HomeMy Public PortalAbout04 April 22, 2013 Western Riverside County Programs and Projects"
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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
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K a r e n S p i e g e l I E u g e n e M o n t a n e z , C i t y o f C o r o n a
A d a m R u s h I I k e B o o t s m a , C i t y o f E a s t v a l e
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T o m O w i n g s I M a r c e l o C o , C i t y o f M o r e n o V a l l e y
B e r w i n H a n n a I K a t h y A z e v e d o , C i t y o f N o r c o
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B e n B e n o i t I T i m o t h y W a l k e r , C i t y o f W i l d o m a r
K e v i n J e f f r i e s , C o u n t y o f R i v e r s i d e , D i s t r i c t I
M a r i o n A s h l e y , C o u n t y o f R i v e r s i d e , D i s t r i c t V
~ S T A F F o t q /
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
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C o m m u n i c a t i o n s a n d O u t r e a c h P r o g r a m s ,
l n t e r m o d a l P r o g r a m s ,
M o t o r i s t S e r v i c e s , N e w C o r r i d o r s ,
R e g i o n a l A g e n c i e s / R e g i o n a l P l a n n i n g ,
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 r o g r a m ( R T I P ) ,
S p e c i f i c T r a n s i t P r o j e c t s ,
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 ) ,
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 , a n d
P r o v i d e P o l i c y D i r e c t i o n o n 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 P r o j e c t s
r e l ~ t e d t o W e s t e r n R i v e r s i d e C o u n t y a n d o t h e r
a r e a s a s m a y b e p r e s c r i b e d b y t h e C o m m i s s i o n .
C o m m e n t s a r e w e l c o m e d b y t h e C o m m i t t e e . I f y o u w i s h t o p r o v i d e c o m m e n t s t o t h e C o m m i t t e e ,
p l e a s e c o m p l e t e a n d s u b m i t a S p e a k e r C a r d t o t h e C l e r k o f t h e B o a r d .
C O M M - W R C - 0 0 0 1 3
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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 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
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1 : 3 0 p . m .
M o n d a y , A p r i l 2 2 , 2 0 1 3
B O A R D R O O M
C o u n t y 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 , F i r s t F l o o r
R i v e r s i d e , C a l i f o r n i a
I n c o m p l i a n c e w i t h t h e B r o w n A c t a n d 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 7 . 5 , a g e n d a m a t e r i a l s
d i s t r i b u t e d 7 2 h o u r s p r i o r t o t h e m e e t i n g , w h i c h a r e p u b l i c r e c o r d s r e l a t i n g t o o p e n s e s s i o n
a g e n d a i t e m s , w i l l b e a v a i l a b l e f o r i n s p e c t i o n b y m e m b e r s o f t h e p u b l i c p r i o r t o t h e m e e t i n g a t
t h e C o m m i s s i o n o f f i c e , 4 0 8 0 L e m o n S t r e e t , T h i r d F l o o r , R i v e r s i d e , C A , a n d o n t h e
C o m m i s s i o n ' s w e b s i t e , w w w . r c t c . o r g .
I n c o m p l i a n c e w i t h t h e A m e r i c a n s w i t h D i s a b i l i t i e s A c t a n d 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 4 . 2 , i f y o u n e e d s p e c i a l a s s i s t a n c e t o p a r t i c i p a t e i n a C o m m i t t e e m e e t i n g , p l e a s e c o n t a c t
t h e C l e r k o f t h e B o a r d a t ( 9 5 1 ) 7 8 7 - 7 1 4 1 . N o t i f i c a t i o n o f a t l e a s t 4 8 h o u r s p r i o r t o m e e t i n g
t i m e w i l l a s s i s t s t a f f i n a s s u r i n g t h a t r e a s o n a b l e a r r a n g e m e n t s c a n b e m a d e t o p r o v i d e
a c c e s s i b i l i t y a t t h e m e e t i n g .
1 . C A L L T O O R D E R
2 . P L E D G E O F A L L E G I A N C E
3 . R O L L C A L L
4 . P U B L I C C O M M E N T S - E a c h i n d i v i d u a l s p e a k e r i s l i m i t e d t o s p e a k t h r e e ( 3 ) �
c o n t i n u o u s m i n u t e s o r l e s s . T h e C o m m i t t e e m a y , e i t h e r a t t h e d i r e c t i o n o f t h e
C h a i r o r b y m a j o r i t y v o t e o f t h e C o m m i t t e e , w a i v e t h i s t h r e e m i n u t e t i m e
l i m i t a t i o n . D e p e n d i n g o n t h e n u m b e r o f i t e m s o n t h e A g e n d a a n d t h e n u m b e r o f
s p e a k e r s , t h e C h a i r m a y , a t h i s / h e r d i s c r e t i o n , r e d u c e t h e t i m e o f e a c h s p e a k e r
t o t w o ( 2 ) c o n t i n u o u s m i n u t e s . A l s o , t h e C o m m i t t e e m a y t e r m i n a t e p u b l i c
c o m m e n t s i f s u c h c o m m e n t s b e c o m e r e p e t i t i o u s . I n a d d i t i o n , t h e m a x i m u m t i m e
f o r p u b l i c c o m m e n t f o r a n y i n d i v i d u a l i t e m o r t o p i c i s t h i r t y ( 3 0 ) m i n u t e s .
S p e a k e r s m a y n o t y i e l d t h e i r t i m e t o o t h e r s w i t h o u t t h e c o n s e n t o f t h e C h a i r .
A n y w r i t t e n d o c u m e n t s t o b e d i s t r i b u t e d o r p r e s e n t e d t o t h e C o m m i t t e e s h a l l b e
s u b m i t t e d t o t h e C l e r k o f t h e B o a r d . T h i s p o l i c y a p p l i e s t o P u b l i c C o m m e n t s a n d
c o m m e n t s o n A g e n d a I t e m s .
Western Riverside County Programs and Projects Committee
April 22, 2013
Page 2
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.
5. APPROVAL OF MINUTES -FEBRUARY 25, 2013
6. ADDITIONS/REVISIONS (The Committee 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 Committee subsequent to the posting
of the agenda. An action adding an item to the agenda requires 213 vote of the
Committee. If there are less than 213 of the Committee 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.)
7. STATE ROUTE 91 DESIGN-BUILD CONT,RACT
Page 1
Overview
This item is for the Committee to:
1 ) Award Agreement No. 12-31-113 to Atkinson/Walsh, a Joint Venture, for
the design and construction of the State Route 91 Corridor Improvement
Project (SR-91 CIP) in the amount of $632,572,050, plus a contingency
amount of $31,628,603, for a total amount not to exceed
$664,200,653;
2) Authorize ttie Chair or Executive Director, pursuant to legal counsel
review, to execute the agreement on behalf of the Commission;
3) Authorize the Executive Director to approve contingency work to be
performed pursuant to the agreement terms up to the total not to exceed
amount;
4) Authorize staff to issue a Notice to Proceed No. 1 in the amount of
$1 0 million after execution of the agreement;
5) Authorize staff to issue a Notice to Proceed No. 2 for the remainder of the
contract work after· the successful sale of toll revenue and Measure A
sales tax bonds and funding of the U.S. Department of Transportation
(USDOT) Transportation Investment Finance and Innovation Act (TIFIA)
loan; and
6) Forward to the Commission for final action.
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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 p r i l 2 2 , 2 0 1 3
P a g e 3
8 . S T A T E R O U T E 9 1 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 M E N T S E R V I C E S
9 .
O v e r v i e w
P a g e 1 7
T h i s i t e m i s f o r t h e C o m m i t t e e t o :
1 ) A p p r o v e A g r e e m e n t N o . 0 9 - 3 1 - 0 8 1 - 0 3 , A m e n d m e n t N o . 3 t o A g r e e m e n t
N o . 0 9 - 3 1 - 0 8 1 - 0 0 , w i t h P a r s o n s T r a n s p o r t a t i o n G r o u p , I n c . ( P a r s o n s ) t o
p r o v i d e 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 m e n t ( P C M ) s e r v i c e s f o r P h a s e 2
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 ( S R - 9 1 C I P ) w i d e n i n g a n d
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 d e s i g n - b u i l d p r o j e c t i n t h e a m o u n t o f
$ 8 1 , 4 1 0 , 7 9 3 , p l u s a c o n t i n g e n c y o f $ 6 . 1 m i l l i o n f o r a t o t a l a m o u n t n o t t o
e x c e e d $ 8 7 , 5 1 0 , 7 9 3 , a n d a t o t a l a u t h o r i z e d c o n t r a c t v a l u e , f o r P h a s e 1
a n d 2 , o f $ 1 4 7 , 5 9 5 , 3 3 7 ;
2 ) A u t h o r i z e t h e C h a i r o r 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 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 o r d e s i g n e e t o a p p r o v e c o n t i n g e n c y w o r k
u p t o t h e t o t a l a u t h o r i z e d a m o u n t 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 ) F o r w a r d t o t h e C o m m i s s i o n f o r f i n a l a c t i o n .
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 M E N T
O v e r v i e w
P a g e 2 2
T h i s i t e m i s f o r t h e C o m m i t t e e t o :
1 ) A p p r o v e t h e 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 m e n t b e t w e e n 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 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 ) , a n d C o f i r o u t e U S A , L L C
( C o f i r o u t e ) f o r o p e r a t i o n s a n d m a i n t e n a n c e s e r v i c e s f o r t h e 9 1 E x p r e s s
L a n e s i n a n a m o u n t o f $ 3 0 , 9 9 8 , 1 3 3 , p l u s a c o n t i n g e n c y a m o u n t o f
$ 3 , 0 9 9 , 8 1 3 f o r a t o t a l a m o u n t n o t t o e x c e e d $ 3 4 , 0 9 7 , 9 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 u p t o t h e
t o t a l a m o u n t n o t t o e x c e e d a s r e q u i r e d f o r t h e a g r e e m e n t ; a n d
4 ) F o r w a r d t o t h e C o m m i s s i o n f o r f i n a l a c t i o n .
Western Riverside County Programs and Projects Committee
April 22, 2013
Page 4
10. TRANSPORTATION UNIFORM MITIGATION FEE PROGRAM REGIONAL
ARTERIAL FUNDS -CITY OF PERRIS PROGRAMMING REQUEST
Overview
Page 30
This item is for the Committee to:
1) Approve the request by the city of Perris to program Transportation
Uniform Mitigation Fee (TUMF) Regional Arterial funds in the amount of
$1.36 million for the Perris Boulevard widening project from Ramona
Expressway to Perry Street;
2) Accept $2,388,000 million in federal Surface Transportation Program
(STP) funds from the Perris Boulevard project for reprogramming at the
discretion of the Commission;
3) Approve Agreement No. 08-72-097-02, Amendment No. 2 to Agreement
No. 08-72-097-00, with the city of Perris to add TUMF funding for the
construction phase;
4) Authorize the Executive Director, pursuant to legal counsel review, to
execute the amendment on behalf of the Commission; and
5) Forward to the Commission for final action.
11. AMENDMENT WITH STV INCORPORATED TO PROVIDE DESIGN SUPPORT
.DURING CONSTRUCTION FOR THE PERRIS VALLEY LINE PROJECT
Overview
Page 32
This item is for the Committee to:
1) Approve Agreement No. 07-33-123-10, Amendment No. 10 to
Agreement 07-33-123-00, with STV Incorporated (STV) for design
support during construction for the Perris Valley Line (PVL) in the amount
of $6,841, 749, plus a contingency amount of $1 million, for a total
amount not to exceed $ 7, 841 , 7 49, and a total authorized contract value
of $48,673,386;
2) Authorize the Chair or Executive Director, pursuant to legal counsel
review, to execute the agreement on behalf of the Commission;
3) Authorize the Executive Director or designee, pursuant to legal counsel
review, to approve the use of the contingency as may be required for the
project; and
4) Forward to the Commission for final action.
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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 p r i l 2 2 , 2 0 1 3
P a g e 5
1 2 . C O M M I S S I O N E R S I S T A F F R E P O R T
O v e r v i e w
T h i s i t e m p r o v i d e s t h e o p p o r t u n i t y f o r t h e C o m m i s s i o n e r s a n d s t a f f t o r e p o r t o n
a t t e n d e d a n d u p c o m i n g m e e t i n g / c o n f e r e n c e s a n d i s s u e s r e l a t e d t o C o m m i s s i o n
a c t i v i t i e s .
1 3 . A D J O U R N M E N T A N D N E X T M E E T I N G
T h e n e x 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 m e e t i n g i s
s c h e d u l e d t o b e h e l d a t 1 : 3 0 p . m . , M o n d a y , J u n e 2 4 , 2 0 1 3 , B o a r d C h a m b e r s ,
F i r s t F l o o r , C o u n t y 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 .
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
WESTERN RIVERSIDE COUNTY PROGRAMS AND PROJECTS SIGN-IN SHEET
APRIL 22, 2013
NAME AGENCY E MAIL ADDRESS
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RIVERSIDE COUNTY TRANSPORTATION COMMISSION
WESTERN RIVERSIDE COUNTY PROGRAMS AND PROJECTS
COMMITTEE
ROLL CALL
APRIL 22, 2013
County of Riverside, District I
County of Riverside, District V
City of Banning
City of Corona
City of Eastvale
City of Jurupa Valley
City of Menifee
City of Moreno Valley
City of Norco
City of Perris
City of San Jacinto
City of Wildomar
Absent
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DETACH AND SUBMIT TO THE CLERK OF THE BOARD DATE: Apr" I 2 2 I UJ/ :3 CHECK IF SUBJECT OF PUBLIC COMMENTS: ~ PUBLIC COMMENTS: R~ue;-f -k, ~Ifq>Cl}lt*' A cf1u0 AGENDA ITEM NO.: 7 SUBJECT OF ~ (AS LISTED ON THE AGENDA) AGENDA ITEM: S-tto[<" '<" ..ivte ]). "':!t :3.,/ Q a,_, tr (Ir/-NAME: (VJ I ch ae/ IY21nche Ila PHONE NO.:rz1-Vu12--'290,1 ADDRESS: 72-5' .::5. ;-() c;u~ ';! .,t-32tJ Q 4s/'V -f' /P,1 . 'i.!22./ 2 STREET Cl ZIP CODE REPRESENTING: Sh1rnt!A ,cl~ cJlocl6 e1ki ,· EALF PHONE NO.:(q49) ??_3-150() NAME OF AGENCY I OR ANIZATION I GROUP J BUSINESS ADDRESS: /(2'-10/ S:.1c11 tlh<" (L..,)(t1 __:lrv1l1P <'11 92&/J=' STREET CITY ZIP CODE
~ rACH AND SUBMIT TD THE CLERK OF THE BOARD DATE: µ-c../ /3 SUBJECT OF J2cTZ-/ a/ PUBLIC COMMENTS: __ +, ___ <-__ ~-/_____.!._ _______ _ CHECK IF PUBLIC COMMENTS: 0 SUBJECT OF -----:,.--/----AGENDA ITEM: _____________ _ ADDRESS: 4' mat. y-' (/ PHONE NO.: f tf f -.5 .5.J-1!!5 Jb 11 e; Sc 1e/lfrf/ c_ f/V /J-r j;(vi Ae. C/f-926?/ _s STREET ~ CITY 'ZIP CODE NAME: REPRESENTING: 5 0 r PHONE NO.: _____ _ NAME OF AGENCY I ORGANIZATION I GROUP BUSINESS ADDRESS:. ____________________________ _ STREET CITY ZIP CODE
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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 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
M o n d a y , F e b r u a r y 2 5 , 2 0 1 3
M I N U T E S
1 . C A L L T O O R D E R
T h e m e e t i n g o f 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 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 w a s c a l l e d t o o r d e r b y C h a i r A d a m R u s h a t 1 : 3 2 p . 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 , F i r s t F l o o r , 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
3 .
