's latest trends and challenges in developing effective transportation alternatives. Attendees Commissioners Daryl Busch, Greg Pettis, and Ron Roberts participated in the APTA Rail Conference. Workshops and Seminars There was an assortment of workshops that directly related to Metrolink commuter rail operations, safety, positive train control (PTC), high-speed rail, and topics that related to the development of the Perris Valley Line. The following list provides some examples: • The Rail Safety Improvement Act of 2009 and Its Impacts; • PTC Plans; • Safety, Culture and Organizational Change; • High Speed Rail 101 / Technical Sections; • PTC: The Technology; • Preparing an Integrated State Rail Plan; • Energy, Environment, and Transit; Agenda Item 13 552 " F a r e C o l l e c t i o n T e c h n o l o g y U p d a t e ; " S h a r e d U s e : L i g h t a t t h e E n d o f t h e T u n n e l ; " C r a s h w o r t h i n e s s - i n n o v a t i o n s i n V e h i c l e D e s i g n ; " T r a i n C o n t r o l i n 2 0 1 0 ; " O p e r a t i o n s C o n t r o l C e n t e r s ; a n d " A R R A S t a t u s R e p o r t s . S u m m a r y T h i s y e a r ' s c o n f e r e n c e p r o v i d e d u s e f u l a n d t i m e l y i n f o r m a t i o n r e l a t e d t o M e t r o l i n k a n d t h e C o m m i s s i o n ' s C o m m u t e r R a i l o p e r a t i o n s . T h i s w a s a p a r t i c u l a r l y i n f o r m a t i v e c o n f e r e n c e t h a t s t a r t e d o f f w i t h a h o s t f o r u m p r e s e n t a t i o n f r o m t h e F e d e r a l R a i l r o a d A d m i n i s t r a t i o n a n d F e d e r a l T r a n s i t A d m i n i s t r a t i o n r e p r e s e n t a t i v e s t h a t e m p h a s i z e d t h e n e e d f o r i m p r o v e d r a i l t r a n s p o r t a t i o n a n d d i s c u s s e d f u n d i n g c h a l l e n g e s i n o p e r a t i o n s a n d c a p i t a l i m p r o v e m e n t s . T h e r e w e r e s e v e r a l w o r k s h o p a n d l u n c h e o n e v e n t s . O n e s u c h l u n c h e o n s p e e c h w a s t i t l e d A N e w E r a o f T r a n s p o r t a t i o n C h o i c e s : L i n k i n g T r a n s p o r t a t i o n , L a n d u s e , a n d S u s t a i n a b i l i t y , t h i s d i s c u s s i o n l i n k e d t r a n s i t a n d s u s t a i n a b l e d e v e l o p m e n t . T h e c l o s i n g s e s s i o n d i s c u s s i o n , R a i l S a f e t y L e a d e r s h i p f o r H i g h R e l i a b i l i t y O r g a n i z a t i o n s , w a s i n t e r e s t i n g i n h o w o t h e r s a f e t y s e n s i t i v e i n d u s t r i e s s u c h a s n u c l e a r p o w e r a r e i m p l e m e n t i n g o r g a n i z a t i o n a l s t r u c t u r e s t o f u n d a m e n t a l l y i m p r o v e s a f e t y a n d r e l i a b i l i t y a n d m i n i m i z e i n c i d e n t s . I n a d d i t i o n t o t h e s e s e s s i o n s , t h e c o n f e r e n c e p r o v i d e d a u n i q u e o p p o r t u n i t y f o r n e t w o r k i n g a n d t o d i s c u s s t h e i s s u e s r e l a t e d t o r a i l s e r v i c e w i t h o t h e r s t h r o u g h o u t t h e c o u n t r y . D u r i n g t h e t r a d e s h o w , i t w a s u s e f u l t o l e a r n a b o u t t h e n e w t o o l s t h a t v e n d o r s a r e u s i n g f o r c o r r i d o r d e v e l o p m e n t a n d r a i l p l a n n i n g . A l s o , i t w a s e n c o u r a g i n g t o s p e a k t o o t h e r s r e g a r d i n g P T C , s a f e t y , f u n d i n g , s e r v i c e c u t s , a n d t h e c h a l l e n g e s o f e x p a n d i n g s e r v i c e i n t h e s e t o u g h e c o n o m i c t i m e s . O v e r a l l , t h e c o n f e r e n c e w a s a s u c c e s s a n d p r o v i d e d a g r e a t o p p o r t u n i t y t o l e a r n m o r e a b o u t t h e i n d u s t r y . A g e n d a I t e m 1 3 5 5 3 "