A t t h i s t i m e , C h a i r R u s h l e d 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 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 i n a f l a g s a l u t e .
R O L L C A L L
M e m b e r s / A l t e r n a t e s P r e s e n t
M a r i o n A s h l e y
B e n B e n o i t
B o b B o t t s
D a r y l B u s c h
B e r w i n H a n n a
K e v i n J e f f r i e s
F r a n k J o h n s t o n
A n d r e w K o t y u k
A d a m R u s h
K a r e n S p i e g e l
M e m b e r s A b s e n t
S c o t t M a n n
T o m O w i n g s
4 . P U B L I C C O M M E N T S
T h e r e w e r e n o r e q u e s t s t o s p e a k f r o m t h e p u b l i c .
RCTC WRC Programs and Projects Committee Minutes
February 25, 2013
Page 2
5. APPROVAL OF MINUTES -OCTOBER 22, 2012 and NOVEMBER 26, 2012
M/S/C (Johnston/Hanna) to approve the minutes as submitted.
Abstain: Commissioners Daryl Busch and Kevin Jeffries
6. ADDITIONS/REVISIONS
There were no additions or revisions to the agenda.
7. ELECTION OF OFFICERS
At this time, Chair Rush opened nominations for the slate of officers.
Chair Rush, seconded by Commissioner Karen Spiegel, nominated
Commissioner Andrew Kotyuk for the Chair position. No other nominations
were received. Chair Rush closed nominations. Commissioner Kotyuk was
elected as the Western Riverside County Programs and Projects Committee
Chair for 2013. Commissioner Kotyuk abstained from the vote.
•
Commissioner Bob Botts, seconded by Commissioner Spiegel, nominated •
Commissioner Frank Johnston for the Vice Chair position. No other
nominations were received. Chair Rush closed the nominations.
Commissioner Johnston was elected as the Western Riverside County
Programs and Projects Committee Vice Chair for 2013. Commissioner
Johnston abstained from the vote.
At this time, Commissioner Kotyuk assumed the Chair.
8. AMENDMENT TO AGREEMENT FOR STATE ROUTE 91 TRAFFIC AND
REVENUE STUDY SERVICES
Michael Blomquist, Toll Program Director, provided an overview of the
amendment to the agreement for State Route 91 traffic and revenue study
services.
In response to Commissioner Rush's question regarding the basis for this
amendment, Michael Blomquist stated the primary services anticipated
include participation in the upcoming rating agency presentations, sensitivity
analysis requested by rating agencies, updating the investment grade traffic
and revenue study, and ongoing coordination.
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R C T C W R C 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 M i n u t e s
F e b r u a r y 2 5 , 2 0 1 3
P a g e 3
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 , a d d e d S t a n t e c p r o v i d e d 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 d a t a a n d a n a l y s i s a s r e q u e s t e d b y F i t c h a n d p a r t i c i p a t e d i n b o t h
t e a m w o r k i n g m e e t i n g s a n d t h e f o r m a l r a t i n g p r e s e n t a t i o n . T h e q u e s t i o n s
a s k e d a t t h o s e m e e t i n g s w e r e v e r y d e t a i l e d a n d S t a n t e c w a s a b l e t o
s u c c e s s f u l l y a n s w e r a l l q u e s t i o n s .
I n r e s p o n s e t o C o m m i s s i o n e r B o t t s q u e s t i o n r e g a r d i n g a g i n g d a t a ,
M i c h a e l B l o m q u i s t s t a t e d h e d o e s n o t a n t i c i p a t e t h e a g e o f t h e d a t a w i l l b e
a n i s s u e .
I n r e s p o n s e t o C h a i r K o t y u k ' s q u e s t i o n r e g a r d i n g p r e v i o u s b o n d r a t i n g s ,
M i c h a e l B l o m q u i s t n o t e d t h e C o m m i s s i o n o n l y r e c e i v e d a p r e l i m i n a r y g r a d e ,
a n d t h i s i s t h e C o m m i s s i o n ' s f i r s t i n v e s t m e n t g r a d e b o n d r a t i n g .
A n n e M a y e r e x p l a i n e d t h e d i f f e r e n c e b e t w e e n t h e r a t i n g s f o r s a l e s t a x b o n d s
a n d p r e l i m i n a r y i n v e s t m e n t g r a d e b o n d s .
M / S / C ( B o t t s / R u s h ) t o :
1 ) A p p r o v e A g r e e m e n t N o . 1 0 - 3 1 - 0 9 9 - 0 3 , A m e n d m e n t N o . 3 t o
A g r e e m e n t N o . 1 0 - 3 1 - 0 9 9 - 0 0 , w i t h S t a n t e c C o n s u l t i n g
S e r v i c e s , I n c . ( S t a n t e c ) t o p r o v i d e c o n t i n u e d 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 s e r v i c e s 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 ) b y a u g m e n t i n g t h e
a g r e e m e n t i n t h e a m o u n t o f $ 2 0 5 , 0 0 0 , c o m p r i s e d o f
$ 1 8 6 , 8 5 5 , 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 8 , 1 4 5 , t o c o v e r
p o t e n t i a l c h a n g e s i n s c o p e , f o r a t o t a l a m o u n t n o t t o e x c e e d
$ 1 , 1 9 0 , 8 7 7 ;
2 ) A u t h o r i z e t h e C h a i r o r 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 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
u p t o t h e t o t a l n o t t o e x c e e d a m o u n t a s r e q u i r e d f o r t h e
a g r e e m e n t ; a n d
4 ) F o r w a r d t o t h e C o m m i s s i o n f o r f i n a l a c t i o n .
9 . 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
W i l l i a m V o n K l u g , R i g h t o f W a y M a n a g e r , p r e s e n t e d t h e s c o p e o f s e r v i c e s
f o r t h e a g r e e m e n t 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 .
RCTC WRC Programs and Projects Committee Minutes
February 25, 2013
Page 4
M/S/C (Johnston/Rush) to:
1 ) Award the following agreements to provide on-call right of way
engineering and surveying services for a three-year term, with
two one-year option periods, in an amount not to exceed an
aggregate value of $300,000;
a) Agreement No. 13-31-040-00 with Psomas;
b) Agreement No. 13-31-097-00 with Huitt-Zollars, Inc.;
and
c) Agreement No. 13-31-098-00 with RBF Consulting, a
Company of Michael Baker Corporation (RBF);
2) Authorize the Executive Director, or designee, to execute task
orders awarded to contractors under the terms of the
agreements;
3) Authorize the Chair or Executive Director, pursuant to legal
counsel review, to execute the agreements, including option
years, on behalf of the Commission; and
4) Forward to the Commission for final action.
Abstain: Jeffries
10. ACQUISITION AND SURPLUS OF REAL PROPERTY LOCATED AT VAN
BUREN AND INDIANA IN THE CITY OF RIVERSIDE
Will Von Klug presented the details of the acquisition and surplus of real
property located at Van Buren Boulevard and Indiana Avenue in the city of
Riverside.
M/S/C (Busch/Spiegel) to:
1) Approve the purchase and acquisition of real property, APN
234-250-013 (Parcel 2) for the amount of $29,000 and APN
234-250-030 (Parcel 1) for the amount of $148,325 from the
city of Riverside (Riverside), for a total cost of $177 ,325;
2) Declare as surplus the real property purchased and acquired
from the city (APN 234-250-013 and 234-250-030);
3) Authorize the Executive Director to off er the surplus property
for sale to the public; and
4) Forward to the Commission for final action.
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R C T C W R C 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 M i n u t e s
F e b r u a r y 2 5 , 2 0 1 3
P a g e 5
1 1 . A M E N D M E N T T O C O M M I S S I O N ' S R A I L P R O G R A M S H O R T R A N G E
T R A N S I T P L A N S
H e n r y N i c k e l , S t a f f A n a l y s t , p r e s e n t e d a n o v e r v i e w o f t h e a m e n d m e n t t o 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 ' s S h o r t R a n g e T r a n s i t P l a n s .
M / S / C ( B u s c h / B o t t s ) t o a m e 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 ' s F Y 2 0 0 4 / 0 5 , F Y 2 0 0 9 / 1 0 , F Y 2 0 1 0 / 1 1 , a n d F Y 2 0 1 1 1 1 2
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 s ) t o r e f l e c t t h e r e a l l o c a t i o n o f
P r o p o s i t i o n 1 B P u b l i c T r a n s p o r t a t i o n M o d e r n i z a t i o n , I m p r o v e m e n t , a n d
S e r v i c e E n h a n c e m e n t A c c o u n t ( P T M I S E A ) f u n d s o f $ 1 2 , 8 6 1 f r o m t h e
r a i l c a r p r o c u r e m e n t , $ 7 3 0 , 5 8 0 f r o m t h e L a S i e r r a S t a t i o n p a r k i n g l o t
e x p a n s i o n p r o j e c t , a n d $ 6 4 0 , 6 8 6 f r o m t h e s t a t i o n p l a n p l u s i n t e r e s t
a c c r u e d s i n c e J a n u a r y 1 , 2 0 1 3 , t o t h e P e r r i s V a l l e y L i n e c l o s e d c i r c u i t
t e l e v i s i o n ( C C T V ) a n d o p e r a t i o n s c o n t r o l c e n t e r p r o j e c t s .
1 2 . C O M M I S S I O N E R S I S T A F F R E P O R T
1 2 A . A n n e M a y e r a n n o u n c e d :
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S t a f f w i l l b e t r a v e l i n g t o W a s h i n g t o n , D . C . i n M a r c h a n d
N e w Y o r k i n A p r i l r e g a r d i n g t h e S R - 9 1 C I P ; a n d
T w o S R - 7 9 r e a l i g n m e n t p r o j e c t p u b l i c h e a r i n g s w i l l b e h e l d t h i s
w e e k .
1 2 8 . C o m m i s s i o n e r M a r i o n A s h l e y b r i e f e d t h e C o m m i t t e e o n t h e
M i d C o u n t y P a r k w a y p u b l i c h e a r i n g .
1 2 C . 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 S R - 9 1 r i b b o n c u t t i n g
c e r e m o n y i n O r a n g e C o u n t y o n F e b r u a r y 2 1 .
RCTC WRC Programs and Projects Committee Minutes
February 25, 2013
Page 6
13. ADJOURNMENT AND NEXT MEETING
There being no further business for consideration by the Western Riverside
County Programs and Projects Committee, the meeting was adjourned at
2:02 p.m. The next meeting of the Western Riverside County Programs and
Projects Committee is scheduled for March 25, 2013, at 1 :30 p.m.
Respectfully submitted,
Jenn if er Harmon
Clerk of the Board
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A G E N D A I T E M 7
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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 : A p r i l 2 2 , 2 0 1 3
T O : 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
F R O M : M i c h a e l B l o m q u i s t , T o l l P r o g r a m 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 : S t a t e R o u t e 9 1 D e s i g n - B u i l d C o n t r a c t
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 t t e e t o :
1 ) A w a r d A g r e e m e n t N o . 1 2 - 3 1 - 1 1 3 t o A t k i n s o n / W a l s h , a J o i n t V e n t u r e , 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 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 ) i n t h e a m o u n t o f $ 6 3 2 , 5 7 2 , 0 5 0 , p l u s a c o n t i n g e n c y
2 )
3 )
a m o u n t o f $ 3 1 , 6 2 8 , 6 0 3 , f o r a t o t a l a m o u n t n o t t o e x c e e d $ 6 6 4 , 2 0 0 , 6 5 3 ;
A u t h o r i z e t h e C h a i r o r E x e c u t i v e D i ~ 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 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 ;
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 t o b e
p e r f o r m e d p u r s u a n t t o t h e a g r e e m e n t t e r m s u p t o t h e t o t a l n o t t o e x c e e d
a m o u n t ;
4 ) A u t h o r i z e s t a f f t o i s s u e a N o t i c e t o P r o c e e d N o . 1 i n t h e a m o u n t o f
$ 1 0 m i l l i o n a f t e r e x e c u t i o n o f t h e a g r e e m e n t ;
5 ) A u t h o r i z e s t a f f t o i s s u e a N o t i c e t o P r o c e e d N o . 2 f o r t h e r e m a i n d e r o f t h e
c o n t r a c t w o r k a f t e r t h e s u c c e s s f u l s a l e o f t o l l r e v e n u e a n d M e a s u r e A s a l e s
t a x b o n d s a n d f u n d i n g o f t h e U . 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 ( U S D O T )
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 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 ; a n d
6 ) F o r w a r d t o t h e C o m m i s s i o n f o r f i n a l a c t i o n .
B A C K G R O U N D I N F O R M A T I O N :
E a r l y D e v e l o p m e n t o f t h e S R - 9 1 C I P
A f t e r 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 p u r c h a s e d t h e 9 1 E x p r e s s L a n e s
i n 2 0 0 3 , O r a n g e a n d R i v e r s i d e C o u n t i e s c o m m i s s i o n e d a m a j o r i n v e s t m e n t s t u d y
( M I S ) t o i d e n t i f y a r a n g e o f f e a s i b l e a l t e r n a t i v e s t h a t w o u l d i m p r o v e m o b i l i t y
b e t w e e n t h e t w o c o u n t i e s . T h i s s t u d y w a s i n i t i a t e d i n J u n e 2 0 0 4 a n d c o m p l e t e d
i n D e c e m b e r 2 0 0 5 . F o l l o w i n g t h e M I S , t h e C o m m i s s i o n s p o n s o r e d a p r o j e c t s t u d y
r e p o r t ( P S R ) t o f u r t h e r d e v e l o p a n d s t u d y t h e p o s s i b l e a d d i t i o n o f o n e 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 . T h e P S R w a s a p p r o v e d b y C a l t r a n s o n
A g e n d a I t e m 7
1
December 4, 2006. Simultaneously, the Commission performed an independent •
feasibility study to determine the financial viability to construct tolled express lanes
(TEL) on SR-91 in addition to the general purpose lanes proposed in the PSR.
The Commission approved moving forward with environmental studies for TEL and
general purpose lanes on SR-91 on December 13, 2006-. The draft environmental
document was released for a public review period on May 20, 2011. The public
comment period was closed on July 11, 2011. Environmental approval was
obtained in November 2012.
10-Year Delivery Plan
Measure A was first passed in 1989 with an expiration date of 2009. In 2002,
voters approved a 30-year extension through 2039. At the same meeting in which
the Commission approved moving forward with the SR-91 CIP environmental
studies, the Commission adopted the 2009 Measure A Western County Highway
1 0-Year Delivery Plan ( 1 0-Year Delivery Plan). The 1 0-Year Delivery Plan calls for
the development of TEL corridors within SR-91 and Interstate 1 5.
Project Scope
The SR-91 CIP is generally described as extending the existing 91 Express Lanes
into Riverside County and the addition of a general purpose lane in each direction. •
More specifically the SR-91 CIP improvements include:
• Extend the existing 91 Express Lanes east from the Orange/Riverside County
line to 1-15, a distance of approximately eight miles;
• Add a TEL direct connector to and from 1-1 5, south of SR-91 ;
• Add a general .purpose lane in each direction from the 71 /91 interchange to
1-15;
• Improve five local interchanges within the city of Corona (Main Street,
Lincoln Avenue, Maple Street, Serfas Club/Auto Center Drive, and Green
River Road);
• Add auxiliary lanes and other operational improvements throughout the
project limits and specifically at the 15/91 interchange;
• Install a fully automated electronic toll collection and enforcement system;
and
• Reconstruct impacted city streets, soundwall construction, and aesthetics
improvements.
Agenda Item 7
2
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S e l e c t i o n o f C o n t r a c t i n g M e t h o d
I n o r d e r t o a c h i e v e t h e b e n e f i t s o f t h e c o r r i d o r i m p r o v e m e n t s i n a t i m e l y a n d m o s t
c o s t e f f e c t i v e m a n n e r , t h e S R - 9 1 C I P w a s p r o c u r e d a n d w i l l b e c o n t r a c t e d t h r o u g h
a s i n g l e p r i v a t e e n t i t y u n d e r a c o m p e t i t i v e l y b i d , b e s t - v a l u e , d e s i g n - b u i l d
p r o c u r e m e n t . T h e d e c i s i o n t o p r o c e e d w i t h t h i s a p p r o a c h w a s d r i v e n i n l a r g e p a r t
b y t h e f i n a n c i n g m e c h a n i s m . T h e d e s i g n - b u i l d c o n t r a c t p r o v i d e s f i x e d - p r i c e a n d
f i x e d - s c h e d u l e a n d h e l p s i n s e c u r i n g f i n a n c i n g t h r o u g h t h e s a l e o f t o l l r e v e n u e
b o n d s a n d o b t a i n i n g a f e d e r a l l o a n b y p r o v i d i n g g r e a t e r c o s t a n d s c h e d u l e c e r t a i n t y .
O t h e r b e n e f i t s o f t h e d e s i g n - b u i l d a p p r o a c h i n c l u d e :
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S i n g l e p o i n t o f r e s p o n s i b i l i t y w h e r e t h e d e s i g n - b u i l d e r i s r e s p o n s i b l e f o r b o t h
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 t h e S R - 9 1 C I P ; a n d
T h e d e s i g n - b u i l d e r a s s u m e s a g r e a t e r s h a r e o f r i s k r e l a t i n g t o f i n a l d e s i g n ,
c o n s t r u c t i o n , a n d d e l i v e r y s c h e d u l e , t h e r e f o r e r e d u c i n g t h e c h a n c e o f c o s t
o v e r r u n s a n d s c h e d u l e d e l a y . O p p o r t u n i t i e s f o r i n n o v a t i o n t o r e d u c e c o s t
a n d s c h e d u l e c a n b e c a p t u r e d t h r o u g h :
o A l t e r n a t i v e t e c h n i c a l c o n c e p t s ( A T C s ) t h a t g e n e r a l l y i n c l u d e i n n o v a t i v e
t e c h n i c a l s o l u t i o n s o r a p p r o a c h e s t o p e r f o r m t h e w o r k o f f e r e d d u r i n g
t h e p r o c u r e m e n t p h a s e t h a t a r e e q u a l o r b e t t e r t h a n t h o s e s e t f o r t h i n
t h e t e c h n i c a l r e q u i r e m e n t s ; a n d
o V a l u e e n g i n e e r i n g d u r i n g 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 .
A u t h o r i t y t o 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 j e c t D e l i v e r y
I n M a r c h 2 0 1 0 , 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 a p p r o v e d t h e
C 6 m m i s s i o n ' s 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 j e c t d e l i v e r y f o r t h e S R - 9 1 C I P
u n d e r S B x 2 4 ( C o g d i l l ) a n d t h e s t a t e w i d e d e s i g n - b u i l d p i l o t p r o g r a m . S e p a r a t e l y ,
t o m i n i m i z e t h e p o t e n t i a l r i s k o f l i t i g a t i o n a n d a t t e n d a n t d e l a y a s s o c i a t e d w i t h u s i n g
a d e s i g n - b u i l d d e l i v e r y m e t h o d , t h e C o m m i s s i o n a l s o s o u g h t d e s i g n - b u i l d a u t h o r i t y
t h r o u g h A B 2 0 9 8 ( M i l l e r ) , w h i c h w a s u l t i m a t e l y p a s s e d a n d s i g n e d i n t o l a w o n
S e p t e m b e r 2 3 , 2 0 1 0 .
D e s i g n - B u i l d P r o c u r e m e n t
T h e P r o c e s s
T h e d e s i g n - b u i l d e r w a s s e l e c t e d u s i n g a t w o - s t e p p r o c u r e m e n t p r o c e s s , a s a l l o w e d
b y b o t h f e d e r a l d e s i g n - b u i l d c o n t r a c t i n g r e g u l a t i o n s a n d S B x 2 4 . T h e f i r s t s t e p
c o n s i s t e d o f p r e q u a l i f i c a t i o n b a s e d o n 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 ( R F Q ) . I n
a c c o r d a n c e w i t h A B 2 0 9 8 , t h e C o m m i s s i o n f o l l o w e d a p r e q u a l i f i c a t i o n p r o c e s s .
T h e s e c o n d s t e p c o n s i s t e d o f t h e r e c e i p t a n d e v a l u a t i o n o f p r i c e a n d t e c h n i c a l
A g e n d a I t e m 7
3
proposals in response to a request for proposal (RFP). The recommended award is
based upon a best-value determination using criteria established in the RFP and
previously approved by the Commission.
Request for Qualifications
Very soon after passage of AB 2098, staff issued the RFQ for design-build
services. On October 21, 2010, the Commission received five statements of
qualifications (SOQs) in response to the RFQ. A selection team of staff and agency
partners reviewed the SOQs and performed a comprehensive evaluation. On
January 5, 2011, the Commission announced the prequalification of the following
four design-build teams:
• Atkinson/Walsh, a Joint Venture
• Flatiron/Skanska/Rados, a Joint Venture
• The Kiewit T earn
• Shimmick Construction Company, lnc./Obayashi Corp./FNF Construction,
Inc.
Attachment 1 includes a comprehensive listing of the four prequalified design-build
teams.
DISCUSSION:
Summary of Commission Action from June 2012
At its June 2012 meeting, the Commission authorized staff to perform a number of
actions related to the SR-91 CIP design-build procurement, including the following:
• Issue a RFP and addenda;
• Use the selection criteria and process for selection detailed in the staff
report;
• Select the three top-ranked Apparent Best Value (ABV) proposers;
• Conduct limited negotiations with the top-ranked ABV proposer; and
• Return to the Commission with a recommendation to award a contract.
Attachment 2 summarizes the Commission's June 2012 actions, the subsequent
procurement timeline followed up to contract award, and outlines the future
timeline anticipated through financial close and the start of final design and
construction.
Agenda Item 7
4
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S e l e c t i o n P r o c e s s
T h e p r o c e s s t o d e t e r m i n e t h e A B V p r o p o s e r t h r o u g h a b e s t - v a l u e d e s i g n - b u i l d
p r o c u r e m e n t f o r t h e S R - 9 1 C I P w a s e s t a b l i s h e d b y t h e C o m m i s s i o n i n a c c o r d 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 ( 2 3 C F R 6 3 6 ) a n d s t a t e r e q u i r e m e n t s t h r o u g h S B x 2 4
a n d A B 2 0 9 8 . E a c h o f t h e f o u r p r e q u a l i f i e d p r o p o s e r s s u b m i t t e d t e c h n i c a l a n d
f i n a n c i a l p r o p o s a l s . T h e p r o p o s a l s w e r e e v a l u a t e d a n d s c o r e d o n t h r e e p r i m a r y
f a c t o r s : 1 ) p r o p o s a l p r i c e ; 2 ) 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 3 ) t e c h n i c a l
c o n c e p t s a n d a p p r o a c h . T h e w e i g h t i n g o f e a c h f a c t o r w a s d e t e r m i n e d b y s t a f f 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 p r i o r t o i s s u i n g t h e f i n a l R F P . T h e s c o r e d f a c t o r s
w e r e t h e n c o m b i n e d u s i n g t h e p r e d e t e r m i n e d w e i g h t i n g t o d e r i v e t h e h i g h e s t s c o r e
a n d t h e A B V p r o p o s e r .
T h e s e l e c t i o n p r o c e s s c o m m e n c e d o n c e t h e C o m m i s s i o n r e c e i v e d t h e p r o p o s a l s
f r o m t h e f o u r p r e q u a l i f i e d f i r m s o n J a n u a r y 2 9 , 2 0 1 3 . A t t a c h m e n t 3 g e n e r a l l y
i l l u s t r a t e s t h e p r o p o s a l e v a l u a t i o n a n d s e l e c t i o n o r g a n i z a t i o n s t r u c t u r e u s e d . I n
a d d i t i o n t o t h e s u b c o m m i t t e e s a n d a d v i s o r y g r o u p s s h o w n i n A t t a c h m e n t 3 ,
p r o p o s a l p a s s / f a i l a n d p r o p o s a l r e s p o n s i v e n e s s g r o u p s a l s o p e r f o r m e d p r o p o s a l
e v a l u a t i o n w o r k a s d e s c r i b e d b e l o w . A t t a c h m e n t 4 i l l u s t r a t e s t h e g e n e r a l s e l e c t i o n
p r o c e s s a n d i s f u r t h e r d e s c r i b e d b e l o w . T h e s t e p s l e a d i n g u p t o s e l e c t i o n o f t h e
A B V p r o p o s e r a n d t h i s r e c o m m e n d a t i o n f o r a w a r d o f a d e s i g n - b u i l d c o n t r a c t w e r e
a s f o l l o w s :
" T h e p r o p o s a l s w e r e r e c e i v e d f r o m t h e p r e q u a l i f i e d p r o p o s e r s a n d w e r e
l o g g e d i n a n d s t o r e d i n a s e c u r e l o c a t i o n ;
" T h e p r o p o s a l s w e r e t h e n s e p a r a t e d i n t o t w o c o m p o n e n t s - f i n a n c i a l
p r o p o s a l s a n d t e c h n i c a l p r o p o s a l s - a n d p r o v i d e d t o t h e f i n a n c i a l p r o p o s a l
e v a l u a t i o n s u b c o m m i t t e e ( F P E S ) a n d t e c h n i c a l p r o p o s a l e v a l u a t i o n
s u b c o m m i t t e e ( T P E S ) , r e s p e c t i v e l y , f o r e v a l u a t i o n . E a c h o f t h e s e
s u b c o m m i t t e e s w a s m a d e u p o f s t a f f a n d o t h e r a g e n c y p e r s o n n e l w i t h t h e
a p p r o p r i a t e e x p e r i e n c e w h o m a d e i n d e p e n d e n t a n d c o n f i d e n t i a l e v a l u a t i o n s .
T h e s u b c o m m i t t e e s w e r e a s s i s t e d b y a d v i s o r y g r o u p s m a d e u p o f f i n a n c i a l ,
l e g a l , a n d p r o j e c t m a n a g e m e n t p r o f e s s i o n a l s ;
" T h e s u b c o m m i t t e e s t h e n p e r f o r m e d a r e s p o n s i v e n e s s r e v i e w o f t h e i r
r e s p e c t i v e p r o p o s a l s t o e n s u r e t h e p r o p o s e r s m e t t h e r e q u i r e m e n t s o f t h e
R F P , i n c l u d i n g o r g a n i z a t i o n , f o r m a t , a n d i n c l u s i o n o f a l l f o r m s ;
" C o n c u r r e n t w i t h t h e r e s p o n s i v e n e s s r e v i e w , e a c h p r o p o s a l w a s a l s o
e v a l u a t e d a g a i n s t t h e p a s s / f a i l c r i t e r i a i d e n t i f i e d i n t h e R F P , w h i c h i n c l u d e d
s u c h c r i t e r i a a s b u s i n e s s o r g a n i z a t i o n , p r o p o s a l s e c u r i t y , 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 c e r t i f i c a t i o n , a n d a d h e r e n c e t o t h e m a x i m u m t i m e f o r
s c h e d u l e c o m p l e t i o n ;
" T h e s u b c o m m i t t e e s , t h r o u g h t h e r e s p e c t i v e a d v i s o r y g r o u p s , s u b m i t t e d
r e q u e s t s f o r c l a r i f i c a t i o n r e l a t e d t o t h e r e s p o n s i v e n e s s a n d p a s s / f a i l r e v i e w t o
e a c h o f t h e p r o p o s e r s ;
A g e n d a I t e m 7
5
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T h e r e s p e c t i v e s u b c o m m i t t e e s r e v i e w e d a l l r e s p o n s e s t o t h e c l a r i f i c a t i o n
r e q u e s t s a n d w a i v e d c e r t a i n m i n o r i n f o r m a l i t i e s a � n d i r r e g u l a r i t i e s a n d
c o n c l u d e d t h a t a l l f o u r p r o p o s a l s w e r e r e s p o n s i v e t o t h e R F P r e q u i r e m e n t s
a n d m e t t h e p a s s / f a i l c r i t e r i a ;
T h e f i n a n c i a l a n d t e c h n i c a l p r o p o s a l s w e r e i n d i v i d u a l l y a n d c o m p r e h e n s i v e l y
r e v i e w e d b y a d v i s o r y g r o u p s w h o p r o v i d e d t h e F P E S a n d T P E S , r e s p e c t i v e l y ,
a s u m m a r y o f t h e i r f i n d i n g s a n d a s s e s s m e n t s ;
E a c h o f t h e s u b c o m m i t t e e m e m b e r s a c t i n g i n d e p e n d e n t l y p e r f o r m e d i t s o w n
i n d i v i d u a l r e v i e w a n d e v a l u a t i o n o f t h e p r o p o s a l s ;
T P E S m e m b e r s t h e n m e t t o f o r m c o n s e n s u s s u b c o m m i t t e e
r e c o m m e n d a t i o n s , w h i c h w e r e s c o r e d b a s e d o n t h e p r e d e t e r m i n e d c r i t e r i a
a n d w e i g h t i n g o f t h e t e c h n i c a l c o n c e p t s a n d a p p r o a c h ;
T h e T P E S p r e s e n t e d i t s r e c o m m e n d e d s c o r i n g t o t h e 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 e D e p u t y E x e c u t i v e D i r e c t o r a c c e p t e d t h e r e c o m m e n d a t i o n s o f
t h e T P E S ;
T h e D e p u t y E x e c u t i v e D i r e c t o r , w i t h t h e a s s i s t a n c e o f a d v i s o r s a n d t h e T P E S
c h a i r , p r e s e n t e d t h e T P E S r e c o m m e n d a t i o n s t o t h e E x e c u t i v e D i r e c t o r . T h e
E x e c u t i v e D i r e c t o r a c c e p t e d t h e r e c o m m e n d a t i o n s o f t h e T P E S , w h i c h
m a r k e d t h e c o m p l e t i o n o f t h e t e c h n i c a l p r o p o s a l e v a l u a t i o n ;
T h e F P E S c o m p l e t e d i t s s c o r i n g b a s e d o n t h e p r e d e t e r m i n e d w e i g h t i n g o f t h e
p r o p o s a l p r i c e a n d 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 , a f t e r t h e E x e c u t i v e
D i r e c t o r a c c e p t e d t h e r e c o m m e n d a t i o n s o f t h e T P E S , s u b m i t t e d i t s
r e c o m m e n d a t i o n s t o t h e 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 e D e p u t y E x e c u t i v e D i r e c t o r , w i t h t h e a s s i s t a n c e o f a d v i s o r s a n d t h e F P E S
c h a i r , c o m b i n e d t h e p r o p o s a l s c o r e s , b a s e d o n t h e p r e d e t e r m i n e d w e i g h t i n g
o f t h e t e c h n i c a l p r o p o s a l s c o r e a n d p r i c e s c o r e ; a n d
T h e p r o p o s e r w i t h t h e h i g h e s t s c o r e w a s s e l e c t e d f o r l i m i t e d n e g o t i a t i o n s o n
M a r c h 8 , 2 0 1 3 .
A p p a r e n t B e s t V a l u e D e t e r m i n a t i o n
T h e b e s t - v a l u e d e t e r m i n a t i o n w a s b a s e d o n a 1 0 0 p o i n t s c a l e . T h e p r i c e s c o r e
r e p r e s e n t e d u p t o 8 0 p o i n t s o f t h e t o t a l s c o r e , a n d t h e t e c h n i c a l s c o r e r e p r e s e n t e d
u p t o 2 0 p o i n t s o f t h e t o t a l s c o r e . T h e d e t e r m i n a t i o n o f A B V w a s b a s e d o n t h e
h i g h e s t t o t a l p r o p o s a l s c o r e ( T P S ) c o m p u t e d b a s e d o n t h e f o l l o w i n g f o r m u l a :
T o t a l P r o p o s a l S c o r e ( m a x . 1 0 0 ) = P r i c e S c o r e ( m a x . 8 0 ) + T e c h n i c a l S c o r e ( m a x .
2 0 )
1 . T h e P r i c e S c o r e
T h e P r i c e S c o r e s w e r e b a s e d o n t h e f o l l o w i n g f o r m u l a :
P r i c e S c o r e = ( A P P V L o w / A P P V ) * 8 0 , w h e r e ;
A g e n d a I t e m 7
6
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A P P V L o w L o w e s t A d j u s t e d P r o p o s a l P r e s e n t V a l u e s u b m i t t e d b y a n y
P r o p o s e r w h e n t a k i n g i n t o a c c o u n t t h e s c h e d u l e a d j u s t m e n t .
A P P V = P r o p o s e r ' s A d j u s t e d P r o p o s a l P r e s e n t V a l u e a s a d j u s t e d b y t h e
s c h e d u l e a d j u s t m e n t o f t h a t P r o p o s e r .
a . C o n t r a c t P r i c e a n d P r o p o s a l P r e s e n t V a l u e C a l c u l a t i o n s
b .
A g e n d a I t e m 7
T h e P r o p o s a l P r e s e n t V a l u e o f e a c h F i n a n c i a l P r o p o s a l w a s c a l c u l a t e d
b y d i s c o u n t i n g t h e C o n t r a c t P r i c e u s i n g a d i s c o u n t r a t e o f 4 p e r c e n t
p e r a n n u m . T h e p r o p o s e r s ' r e s p e c t i v e P r o p o s a l P r e s e n t V a l u e s a r e s e t
f o r t h a s f o l l o w s :
P r o p o s e r C o n t r a c t P r i c e P r o p o s a l P r e s e n t
V a l u e
A t k i n s o n / W a l s h , $ 6 2 7 , 2 5 6 , 0 5 0 . 0 0 $ 5 9 2 , 4 7 9 , 8 1 9 . 3 3
a J o i n t V e n t u r e
F l a t i r o n / S k a n s k a / R a d o s , $ 7 3 6 , 6 0 4 , 2 8 2 . 0 0 $ 6 9 4 , 3 2 4 , 9 9 5 . 2 5
a J o i n t V e n t u r e
T h e K i e w i t T e a m $ 8 6 1 , 6 7 6 , 9 1 1 . 0 0 $ 8 0 6 , 8 5 0 , 6 9 8 . 7 3
S h i m m i c k / O b a y a s h i / F N F , $ 5 9 1 , 5 6 7 , 4 9 0 . 4 5 $ 5 5 7 , 5 2 6 , 8 9 4 . 4 8
a J o i n t V e n t u r e
P r o p o s a l P r e s e n t V a l u e A d j u s t e d D u e t o P r o p o s e d S c h e d u l e
T h e A P P V i s t h e s u m t o t a l o f t h e P r o p o s a l P r e s e n t V a l u e a n d t h e v a l u e
o f s c h e d u l e a d j u s t m e n t s . T h e R F P p r o v i d e d t h e p r o p o s e r w i t h t h e
s h o r t e s t d u r a t i o n 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 p e n i n g a l l l a n e s
t o t r a f f i c ) t h a t i s d e e m e d f e a s i b l e b y t h e C o m m i s s i o n w i l l n o t r e c e i v e
a n u p w a r d a d j u s t m e n t t o i t s P r o p o s a l P r e s e n t V a l u e . H o w e v e r , t h e
P r o p o s a l P r e s e n t V a l u e f o r e a c h o f t h e o t h e r p r o p o s e r s w a s t o b e
i n c r e a s e d b y $ 9 5 , 0 0 0 p e r d a y t i m e s t h e n u m b e r o f c a l e n d a r d a y s '
d i f f e r e n c e b e t w e e n i t s p r o p o s a l a n d t h e p r o p o s a l w i t h t h e s h o r t e s t
d u r a t i o n .
E a c h o f t h e p r o p o s e r s p r o p o s e d t h e s a m e d u r a t i o n 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 , w h i c h w a s t h e m i n i m u m a l l o w e d , 1 2 1 8 d a y s
( a p p r o x i m a t e l y 3 y e a r s , 4 m o n t h s ) . T h e r e f o r e , t h e r e w a s n o s c h e d u l e
a d j u s t m e n t a p p l i c a b l e t o a n y p r o p o s a l a n d n o a d j u s t m e n t s w e r e m a d e
t o t h e p r o p o s e r s ' r e s p e c t i v e P r o p o s a l P r e s e n t V a l u e s . A s a r e s u l t , t h e
p r o p o s e r s ' A P P V s w e r e t h e s a m e a s t h e P r o p o s a l P r e s e n t V a l u e s .
7
Proposer Adjusted Proposal
Present Value
Atkinson/Walsh, a Joint Venture $592,479,819.33
Ffatiron/Skanska/Rados, a Joint Venture $694,324,995.25
The Kiewit T earn $806,850,698. 73
Shimmick/Obayashi/FNF, a Joint Venture $557,526,894.48
c. Calculation of Price Score
The proposers' Price Scores were calculated using the formula set
forth in the RFP and noted above. This calculation resulted in the
following Price Scores.
Proposer Price Score
Atkinson/Walsh, a Joint Venture 75.28
Flatiron/Skanska/Rados, a Joint Venture 64.24
The Kiewit T earn 55.28
Shimmick/Obayashi/FNF, a Joint Venture 80.00
2. The Technical Score
The Technical Score (maximum of 20 points) was calculated usirig the
following formula:
Technical Proposal Score = (Technical Proposal evaluation score/Highest
Technical Proposal evaluation score for all Proposers) * 20
The evaluation factors for the Technical Proposal were as follows:
• Technical Approach (maximum 45 points);
• Project Delivery Approach (maximum 35 points); and
• Quality Management Plan (maximum 20 points).
a. Technical Proposal Evaluation Score
The resulting technical proposal evaluation subcommittee evaluation
scores are set forth below:
Proposer Technical Proposal
Evaluation Score
Atkinson/Walsh, a Joint Venture 92.6
Flatiron/Skanska/Rados, a Joint Venture 92.6
The Kiewit T earn 73.8
Shimmick/Obayashi/FNF, a Joint Venture 63.8
Agenda Item 7
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b . C a l c u l a t i o n o f T e c h n i c a l S c o r e
T h e p r o p o s e r s ' T e c h n i c a l S c o r e s w e r e c a l c u l a t e d u s i n g t h e f o r m u l a
n o t e d a b o v e . T h a t c a l c u l a t i o n r e s u l t e d i n t h e f o l l o w i n g T e c h n i c a l
S c o r e s :
P r o p o s e r T e c h n i c a l S c o r e
A t k i n s o n / W a l s h , a J o i n t V e n t u r e 2 0 . 0 0
F l a t i r o n / S k a n s k a / R a d o s , a J o i n t V e n t u r e 2 0 . 0 0
T h e K i e w i t T e a r n 1 5 . 9 4
S h i m m i c k / O b a y a s h i / F N F , a J o i n t V e n t u r e 1 3 . 7 8
T h e P r i c e S c o r e s a n d T e c h n i c a l S c o r e s w e r e c o m b i n e d a n d r e s u l t e d i n
t h e f o l l o w i n g T o t a l P r o p o s a l S c o r e s :
P r o p o s e r P r i c e T e c h n i c a l T o t a l
S c o r e S c o r e P r o p o s a l
( 8 0 ( 2 0 p o i n t s S c o r e
p o i n t s m a x . ) ( 1 0 0 p o i n t s
m a x . ) m a x . )
A t k i n s o n / W a l s h , a J o i n t V e n t u r e 7 5 . 2 8 2 0 . 0 0 9 5 . 2 8
S h i m m i c k / O b a y a s h i / F N F , a J o i n t V e n t u r e 8 0 . 0 0 1 3 . 7 8 9 3 . 7 8
F l a t i r o n / S k a n s k a / R a d o s , a J o i n t V e n t u r e 6 4 . 2 4 2 0 . 0 0 8 4 . 2 4
T h e K i e w i t T e a m 5 5 . 2 8 1 5 . 9 4 7 1 . 2 2
M i n o r A d d i t i o n a l P r o j e c t S c o p e I t e m s
D u r i n g t h e c o u r s e o f 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 i n l a t e 2 0 1 2 / 2 0 1 3 , t h e
S R - 9 1 C I P c o n t i n u e d t o d e v e l o p t h r o u g h t h e C o m m i s s i o n ' s w o r k w i t h t h e C a l i f o r n i a
H i g h w a y P a t r o l ( C H P ) , 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 o p e r a t o r , B N S F R a i l r o a d ,
p r o p e r t y o w n e r s , t h e c i t y o f C o r o n a , a n d o t h e r s w h i c h w o r k a n d c o n s u l t a t i o n
r e s u l t e d i n t h e n e e d f o r r e f i n e m e n t s t o t h e p r o j e c t s c o p e . F o r e x a m p l e , m i n o r
p r o j e c t s c o p e c h a n g e s w e r e n e e d e d i n f o u r l o c a t i o n s t o a l l o w f o r s u i t a b l e r o o m f o r
C H P v e h i c l e t u r n a r o u n d m a n e u v e r s f o r c a r p o o l l a n e e n f o r c e m e n t . S i m i l a r l y , m i n o r
c h a n g e s t o e a r t h g r a d i n g n e a r B N S F ' s s i g n a l a t t h e W e s t P r a d o B r i d g e w e r e m a d e
t o a l l o w f o r a n i m p r o v e d s i g h t l i n e f r o m B N S F t r a i n s t o t h e i r s i g n a l . T h e
C o m m i s s i o n i d e n t i f i e d 1 2 p r o j e c t s c o p e r e f i n e m e n t s , a n d t h e C o m m i s s i o n i n i t i a t e d
a n e n v i r o n m e n t a l a p p r o v a l p r o c e s s w i t h C a l t r a n s i n M a r c h 2 0 1 3 f o r t h o s e d e s i g n
r e f i n e m e n t s .
A g e n d a I t e m 7
9
Contract Finalization and Negotiation of Minor Additional Project Scope Items
· Given the timing of the identification of the necessary design refinements and
resulting environmental approval process, and the need to reflect the updated
scope and environmental review in the design-build contract, staff used the post-
selection negotiation period contemplated under the RFP and authorized by the
Commission in June 2012 to incorporate this work into the contract scope. The
selection of the Apparent Best-Value Proposer was made on March 8, 2013. From
March 14 to April 4, 2013, staff and Atkinson/Walsh worked together to finalize
the contract, including participating in comprehensive negotiations to include the
identified design refinements into the project scope. These negotiations resulted in
the following increase in the contract price:
Original Contract Price
Additional Project Scope Items
Adjusted Contract Price
Schedule
$627,256,050
$5,316,000
$632,572,050
The following table represents past and planned procurement milestones:
Milestone Activity Date
Issue final RFP to prequalified teams July 26, 2012
Final RFP addendum January 24, 201'3
Proposals due January 29, 2013
Proposal evaluation and selection Jan. 30-Mar. 8, 2013
Limited negotiation, contract conformance, and staff Mar. 9-Apr. 18, 2013 recommendation
Proposed WRCPP Committee approval of contract award April 22, 2013
Caltrans and FHWA concurrence of contract award May 6, 2013* (pending)
Proposed Commission approval of contract award May 8, 2013
Execute contract and Notice to Proceed No. 1 May 9, 2013 (est.)
Financial close (sale of toll revenue and sales tax bonds) June 27, 2013 (est.)
Notice To Proceed No. 2: full design and construction Sept. 6, 2013 (est.)
* Due to the designation of the SR-91 CIP as a Federal Highway Administration (FHWA) "Major
Project" per the High Profile Project Operating Agreement previously executed between the
Commission, FHWA and Caltrans, both FHWA and Caltrans must concur with the contract award .
Agenda Item 7
10
•
•
•
,-----1
• Contract Award and Notice to Proceed
•
•
The contract was structured with the ability for the Commission to authorize the
design-builder to proceed with work (notice to proceed) based upon achieving
certain milestones. Notice to Proceed No. 1 is planned for issuance concurrent with
the execution of the contract in the amount of $10 million allowing the design-
builder to advance work in a number of areas including:
• Establishing a co-located, core office space for all project personnel;
• Development of various plans including: quality management, project
management, environmental management, public outreach, health and
safety, sustainability management, network administration, transportation
management, maintenance work, job vehicle purchasing, and others;
• Early design and deliverables including roadway geometry, utility maps, and
project aesthetic concepts;
• Site documentation, field surveys, geotechnical investigations, and utility
identification; and
• Baseline schedule.
Upon successfully reaching financial close in late June (see previous schedule), the
Commission is positioned to issue Notice to Proceed No. 2 for the remainder of the
contract work 120 days after issuance of Notice to Proceed No. 1 provided the
design-builder has met its contract obligations required for issuance. See the
design-build contract in Attachments 5 and 6.
RECOMMENDATIONS:
Staff requests Commission approval of the design-build contract between the
Commission and Atkinson/Walsh for a total amount not to exceed of
$664,200,653, which includes a $632,572,050 contract value plus a contingency
amount of $31,628,603. Further, authorization is requested for the Chair or
Executive Director to execute the agreement on behalf of the Commission, the
Executive Director to approve contingency work up to the total not to exceed
amount, staff to issue a Notice to Proceed No. 1 in the amount of $10 million after
agreement execution and Notice to Proceed No. 2 for the remainder of the contract
work after the successful sale of toll revenue and Measure A sales tax bonds and
funding of the USDOT TIFIA loan, and to forward to the Commission for final
action .
Agenda Item 7
11
" F i n a n c i a l I n f o r m a t i o n
F Y 2 0 1 2 / 1 3 $ 6 , 8 2 5 , 0 0 0
F Y 2 0 1 3 / 1 4 $ 1 2 0 , 7 5 0 , 0 0 0
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 4 / 1 5 $ 2 3 7 , 6 3 1 , 8 0 0 $ 6 6 4 , 2 0 0 , 6 5 3 F Y 2 0 1 5 / 1 6 $ 2 2 5 , 2 2 5 , 0 0 0
F Y 2 0 1 6 / 1 7 $ 6 8 , 7 2 8 , 8 5 3
F Y 2 0 1 7 / 1 8 $ 5 , 0 4 0 , 0 0 0
M e a s u r e A , s a l e s t a x r e v e n u e
S o u r c e o f F u n d s : b o n d p r o c e e d s , t o l l r e v e n u e b o n d B u d g e t A d j u s t m e n t : N o
p r o c e e d s , a n d T I F I A l o a n d r a w s
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 8 8 1 6 0 1 2 6 2 3 1 8 1 6 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 : ~ ~ I D a t e : I 0 4 / 1 6 / 1 3
A t t a c h m e n t s :
1 ) P r e q u a l i f i e d P r o p o s e r L i s t i n g : 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
2 ) P r o c u r e m e n t T i m e l i n e - C o m m i s s i o n A c t i o n P e r i o d s
3 ) P r o p o s a l E v a l u a t i o n a n d S e l e c t i o n O r g a n i z a t i o n a l S t r u c t u r e
4 ) S e l e c t i o n P r o c e s s
5 ) D e s i g n - B u i l d C o n t r a c t - T e r m s , C o n d i t i o n s , a n d A p p e n d i c e s ( o n t h e w e b s i t e ) "
6 ) D e s i g n - B u i l d C o n t r a c t - T e c h n i c a l P r o v i s i o n s ( o n t h e w e b s i t e )
" A g e n d a I t e m 7
1 2
ATTACHMENT 1
PRE-QUALIFIED PROPOSER LISTING: SR-91 CORRIDOR IMPROVEMENT PROJECT
• 1. Atkinson/Walsh, a Joint Venture
Major Participants/ Atkinson Contractors, LP
Principal Participants
Walsh Construction Company
The Walsh Group
Clark Construction Group, LLC
Guy F. Atkinson Construction, LLC
Other Team Members URS -URS is not a Principal Participant or Equity Provider (Designer}
WKE, Inc.
Tatsumi and Partners, Inc.
Westbound Communications
Jacobs Engineering Group, Inc .
"2~ •• .Th~lGewit Te~rri · .•'•·.··· ' .. · c;, .... " .•· "· .
Major Participants/ Kiewit Infrastructure West Co.
Principal Participants
Other Team Members HNTB Corporation -Not a Principal Participant (Designer}
Brutoco Engineering and Construction, Inc
Riverside Construction Company, Inc (RCC}
Kleinfelder West, Inc.
lteris, Inc.
Simon Wong Engineering
Green Com, Inc.
' .· .. if;' 3 / ·, ltfatil'"Oti/sl<~nska/Jtados, a'JointVentuie . \: .}:1 ;i1,\ ····· ' .A'·.· "' · ""· ·· . • :•:C . / wj, ::./,· .. •.· •"· .' .. ,... :• ... , •,.;'< ,,,o•,,'. 'v •' • ' '''"'• •;-'>',, '•'•' ''• ,.''' ,;'C" • Major Participants/ Flatiron West, Inc .
Principal Participants
Skanska USA Civil West California District
Steve P. Rados, Inc.
Other Team Members AECOM (Lead Designer)
CH2M Hill
Consensus Inc.
Kimley Horn & Associates
Diaz Vourman and Associates
Leighton Consulting, Inc.
Lin Consulting
Wilson & Co.
David Evans & Associates
Civil Works
:4. S~imini~k t()l"lstrudloit Company, Jnc./Obayashi Corporation/ FN~ to11~tru;ction~ 1.n.c. ·
Major Participants/ Shimmick Construction Company, Inc.
Principal Participants
Obayashi Corporation
FNF Construction, Inc.
Biggs Cardosa Associates, Inc.
MTS Engineers, Inc.
BKF Engineers
Faubel Public Affairs • TransCore
Ultrasystems Environmental
Hatch Mott MacDonald
13
" " . . � , ~ , : � ; _ � ~ P - . t . , . � : J ~ J v 1 ~ ~ ' 5 ' l ~ r ~ ( l " 1 0 J L ~ E ~ J O i l : - � . ~ : : : . 0 " $ " : d � - 4 7 W E E K S t - - 3 3 - W k ~ : - - - - - r - - - - - ; w . - ; ; - - 1 - - - ; - v ; k ; : - - - r - S W k ; . - � � - � r 3 - ~ , i S s u & , 1 - L : ~ - - s k - ~ - - - . F I N A t B F P ; I . . . ~ E I O ! t , Q ~ A L l A l ' ' " P ' A ! ; l E N T - � ' g ; E V A L t : : J A T I O N I B t S f V A ! t [ J ~ ~ ' � " : Q ; ' 0 . I E ! R Q ! 1 0 S E R u : V " I C l ' Q . ) C : ~ I o , ! ' , < " ' ' ~ � Q . " " ' Q ) " ' o 1 " ' c _ c r j Q ) � - e ' " ~ : : : : : ; S � ; : ; ; 1 o r o o r o o I < 1 1 > - ' ; ; : ; o . . . i 0 � - ~ � V " I I 0 . . � - � - v � - I Q ) c . ~ ~ 0 . . � - i " ' , . . . " , � - " v . . . . . � - . . . . . � c o ~ Q ) E . . . . , > ' > . c : a ; E ! e c r o c r o ' 1 � - � ; : ; < C V " I I 0 o : i : r o E C E : o . . . r o . 2 . . C _ 2 j . . O r o . . . . , o 1 0 0 1 < ( : : : . ; : : o : : > I . S : r o ~ r o E : : : ; v o . . J U Q . I : u " " " " " ' 0 w . J : i r : - > o - r o . . 2 : ! e z U , w ' U > Q . l a . . . . i \ l U J V 1 \ j ' - � � - - - - - � � � - � _ J _ _ _ _ . J - - - - - - - � - � _ ) - - - - - L _ _ _ _ _ M Q ) M � ~ ~ - � v ; a . . . _ . o V ' \ " ' � - " ' � - - E , . . . E � ; : : E . r o E 0 . . O i : : 2 : 0 < C u u - - - - - - - - - - - � _ _ _ _ _ _ _ _ _ i _ _ _ . ~ - � - ' I C o r n m i s s i o n a u t h o r i z e s s t a f f t o : " I s s u e f i n a l R F P p l u s a l l f u t u r e a d d e n d a " A p p r o v e t h e s e l e c t i o n c r i t e r i a a n d p r o c e s s f o r s e l e c t i o n f o r t h e A p p a r e n t B e s t V a l u e ( A B V ) p r o p o s e r A p p r o v e t h e u s e o f s p e c i f i c b r a n d a n d t r a d e n a m e s i n t h e f i n a l R F P N e g o t i a t e w i t h t h e A B V p r o p o s e r N e g o t i a t e w i t h 2 n d - r a n k e d p r o p o s e r i f A B V n e g o t i a t i o n s f a i l A u t h o r i z e B A F O i f i n i n t e r e s t o f c o m m i s s i o n R e t u r n w i t h a r e c o m m e n d a t i o n t o a w a r d a c o n t r a c t f o r D e s i g n - B u i l d s e r v i c e s " A p p r o v e s t i p e n d t o b e p a i d t o u n s u c c e s s f u l p r o p o s e r s C o m m i s s i o n a u t h o r i z e s s t a f f t o : A w a r d d e s i g n - b u i l d c o n t r a c t I s s u e N o t i c e - T o - P r o c e e d ( N T P ) 1 1 1 I s s u e N T P l t 2 s u b j e c t t o f i n a n c i a l c l o s e A T T A C H M E N T 2 c : - v o r o c � ; : ; c : r o v w : c : 2 . . . . O " l . . . . . - � - I . f l r o " ' c + - ' Q ) 0 V > 0 u " l p r i ! ) ( l J 3
.....
April 2013 • Prequalified Proposers submit Proposals to RCTC Financial Proposal Evaluation Subcommittee (FPES) Technical Proposal Evaluation Subcommittee (TPES) Executive Director and Deputy Executive Director (DED) • SR-91 Corridor Improvement Project SELECTION PROCESS • ATTACHMENT 4 utive c:tor s FPES g, then aves d TPES ES total re "¥-·f.o NOTE: Jn some instances, steps were partially concurrent with subsequent steps. 16
State Route 91 Design-Build
Contract Award
For
Western Riverside County
Programs and Projects Committee
+
Pre-Qual ified Teams
Sh mm c~Construct•on(o1T1pany Inc
Obayash<Corporaton
FNFConstri..ct 011 Inc
•Bigs c.rdoSll Assodatn, Inc.
•MTS Er\lfn.en, Inc.
•BKF En&lnnn
•URS
April 22, 2013
~ ev t ..,fqstructu e,\<>stCo
B•utc '-E"!i: ..,._.e, n& an, Con ct n
Rver•c:e(of',t•u t..,r.•ompan> Inc
Flat1roriwestlnc
Skans~a USA C•v•I West
StevePRJdoslnc
•AECOM
•CH2MHlll
4/23/2013
1
Design-build procurement authorization by Comm1ss1on (June 2012)
• Issue Request for Proposal to the four pre -qualified teams
• Approve the selection criteria
• Approve the selection process
• Select the three top-ranked proposers
• Conduct limited negotiations with the top-ranked proposer
• Return to the Commission with a contract award recommendation
Determine the
apparent best value (ABV)
4/23/2013
2
4/23/2013
[ Fixed lump sum pr icing
[ Securing financing
[ Single point of responsibility
[ Risk transfer
[ Innovation
RCTC Comm1ss1on
RCTC Counsel
3
Separation of technical proposals from financial proposals (price)
-Separate technical proposal
-Separate sealed financial proposal when submitted
Independent evaluations of each proposal
Technical Score= (Proposer's Tech . Eva I. I Highest Tech. Eval. of Any Proposer) X 20
Price Score= (Lowest Adjusted Price of Any Proposer I Proposer's Adjusted Price) X 80
Note: See the agenda report for a more comprehensive description including schedule adjustment
4/23/2013
4
Proposer Technical Proposal Evaluation
Score {100 max)
Atkinson I Walsh, a Joint Venture 92.6
92 .6
63.8
73 .8
Flatiron I Skanska I Rados, a Joint Venture
Shimmick I Obayashi I FNF, a Joint Venture
The Kiewit Team
Technical Score= (Technical Proposal Eval. Score I Highest Technical Proposal Eval. Score) X 20
Proposer Technical Score {20 max)
Atkinson I Walsh, a Joint Venture 20 .0
20 .0
13.78
15 .94
Flatiron I Skanska I Rados, a Joint Venture
Shimmick I Obayashi I FNF, a Joint Venture
The Kiewit Team
DBE and Local
Business
Construction
Staging
Design
Solutions
• Aggressively recruit DBE and other local subcontractors and suppliers
• Reduce barriers to DBE participation throu1h bonding assistance and
educational seminars
• Commit to develop greater awareness via outreach events and workshops
• Perform early work to reduce the chokepoint at the 91/15 connector (north-to-
west)
• Construct two-step pavement widenin1 providing flexibility for ROW purchases
• Construct 90% of the wortc behind traffic barrier for improved traveler safety
• Permanent drainage design minimizes traffic disruptions durin1 construction
• Design concepts reduce retainln1 walls required and lessens visual impact
• Eliminates low overhead clearance at Lincoln bridle
• Utilizes 3D modelina tools for all utilities to minimize relocations and conflicts
• Proposed deslcn reduces costs to build the future 91/15 tolled express lane
connector (to and from 1-15 to the north of SR-91)
10
4/23/2013
5
Aesthetics and
Landscaping
Quality
Management
Local Impacts
Public
Outreach
Environmental
Mitigation
Toll Systems
• Provides colored blocks on sound Wills and fractured rib texture on sound Will
pilasters, MSE retaining walls, slope paving, and freeway barriers
• Will use graffiti-resistant textures to discourage taggers
• Landscaping will use drought-tolerant plants
• Provided modular wall elements for ease of future replacement
• Comprehensive quality training program for construction personnel
• Latest PC tablet technology for field inspectors to increase effectiveness
•Comprehensive quality staffing plan that demonstrated a thorough
understanding of the project requirements
• Freeway ramp closure plan reduces closure durations to minimize impacts to
residents and businesses
•Local street construction plan methods will maintain access to residents and
businesses
• Proactive approach to coordination with Corona
• Provides helpline with 24/7 trained staff to receive input ind provide
information
11
• Develops a mobile application to communicate real time project information
• Contacts every property owner impicted by the project through neighborhood
meetings, project flyers, and project information booths at locil events
• Sound approach to mitigating construction noise, vibration, and dust
• Comprehensive process to ensure all project environmental commitments are
met and mitigations performed
• Plin to update environmental permits throughout the project design
•All field personnel will receive comprehensive environmental training
• Relevant experience and lessons learned from the LA Metro's recently·opened
1-10/1-110 Express Lanes Project
• Provides early work site access to the toll systems integrator reducing schedule
risk
12
4/23/2013
6
APPVLow = Lowest Adjusted Proposal Present Value submitted by any Proposer when
taking into account the schedule adjustment
APPV = Proposer's Adjusted Proposal Present Value as adjusted by the schedule
adjustment of that proposer
Proposer
Atkinson I Walsh, a Joint Venture
Flatiron I Skanska I Rados, a Joint Venture
Shimmick I Obayashi I FNF, a Joint Venture
The Kiewit Team
Contract Price
$627,256,050.00
$736,604,282.00
$591,567,490.45
$861 ,676,911 .00
Price Score (max 80 pts) = (APPVLow / APPV) X 80 points
13
Adjusted Proposal
Present Value
$592,479,819.33
$694,324,995 .25
$557,526,894.48
$806,850,698. 73
Proposer Price Score (max 80 points)
Atkinson I Walsh, a Joint Venture
Flatiron I Skanska I Rados, a Joint Venture
Shimmick I Obayashi I FNF, a Joint Venture
The Kiewit Team
75.28
64.24
80.00
55 .28
4/23/2013
7
... Atkinson I Walsh
Proposer
•• . -
I '. t
Total Proposal
Score
{100 points
max.)
Atkinson I Walsh, a Joint Venture
Shimmick I Obayashi I FNF, a Joint Venture
Flatiron I Skanska I Rados, a Joint Venture
The Kiewit Team
75 .28
80.00
64.24
55 .28
Atkinson I Walsh
Shimmick I Obayashi I Rados
Difference
$627,256,050 .00
$591,567.490 .45
$35,688,559 .55
Best Value Selection:
20.00
13 .78
20.00
15.94
Price Score + Technical Score
95.28
93 .78
84.24
71.22
15
{APPVLow/APPV) x 80 + (Tech . Score/High Tech . Score) X 20
Atkinson I Walsh
Shimm ick I Obayashi I Rados
6% difference
in price score
= 95 .28
= 93 .78
45% difference in
technical score!
16
4/23/2013
8
Necessary Design Refinements
• Twelve items sought for inc lusion in the project scope
• Examples : CHP turnaround areas for carpool lane enforcement, BNSF slope grading
• Environmental approval for twelve items being sought by staff
Limited negotiations authorized by Commission in June 2012
• Negotiations conducted from March 14 -April 4, 2013
• Negotiated amount represents a 0 .85% increase i n the original contract price
--+
• Issued concurrent with contract execution
• Authorizes $10 million to advance certain work and mobilize
resources
• Majority of authorization withheld
• Sale of toll revenue and sales tax bonds
• TIFIA loan closes concurrent with bond sales
• Successful project financing triggers remainder of authorization
• Issued after financial close & 120 days after Notice to Proceed #1
• Authorizes the rest of the final design and construction
• Atkinson I Walsh required to meet certain contract obligations
17
18
4/23/2013
9
Final RFP issued
July 25, 2012
Proposals received
January 29, 2013
I
Proposal evaluation and
selection
Jan. 30-March 8, 2013
Proposed RCTC Board
approval of design-build
contract
May 8, 2013
Proposed WRCPP
Committee approval of
design-build contract
April 22, 2013
L1m1ted negot1at1on,
staff recommendation
March 9-Apnl 18, 2013
Approve the Design-Build Contract
•Contract value : $632,572,050
•Contingency : + $31,628,603
•Total not to exceed: $664,200,653
Authorize Chair or Executive D rector to e ecute contract
Authorize Exec t ve D rector to appro e a thor zed cont ngency
Authorize staff to ss e Not ce to Proceed 111and112
Execute contract and
issue Noti ce to
Proceed 111
·-May 9, 2013 (est .)
I
Financial Close -sale of
toll revenue and sales
tax bonds
. June 27, 2013 (est.)
' .
I
' ~Issue Notice to Proceed
" #2 for full design and
f _ construction
! SeRtember 6, 2013 {est .)
"""·'""' ·« ~.·· J"tfJ>
4/23/2013
19
20
10
4/23/2013
SR-91 Corridor
(c...-.\.1ro1111w,_.\
."'~:-:; 91
mprovement Project
21
11
"
"
A G E N D A I T E M 8
"
"
)
•
•
"
"
"
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 : A p r i l 2 2 , 2 0 1 3
T O : 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
F R O M : D a v i d T h o m a s , T o l l P r o j e c t M a n a g e r
M i c h a e l B l o m q u i s t , T o i l P r o g r a m 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 : S t a t e R o u t e 9 1 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 m e n t S e r v i c e s
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 t t e e t o :
1 ) A p p r o v e A g r e e m e n t N o . 0 9 - 3 1 - 0 8 1 - 0 3 , A m e n d m e n t N o . 3 t o A g r e e m e n t
N o . 0 9 - 3 1 - 0 8 1 - 0 0 , w i t h P a r s o n s T r a n s p o r t a t i o n G r o u p , I n c . ( P a r s o n s ) t o
p r o v i d e 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 m e n t ( P C M ) s e r v i c e s f o r P h a s e 2 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 ( S R - 9 1 C I P ) w i d e n i n g a n d 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 d e s i g n - b u i l d p r o j e c t i n t h e a m o u n t o f $ 8 1 , 4 1 0 , 7 9 3 ,
p l u s a c o n t i n g e n c y o f $ 6 . 1 m i l l i o n f o r a t o t a l a m o u n t n o t t o e x c e e d
$ 8 7 , 5 1 0 , 7 9 3 , a n d a t o t a l a u t h o r i z e d c o n t r a c t v a l u e , f o r P h a s e 1 a n d 2 , o f
$ 1 4 7 , 5 9 5 , 3 3 7 ;
2 ) A u t h o r i z e t h e C h a i r o r 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 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 o r d e s i g n e e t o a p p r o v e c o n t i n g e n c y w o r k
u p t o t h e t o t a l a u t h o r i z e d a m o u n t 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 ) F o r w a r d t o t h e C o m m i s s i o n f o r f i n a l a p p r o v a l .
B A C K G R O U N D I N F O R M A T I O N :
D u e t o t h e p a s s a g e o f t h e 2 0 0 9 M e a s u r e A e x t e n s i o n i n 2 0 0 2 , t h e C o m m i s s i o n
a d o p t e d t h e 2 0 0 9 M e a s u r e A W e s t e r n C o u n t y H i g h w a y 1 0 - Y e a r D e l i v e r y P l a n
( 1 0 - Y e a r D e l i v e r y P l a n ) i n D e c e m b e r 2 0 0 6 . I n t h i s a c t i o n , t h e C o m m i s s i o n a l s o
d i r e c t e d s t a f f t o p r o c e e d w i t h d e v e l o p m e n t o f a p r o j e c t r e p o r t / e n v i r o n m e n t a l
d o c u m e n t f o r a l l n e w p r o j e c t s i d e n t i f i e d i n t h e p l a n . T h e S R - 9 1 C I P w a s i n c l u d e d
i n t h e 1 0 - Y e a r D e l i v e r y P l a n a n d g i v e n h i g h p r i o r i t y b y t h e C o m m i s s i o n .
I n S e p t e m b e r 2 0 0 7 , t h e C o m m i s s i o n a p p r o v e d a n a g r e e m e n t w i t h P B A m e r i c a s a n d
a u t h o r i z e d s t a f f t o p r o c e e d w i t h 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 s e r v i c e s f o r
t h e S R - 9 1 C I P . T h e p r o j e c t r e p o r t / e n v i r o n m e n t a l d o c u m e n t w a s c o m p l e t e d i n
N o v e m b e r 2 0 1 2 .
A g e n d a I t e m 8
1 7
In October 2009, the Commission approved an agreement with Parsons to provide
PCM design-build services for the SR-91 CIP. The services were separated into
two phases. Phase 1 included working on interagency agreements, right of way
(ROW) acquisition, utility relocations, coordination with the railroad, advanced
preliminary engineering, coordinating tolling infrastructure and operation
requirements and agreements, project controls and implementation planning, public
outreach, and culminating in the procurement of a design-builder. Phase 2 included
management of the design-builder through final design, construction, testing and
start-up and acceptance of the SR-91 CIP. As part of the Commission's approval
in 2009, the Commission authorized staff to proceed with Phase 1 work, and,
following successful completion of the Phase 1 work, the Commission also
authorized staff to negotiate the scope and fee for Phase 2 work and bring back to
the Commission at a later date for a separate request for authorization of the
Phase 2 work.
Structuring the work in two phases allowed for a key decision point for the
Commission. Phase 1 covers all work necessary from the PCM prior to the sale of
toll revenue and sales tax bonds. Phase 2 agreement authorization would be
provided upon successful sale of toll revenue and sales tax bonds expected to be
completed in June 2013. A two-phase approach allowed the Commission to
control whether and when to begin Phase 2 activities. The agreement with
Parsons included an option to add Phase 2 services through an amendment to the
agreement subject to Commission approval.
Completion of Phase 1 also included successfully obtaining a Transportation
Investment Finance and Innovation Act (TIFIA) loan. TIFIA loan approval was
received on February 13, 2013, and loan execution is expected concurrent with the
sale of toll revenue and sales tax bonds in June 2013.
The original October 2009 Phase 1 agreement was for a total amount not to
exceed $35,539,299. Subsequently, the Executive Director authorized release of
contingency funds in the amount of $3,564,378, for a total agreement value of
$39,103,677. In June 2012, the Commission approved Amendment No. 1 to the
Phase 1 agreement for additional services in the amount of $18,434,545, which
increased the agreement value to $57,538,222. In March 2013, the Executive
Director approved Amendment No. 2 to the Phase 1 agreement for additional services
utilizing contingency funds in the amount of $1. 76 million, which increased the
agreement to its current value of $59,298,222. There is currently $786,322
remaining in contingency funds for a total Commission authorized contract value of
$60,084,544. The Parsons Phase 1 services are currently scheduled to be
completed on July 31, 2013.
Agenda Item 8
18
•
•
•
" P h a s e 2 P C M S e r v i c e s
"
"
S c o p e o f W o r k
T h e P h a s e 2 P C M s c o p e o f s e r v i c e s i s s u m m a r i z e d i n T a b l e 1 b e l o w a n d w i l l b e
p e r f o r m e d b y e x p e r i e n c e d p e r s o n n e l t h a t p a r t i c i p a t e d i n P h a s e 1 s e r v i c e s .
T a b l e 1 - P C M P h a s e 2 S c o p e o f S e r v i c e s
A g r e e m e n t s a n d A g e n c y C o o r d i n a t i o n
U t i l i t y c o m p a n i e s , r a i l r o a d s , C a l i f o r n i a H i g h w a y P a t r o l [ t o l l v i o l a t i o n e n f o r c e m e n t ] ,
C a l t r a n s [ t o l l l a n e m a i n t e n a n c e a g r e e m e n t ] , t o l l s y s t e m i n s t a l l a t i o n , a n d 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 i g h t o f W a y A c q u i s i t i o n
R i g h t o f w a y e n g i n e e r i n g , a p p r a i s a l s , f e e a c q u i s i t i o n s , u t i l i t y e a s e m e n t s ,
r e l o c a t i o n s , e t c .
U t i l i t y R e l o c a t i o n
A g r e e m e n t s , c o o r d i n a t i o n , u t i l i t y r e l o c a t i o n p l a n s , a n d u t i l i t y r e l o c a t i o n .
P r o j e c t C o n t r o l s a n d I m p l e m e n t a t i o n P l a n n i n g
S c h e d u l e , b u d g e t , d o c u m e n t c o n t r o l s y s t e m , f o r e c a s t i n g , r e p o r t i n g , p r o j e c t
m a n a g e m e n t p l a n s , a n d p r o j e c t p r o c e d u r e s .
D e s i g n - B u i l d C o n t r a c t A d m i n i s t r a t i o n
S a f e t y p r o g r a m , o w n e r - c o n t r o l l e d i n s u r a n c e p r o g r a m , i n v o i c e r e v i e w s , q u a l i t y
a s s u r a n c e / q u a l i t y c o n t r o l p r o g r a m a d h e r e n c e , c o n t r a c t a m e n d m e n t s , e t c .
D e s i g n S e r v i c e s f o r R O W M i t i g a t i o n P a c k a g e s
P e r f o r m d e t a i l e d d e s i g n t o p r o d u c e p l a n s f o r m i t i g a t i o n o f a f f e c t e d R O W
p r o p e r t i e s .
D e s i g n P l a n R e v i e w s
R e v i e w a l l p e r m a n e n t a n d t e m p o r a r y e n g i n e e r i n g p l a n s a n d s p e c i f i c a t i o n s , c o n t r a c t
c o m p l i a n c e .
D e s i g n O v e r s i g h t
R e p r e s e n t t h e C o m m i s s i o n w i t h C a l t r a n s a n d t h e d e s i g n - b u i l d e r o n a l l e n g i n e e r i n g
i s s u e s , a n d f a c i l i t a t e o t h e r a g e n c y r e v i e w s / a p p r o v a l s .
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
I n d e p e n d e n t o w n e r v e r i f i c a t i o n t h r o u g h i n s p e c t i o n a n d m a t e r i a l s a m p l i n g , f i n a l
o w n e r a c c e p t a n c e , s a f e t y r e v i e w s , e t c .
P r o j e c t C l o s e o u t
P r o j e c t r e c o r d s , r i g h t o f w a y t r a n s f e r , p u n c h l i s t a c t i v i t i e s , C a l t r a n s p r o j e c t
a p p r o v a l , e t c .
T o l l O p e r a t i o n S t a r t u p
C o o r d i n a t i o n o f t o l l i n g o p e r a t i o n s b y v a r i o u s C o m m i s s i o n c o n t r a c t e d e n t i t i e s .
P a r t n e r i n g
A i d i n p a r t n e r i n g 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 d e s i g n - b u i l d e r .
A g e n d a I t e m 8
1 9
Public Information/Outreach
Web sites, public meetings, newsletters, media reports, community outreach
presentations, etc.
Environmental Mitigation Implementation
Ensure construction and maintenance of commitments made during the
NEPA/CEQA process.
To assist the Commission in obtaining state design-build authority for the SR-91
CIP granted by AB 2098 in 2010, it was agreed by Caltrans and the Commission
that construction inspection services would be performed by Caltrans and
reimbursed by the Commission. This agreement was formalized in the
Caltrans/RCTC SR-91 CIP Design-Build Cooperative Agreement, approved in form
by the Commission in July 2012. The Design-Build Cooperative Agreement
stipulates the Commission will reimburse Caltrans, up to an amount not to exceed
$31.1 million, for Caltrans-provided enhanced oversight services, construction
inspection services, and source inspection services The PCM is scoped to manage
and oversee the Caltrans-provided inspection services.
Schedule of Work of the PCM
The schedule of work for the PCM during Phase 2 of the project is for a period
from June 2013 through March 2018. The key milestones during this period are as
follows:
Dates
June 2013 -Aug. 2013
Sept. 2013 -Jan. 2017
Jan. 2017 -March 2018
March 2018
Cost of Work
Milestones
Design-Builder NTP-1 coordinate and manage
Design-Builder NTP-2 and Substantial Completion
Initial Project Operations and Close-out
Complete PCM Contract
In March 2013, staff concluded successful negotiations with Parsons on the cost
associated with the agreed-upon Phase 2 Scope of Services and Schedule. The
term of the Phase 2 PCM services would mirror that of the design-builder and
would commence with the sale of toll revenue and sales tax bonds, in June 2013,
and terminate after the completion and acceptance of construction, currently
scheduled for March 2018. The cost for the PCM Phase 2 services is estimated at
$81,410, 793.
The cost of the PCM Phase 2 services is categorized by scope task in Table 2 with
the estimated cost and associated hours.
Agenda Item 8
20
•
•
•
"
"
I
T a b l e 2 C o s t o f W o r k B r e a k d o w n
T a s k N o . T a s k D e s c r i p t i o n A m o u n t H o u r s
1 0 0 P r o j e c t M a n a g e m e n t $ 9 , 6 8 0 , 3 0 0 6 6 , 5 1 7
2 0 0 D e s i g n M a n a g e m e n t 3 2 , 1 5 0 , 2 8 1 1 9 0 , 5 7 4
3 0 0 T o l l i n g a n d O p e r a t i o n s 3 , 7 4 6 , 3 8 2 2 2 , 7 9 4
4 0 0 C o n t r a c t s M a n a g e m e n t 7 , 4 0 1 , 4 6 2 6 5 , 9 3 7
5 0 0 P r o j e c t C o n t r o l s 4 , 6 7 5 , 4 9 9 3 5 , 4 7 0
6 0 0 C o n s t r u c t i o n M a n a g e m e n t 1 5 , 2 0 9 , 8 3 4 9 7 , 3 5 0
7 0 0 O D C / E s c a l a t i o n / S u b M a r k - u p 8 , 5 4 7 , 0 3 5 N / A
A l l T o t a l P h a s e - 2 S e r v i c e s E s t i m a t e $ 8 1 , 4 1 0 , 7 9 3 4 7 8 , 6 4 2
T h e s c o p e , s c h e d u l e , a n d c o s t r e s u l t i n a n e s t i m a t e d a v e r a g e P C M w o r k f o r c e
d u r i n g P h a s e 2 o f 4 8 p e o p l e f o r t h e f i v e - y e a r p e r i o d . T h e p e a k P C M w o r k f o r c e i s
e s t i m a t e d a t a b o u t 9 0 p e o p l e .
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 p p r o v a l o f A m e n d m e n t N o . 3 t o A g r e e m e n t N o . 0 9 - 3 1 - 0 8 1 - 0 0 ,
w i t h P a r s o n s t o p r o v i d e P h a s e 2 P C M s e r v i c e s f o r t h e S R - 9 1 C I P f o r a n a m o u n t o f
$ 8 1 , 4 1 0 , 7 9 3 , p l u s a c o n t i n g e n c y o f $ 6 . 1 m i l l i o n , f o r a t o t a l a m o u n t n o t t o e x c e e d
$ 8 7 , 5 1 0 , 7 9 3 . T h i s w o u l d b r i n g t h e t o t a l a u t h o r i z e d c o n t r a c t v a l u e , f o r P h a s e 1
a n d 2 , t o $ 1 4 7 , 5 9 5 , 3 3 7 . S t a f f f u r t h e r r e c o m m e n d s t h e C o m m i s s i o n a u t h o r i z e t h e
C h a i r o r 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
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 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 o r
d e s i g n e e t o a p p r o v e c o n t i n g e n c y u p t o t h e a u t h o r i z e d a m o u n t 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 .
F i n a n c i a l I n f o r m a t i o n
Y e s F Y 2 0 1 2 / 1 3 $ 5 6 3 , 0 8 0
N / A F Y 2 0 1 3 / 1 4 2 6 , 0 4 6 , 6 9 4
N / A F Y 2 0 1 4 / 1 5 2 2 , 9 8 1 , 7 3 8
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 5 / 1 6 A m o u n t : 1 7 , 2 8 3 , 0 6 6
N / A F Y 2 0 1 6 / 1 7 1 5 , 9 4 5 , 2 8 7
N / A F Y 2 0 1 7 / 1 8 4 , 6 9 0 , 9 2 8
T o t a l $ 8 7 , 5 1 0 , 7 9 3
M e a s u r e A , s a l e s t a x r e v e n u e b o n d
S o u r c e o f F u n d s : p r o c e e d s , t o l l r e v e n u e b o n d B u d g e t A d j u s t m e n t : N o
p r o c e e d s , T I F I l o a n d r a w s
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 8 8 1 6 0 1 2 6 2 3 1 8 1 6 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 : ~ ~ I D a t e : I 0 4 / 1 6 / 1 3
" A t t a c h m e n t : P C M A m e n d m e n t N o . 3 ( o n t h e w e b s i t e )
A g e n d a I t e m 8
2 1
I
"
"
"
A g r e e m e n t N o . 0 9 - 3 1 - 0 8 1 - 0 3
A M E N D M E N T N 0 . 3
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 F O R
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 M E N T S E R V I C E S
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
1 . P A R T I E S A N D D A T E
T h i s A m e n d m e n t N o . 3 t o t h e A g r e e m e n t f o r 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 m e n t s e r v i c e s i s m a d e a n d e n t e r e d i n t o a s o f t h i s d a y o f ,
2 0 1 3 , 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
( " C o m m i s s i o n " ) a n d P A R S O N S T R A N S P O R T A T I O N G R O U P , I N C . , a n I l l i n o i s
c o r p o r a t i o n ( " C o n s u l t a n t " ) .
2 . R E C I T A L S
2 . 1 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 e n t e r e d i n t o a n a g r e e m e n t , d a t e d
O c t o b e r 1 4 , 2 0 0 9 , f o r t h e p u r p o s e o f p r o v i d i n g 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 m e n t s e r v i c e s 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 ( t h e " M a s t e r A g r e e m e n t " ) f o r a m a x i m u m n o t t o e x c e e d ( " N T E " )
a m o u n t o f $ 3 5 , 5 3 9 , 2 9 9 . T h e C o m m i s s i o n B o a r d o f D i r e c t o r s '
( " C o m m i s s i o n B o a r d " ) a p p r o v a l o f t h e r e l e v a n t a g e n d a i t e m a l s o i n c l u d e d
a p p r o v a l o f a c o n t r a c t c o n t i n g e n c y a m o u n t o f $ 4 , 2 6 0 , 7 0 1 t o a d d r e s s
a d d i t i o n a l , u n a n t i c i p a t e d s c o p e a n d - o r c o s t s .
2 . 2 T h e C o m m i s s i o n a u t h o r i z e d t h e C o n s u l t a n t t o p r o c e e d w i t h t h e S e r v i c e s
a s s o c i a t e d w i t h t h e M a s t e r A g r e e m e n t , a n d a d d i t i o n a l u n a n t i c i p a t e d w o r k ,
u s i n g L i m i t e d N o t i c e s t o P r o c e e d ( L N T P s ) .
2 . 3 L N T P N o . 5 , o n f i l e a t t h e o f f i c e s o f t h e C o m m i s s i o n , a u t h o r i z e d t h e
p r o v i s i o n o f a d d i t i o n a l S e r v i c e s , s u b j e c t t o t h e t e r m s o f t h e M a s t e r
A g r e e m e n t , a n d t h e r e l e a s e o f C o m m i s s i o n B o a r d a p p r o v e d c o n t i n g e n c y
f u n d s f o r s u c h S e r v i c e s i n t h e a m o u n t o f $ 3 , 5 6 4 , 3 7 8 . L N T P N o . 5
i n c r e a s e d t h e N T E v a l u e o f t h e M a s t e r A g r e e m e n t , i n c l u d i n g a l l p r i o r
L N T P ' s , t o $ 3 9 , 1 0 3 , 6 7 7 .
2 . 4 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 e n t e r e d i n t o a n A m e n d m e n t N o . 1 t o
t h e M a s t e r A g r e e m e n t , d a t e d a s o f J u l y 3 , 2 0 1 2 , i n o r d e r t o a m e n d t h e
M a s t e r A g r e e m e n t , c o n s i s t e n t w i t h L N T P N o . 6 , b y a m e n d i n g t h e S c o p e
o f S e r v i c e s o f t h e M a s t e r A g r e e m e n t t o i n c l u d e a d d i t i o n a l P r o j e c t
M a n a g e m e n t , P l a n n i n g a n d D e s i g n , T o l l i n g a n d O p e r a t i o n s , C o n t r a c t s
a n d P r o c u r e m e n t , C o n t r a c t A d m i n i s t r a t i o n , a n d 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 r e q u i r e d t o : 1 ) c o m p l e t e a n d i s s u e t h e R e q u e s t f o r P r o p o s a l
( R F P ) , 2 ) r e c e i v e , e v a l u a t e a n d m a k e a r e c o m m e n d a t i o n f o r a w a r d o f a
1 7 3 3 6 . 0 2 1 0 0 \ 7 8 9 5 9 4 1 . 3
3.
Design Build Contract, 3) and issue a Notice to Proceed for the State
Route 91 Corridor Improvement Project, by including a Schedule of
Services for the additional Services, and by providing compensation for
the additional Services in the amount of $18,434,545, and to include
certain additional terms to the Master Agreement related to attorney-client
privilege and subpoenas and court orders. Amendment No. 1 increased
the NTE value of the Master Agreement to $57,538,222.
2.5 The Commission and the Consultant entered in an Amendment No. 2 to
the Master Agreement, dated as of March 18, 2013, in order to add
services within the scope of the original procurement, including, but not
limited to, right of way architectural and engineering mitigation services, to
amend the indemnification provision and to provide additional
compensation for the additional services in the amount of $1, 760,000.
Amendment No. 2 increased the NTE value of the Master Agreement,
including all prior amendments, to $59,298,222.
2.6 The Commission and the Consultant now desire to amend the Master
Agreement in order to extend the term of the Master Agreement, to
include the Phase 2 Services, as that term is generally described in the
Master Agreement, to include a new Phase 2 Scope of Services and
Schedule of Services, to provide additional compensation for the Phase 2
Services, and to include certain additional terms to the Master Agreement
applicable to Phase 2.
TERMS
3.1 The term of the Master Agreement, as set forth in Section 3.3 of the
Master Agreement, is hereby extended through March 31, 2018.
3.2 The Commission hereby exercises its option, as set forth in the Master
Agreement, to add the Phase 2 Services to the Master Agreement
pursuant to this Amendment No. 3. Consultant shall not commence the
Phase 2 Services until Consultant has complied with the insurance
requirements for Phase 2, as set forth in the Master Agreement.
3.3 Exhibit "A" of the Master Agreement entitled "Scope of Services" shall be
amended to add the following Services, as that term is defined in the
Master Agreement, for Phase 2: Project management and administration,
design and construction oversight and quality assurance (QA), right-of-
way (ROW) acquisition and relocation, utilities coordination and oversight,
contract administration, cost and schedule control and reporting, and toll
systems management and operations and maintenance planning,
including toll system testing and start-up. The foregoing and any
additionally required Phase 2 Services are set forth in detail in Exhibit "A-
2" attached to this Amendment No. 3 and incorporated herein by
reference.
2
17336.02100\7895941.3
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3 . 4 E x h i b i t " B " o f t h e M a s t e r A g r e e m e n t e n t i t l e d " 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 a m e n d e d a n d r e v i s e d t o a d d t h e P h a s e 2 S c h e d u l e , a s s e t f o r t h i n
E x h i b i t " B - 2 " a t t a c h e d t o t h i s A m e n d m e n t N o . 3 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 .
3 . 5
3 . 6
3 . 7
3 . 8
3 . 9
E x h i b i t " C " o f t h e M a s t e r A g r e e m e n t e n t i t l e d " C o m p e n s a t i o n a n d
P a y m e n t " s h a l l b e a m e n d e d t o i n c l u d e t h e a d d i t i o n a l c o s t s f o r t h e P h a s e 2
S e r v i c e s , a s s e t f o r t h i n E x h i b i t " C - 2 " a t t a c h e d t o t h i s A m e n d m e n t N 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 .
T h e m a x i m u m c o m p e n s a t i o n t o b e p r o v i d e d u n d e r t h i s A m e n d m e n t N o . 3
f o r P h a s e 2 s h a l l n o t e x c e e d $ 8 1 , 4 1 0 , 7 9 3 , u n l e s s o t h e r w i s e a p p r o v e d i n
w r i t i n g b y t h e E x e c u t i v e D i r e c t o r .
T h e m a x i m u m N T E v a l u e o f t h e M a s t e r A g r e e m e n t , a s p r e v i o u s l y
a m e n d e d a n d a s a m e n d e d b y t h i s A m e n d m e n t N o . 3 , i s $ 1 4 0 , 7 0 9 , 0 1 5 .
T h e p a r t i e s h e r e t o a c k n o w l e d g e a n d a g r e e t h a t a l l p r o v i s i o n s a p p l i c a b l e t o
P h a s e 2 a n d t h e P h a s e 2 S e r v i c e s , a s s e t f o r t h i n t h e M a s t e r A g r e e m e n t ,
s h a l l a p p l y t o t h e S e r v i c e s t o b e p e r f o r m e d p u r s u a n t t o t h i s A m e n d m e n t
N o . 3 .
S e c t i o n 3 . 6 o f t h e M a s t e r A g r e e m e n t , r e g a r d i n g k e y p e r s o n n e l , i s h e r e b y
a m e n d e d t o i n c l u d e t h e f o l l o w i n g :
T h e k e y p e r s o n n e l f o r P h a s e 2 a r e a s f o l l o w s :
J e f f F i e l d e r - P a r s o n s ( P r o j e c t M a n a g e r )
R o b e r t O s t e r m i l l e r - P a r s o n s ( D e p u t y P M )
C h e r y l D o n a h u e - A r e l l a n o ( P u b l i c O u t r e a c h M a n a g e r )
R i c h a r d H u a n g - P a r s o n s ( D e s i g n M a n a g e r )
E r i c G l i b b e r y - P a r s o n s ( C o n s t r u c t i o n M a n a g e r )
J o e y M e n d o z a - O P C ( R i g h t - o f - W a y M a n a g e r )
V i c k y C o o k - O P C ( R i g h t - o f - W a y D e p . M a n a g e r )
R a y W r i g h t - P a r s o n s ( T o l l i n g & O p e r a t i o n s M a n a g e r )
M i k e W u f l e s t a d - P a r s o n s ( C o n t r a c t s M a n a g e r )
T o m B e l l - P a r s o n s ( P r o j e c t C o n t r o l s M a n a g e r )
3 . 1 0 T h e M a s t e r A g r e e m e n t i s h e r e b y a m e n d e d t o i n c l u d e , a s a s e c o n d
p a r a g r a p h o f S e c t i o n 3 . 2 1 , t i t l e d " S a f e t y " , t h e f o l l o w i n g p r o v i s i o n r e g a r d i n g
t h e s a f e o p e r a t i o n o f v e h i c l e s :
1 7 3 3 6 . 0 2 1 0 0 \ 7 8 9 5 9 4 1 . 3
P u r s u a n t t o t h e a u t h o r i t y c o n t a i n e d i n S e c t i o n 5 9 1 o f t h e
V e h i c l e C o d e , 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 h a t t h e
P r o j e c t c o n t a i n s a r e a s t h a t a r e o p e n t o p u b l i c t r a f f i c .
C o n s u l t a n t s h a l l c o m p l y w i t h a l l o f 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 D i v i s i o n s 1 1 , 1 2 , 1 3 , 1 4 , a n d 1 5 o f t h e V e h i c l e C o d e .
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 y n e c e s s a r y p r e c a u t i o n s
3
for safe operation of its vehicles and the protection of the
traveling public from injury and damage from such vehicles.
Any subcontract or amendment to any subcontract entered into following
the effective date of this Amendment No. 3 shall include the above
requirement, if applicable.
3.11 The Master Agreement is hereby amended to include, as a new Section
3.41, the following provision regarding claims filed by the Commission's
design-build contractor:
17336.02100\7895941.3
"3.41 Claims Filed by Design-Build Contractor.
3.41.1 If claims are filed by the Commission's design-
build contractor for the Project ("Design-Build Contractor")
relating to work performed by Consultant's personnel, and
additional information or assistance from the Consultant's
personnel is required by the Commission in order to evaluate
or defend against such claims; Consultant agrees to make
reasonable efforts to make its personnel available for
consultation with the Commission's construction contract
administration and legal staff and for testimony, if necessary,
at depositions and at trial or arbitration proceedings.
3.41.2 Consultant's personnel that the Commission
considers essential to assist in defending against Design-
Build Contractor claims will be made available on reasonable
notice from the Commission. Consultation or testimony will
be reimbursed at the same rates, including travel costs that
are being paid for the Consultant's personnel services under
this Agreement.
3.41.3 Services of the Consultant's personnel and
other support staff in connection with Design-Build
Contractor claims will be performed pursuant to a written
contract amendment, if necessary, extending the termination
date of this Agreement in order to finally resolve the claims.
3.41.4 Nothing contained in this Section 3.41 shall
be construed to in any way limit Consultant's indemnification
obligations contained in Section 3.19. In the case of any
conflict between this Section 3.41 and Section 3.19, Section
3.19 shall govern. This Section 3.41 is not intended to
obligate the Commission to reimburse Consultant for time
spent by its personnel related to Design-Build Contractor
claims for which Consultant is required to indemnify and
defend the Commission pursuant to Section 3.19 of this
Agreement.
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A n y s u b c o n t r a c t o r a m e n d m e n t o 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 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 i s A m e n d m e n t N o . 3 i n e x c e s s o f $ 2 5 , 0 0 0 s h a l l
i n c l u d e t h e a b o v e r e q u i r e m e n t s .
3 . 1 2 C o n s u l t a n t s h a l l c o m p l y w i t h t h e 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 " ) p r o g r a m a n d w i t h t h e D B E g o a l s a s s e t f o r t h i n t h e M a s t e r
A g r e e m e n t f o r t h e P h a s e 2 S e r v i c e s , p r o v i d e d t h a t E x h i b i t " D " o f t h e
M a s t e r A g r e e m e n t i s h e r e b y a m e n d e d t o d e l e t e t h e r e f e r e n c e s t o
U n d e r u t i l i z e d 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 o r U D B E s , a n d a l l
p r o v i s i o n s r e l a t e d t h e r e t o . T h e r a c e c o n s c i o u s D B E g o a l s e t f o r t h i n
E x h i b i t " D " o f t h e M a s t e r A g r e e m e n t s h a l l n o l o n g e r e x c l u d e S u b c o n t i n e n t
A s i a n a n d H i s p a n i c M a l e s .
3 . 1 3 T h e M a s t e r A g r e e m e n t i s h e r e b y a m e n d e d t o i n c l u d e , a s a n e w S e c t i o n
3 . 4 2 , t h e f o l l o w i n g p r o v i s i o n r e g a r d i n g e m p l o y m e n t a d v e r s e t o t h e
C o m m i s s i o n :
3 . 4 2 E m p l o y m e n t A d v e r s 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 n o t i f y t h e C o m m i s s i o n , a n d s h a l l o b t a i n t h e
C o m m i s s i o n ' s w r i t t e n c o n s e n t , p r i o r t o a c c e p t i n g w o r k t o
a s s i s t w i t h o r p a r t i c i p a t e i n a t h i r d - p a r t y l a w s u i t o r o t h e r l e g a l
o r a d m i n i s t r a t i v e p r o c e e d i n g a g a i n s t 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 t h i s A g r e e m e n t .
3 . 1 4 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 m e n d m e n t N o . 3 b y r e f e r e n c e 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 .
3 . 1 5 E x c e p t a s a m e n d e d h e r e i n , a l l p r o v i s i o n s o f t h e M a s t e r A g r e e m e n t , a s
p r e v i o u s l y a m e n d e d , 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 i n d e m n i t y a n d
i n s u r a n c e p r o v i s i o n s , 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 a n d s h a l l g o v e r n
t h e a c t i o n s o f t h e p a r t i e s u n d e r t h i s A m e n d m e n t N o . 3 .
[ 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 ]
5
1 7 3 3 6 . 0 2 1 0 0 \ 7 8 9 5 9 4 1 . 3
SIGNATURE PAGE
TO
AGREEMENT NO. 09-31-081-02
IN WITNESS WHEREOF, the parties hereto have executed this agreement on
the date first herein above written.
RIVERSIDE COUNTY
TRANSPORTATION COMMISSION
By: ___________ _
Karen S. Spiegel, Chair
APPROVED AS TO FORM:
By:------------
Best Best & Krieger LLP
General Counsel
17336.02100\7895941.3
PARSONS TRANSPORTATION GROUP,
INC.
Signature
Name
Title
ATTEST:
By:
Its: Secretary
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" E X H I B I T " A - 2 "
P H A S E 2 S C O P E O F S E R V I C E S
[ A t t a c h e d b e h i n d t h i s p a g e ]
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" E X H I B I T A - 2
EXHIBIT "A-2"
SCOPE OF WORK
Parsons Transportation Group Inc. (Parsons) Scope of Services to be performed under
Phase 2 of the Project and Construction Management Services Agreement No. 09-31-
081-00 (Contract) for the SR-91 Corridor Improvement Project (Project) are for activities
associated with Project management and administration, design and construction
oversight and quality assurance (QA), right-of-way (ROW) acquisition and relocation,
utilities coordination and oversight, Contract administration, cost and schedule control
and reporting, and toll system management and operations and maintenance planning,
including toll system testing and start-up.
These Phase 2 services are generally scheduled to commence with receipt by the
Design-Build Contractor (Design-Builder) of their Notice to Proceed #1 (NTP1) and #2
(NTP2), for final design and construction, and end following Project Completion and
Project Closeout as provided under the Design-Build Contract. These dates, as
currently planned, are from June 2013 to March 2018.
•
The Scope of Services is based on the original Agreement negotiated and executed on
October 14, 2009, between Parsons and the Riverside County Transportation
Commission (RCTC), and it has subsequently been collaboratively refined based on the
experience and knowledge gained through the Project Development Phase of the •
Project. This refined Scope of Services for the Project, of which the budget estimate has
been based, is presented by Project Work Breakdown Structure (WBS) Task category
below.
Following the narrative WBS Task discussion of the Scope of Services are two
additional presentations:
• The Scope Responsibility Matrix, which indentifies the firm affiliations of the
Project and Construction Management (PCM) team members that are
participating in each of the Scope of Services tasks; and
• The Scope of Services Deliverables matrix, which identifies the major
deliverables for each of the task categories.
I. PHASE 2 -PROJECT OVERSIGHT AND MANAGEMENT
A. Task 100 -Project Management
Provide leadership and management of all Contract responsibilities relating to the
successful delivery of the Project from NTP2 through final Project Closeout. These
Contract responsibilities include activities related to the overall management and
administration of the Project, including oversight of the activities of the Design-Builder
and Systems Integration contracts further defined as follows:
A-1
EXHIBIT A-2 •
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4 . 0 1 P r o j e c t M a n a g e m e n t - p r o v i d e g e n e r a l d a y - t o - d a y m a n a g e m e n t a n d C o n t r a c t
o v e r s i g h t o f t h e P r o j e c t . T h i s i n c l u d e s t h e i d e n t i f i c a t i o n a n d a l l o c a t i o n o f
s t a f f i n g r e s o u r c e s t o a c c o m p l i s h s p e c i f i c t a s k s ; t h e p r o p e r i n t e g r a t i o n a n d
c o o r d i n a t i o n o f f u n c t i o n a l d i s c i p l i n e s a n d t h e i r r o l e s a n d r e s p o n s i b i l i t i e s ;
p r i m a r y p o i n t o f c o n t a c t w i t h R C T C o n a l l P r o j e c t a n d C o n t r a c t - r e l a t e d
m a t t e r s ; a n d a t t e n d a n c e a t m e e t i n g s f o r c o o r d i n a t i o n o f P r o j e c t a c t i v i t i e s a n d
D e l i v e r a b l e s w i t h t h e D e s i g n - B u i l d e r , S y s t e m s I n t e g r a t o r , a n d s t a k e h o l d e r
e n t i t i e s a s s o c i a t e d w i t h t h e P r o j e c t . P r o v i d e s m a l l t e a m o f s e n i o r , e x p e r i e n c e d
s t a f f t o e n s u r e a s e a m l e s s , e f f i c i e n t , e f f e c t i v e , a n d t i m e l y i m p l e m e n t a t i o n i n
t h e f i r s t s i x m o n t h s o f t h e P h a s e 2 s e r v i c e s .
4 . 0 2 P r o j e c t A d m i n i s t r a t i o n - p r o v i d e a d m i n i s t r a t i v e p e r s o n n e l a n d p e r f o r m g e n e r a l
o f f i c e m a n a g e m e n t a n d a d m i n i s t r a t i o n a t t h e c o - l o c a t e d o f f i c e f o r C l i e n t
p e r s o n n e l . A d m i n i s t r a t i v e r e s p o n s i b i l i t i e s w i l l i n c l u d e s c h e d u l i n g m e e t i n g s ;
p r e p a r i n g m e e t i n g a g e n d a s , m i n u t e s , a n d a c t i o n i t e m s ; p r o v i d i n g P r o j e c t
s t a n d a r d s a n d t e m p l a t e s f o r P r o j e c t c o m m u n i c a t i o n s ; i n s t i t u t i n g s p e c i f i c
P r o j e c t i n i t i a t i v e s ; c o o r d i n a t i n g a n d c o m m u n i c a t i n g P r o j e c t t r a v e l r e q u i r e m e n t s
o f P r o j e c t p e r s o n n e l ; a n d g e n e r a l o f f i c e s u p p o r t f o r C l i e n t , 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 a l t r a n s ) , F e d e r a l H i g h w a y A d m i n i s t r a t i o n
( F H W A ) , a n d o t h e r t e c h n i c a l a n d a d m i n i s t r a t i v e d i s c i p l i n e s .
4 . 0 3
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P r o j e c t S a f e t y - p r o v i d e o v e r s i g h t o f t h e D e s i g n - B u i l d e r a n d S y s t e m s
I n t e g r a t o r ' s d e s i g n a n d c o n s t r u c t i o n p r a c t i c e s f o r c o m p l i a n c e w i t h t h e i r S a f e t y
P l a n , a s w e l l a s c o m p l i a n c e w i t h a l l F e d e r a l , S t a t e , a n d L o c a l a g e n c i e s a n d
j u r i s d i c t i o n s . O v e r s e e 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 t r a i n i n g b y t h e D e s i g n -
B u i l d e r a n d S y s t e m s I n t e g r a t o r f o r a l l P r o j e c t s t a f f , a n d p r o v i d e t r a i n i n g t o
o f f i c e s t a f f a s r e q u i r e d ; t r a c k D e s i g n - B u i l d e r a n d S y s t e m s I n t e g r a t o r ' s p r o p e r
i n v e s t i g a t i o n a n d r e p o r t i n g o f a c c i d e n t s ; a n d m o n i t o r t h e p r o v i s i o n o f p r o p e r
s a f e t y p e r s o n n e l p r o t e c t i v e e q u i p m e n t t o a l l D e s i g n - B u i l d e r a n d S y s t e m s
I n t e g r a t o r p e r s o n n e l , a n d o t h e r P r o j e c t p e r s o n n e l a s r e q u i r e d . S a f e t y o v e r s i g h t
i n c l u d e s :
W o r k w i t h C a l t r a n s t o m e r g e t h e i r b u d g e t e d s a f e t y r e s p o n s i b i l i t i e s w i t h R C T C
a n d P a r s o n s , a n d b u i l d o n e e f f e c t i v e s a f e t y o v e r s i g h t p r o g r a m f o r t h e P r o j e c t .
E s t a b l i s h r o l e s a n d r e s p o n s i b i l i t i e s , a s w e l l a s a l l n e c e s s a r y o v e r s i g h t a n d
r e p o r t i n g r e q u i r e m e n t s .
P r o v i d e s a f e t y , d e s i g n , a n d c o n s t r u c t i o n m a n a g e m e n t a n d p e r s o n n e l w h o
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 e D e s i g n - B u i l d e r a n d S y s t e m s I n t e g r a t o r
A - 2
E X H I B I T A - 2
safety practices by reviewing design and inspecting all Project construction
activities for compliance.
• Monitor compliance of Design-Builder and Systems Integrator with the
Occupational Safety and Health Administration (OSHA), Caltrans, RCTC,
and local jurisdiction requirements.
• Regularly document or require documents by Design-Builder and Systems
Integrator of safety meetings with set agenda as conducted by Design-
Builder and Systems Integrator to document safety understanding and
compliance.
• Oversee the investigation of accidents, report to RCTC, and recommend
corrective actions to reduce risks and reoccurrence.
• Provide and implement a Project oversight site safety plan and provide safety
training, as required, for all oversight and management personnel on the
Project. Provide hard hats and safety vests for all construction management
personnel who will be working on the Project site.
4.04 Quality Assurance
• Prepare and/or maintain Project design and construction QA manuals
defining the requirements of RCTC and Caltrans oversight of Design-
Builder's design and construction activities and their compliance with their
quality management plans.
• Provide periodic review by Parsons QA Manager auditing compliance of the
RCTC QA program providing oversight of the Design-Builder's QA/quality
control (QC) program. This will include coordinating with Caltrans District 8
QA oversight personnel in reviewing Project personnel compliance to the
program requirements. Issue audit findings to Project management
personnel.
• In addition, provide related policies, plans, procedures, and manuals
necessary to meet Parsons and RCTC's obligations on the Project as
required for Project management purposes, as well as for meeting the
requirements of FHWA and Caltrans. These plans, procedures, and manuals
include the FHWA Project Management Plan (PMP), Project finance plan
support, Project administration, Contract administration, and document
management, among others.
4.05 Public Outreach provide public and government relations and
communications support to RCTC during the Design-Build Phase of the
Project. This support is associated with RCTC's role and responsibilities with
A-3
EXHIBIT A-2
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r e s p e c t t o p u b l i c r e l a t i o n s f o r t h e P r o j e c t a n d i n o v e r s e e i n g c o m p l i a n c e t o t h e
p u b l i c r e l a t i o n s a n d c o m m u n i c a t i o n s r e q u i r e m e n t s o f t h e D e s i g n - B u i l d e r a n d
S y s t e m s I n t e g r a t o r , a s r e q u i r e d . T h e s e a c t i v i t i e s i n c l u d e :
" P r e p a 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 P u b l i c O u t r e a c h P l a n , i n c l u d i n g
p r o v i d i n g o r i e n t a t i o n t o P r o j e c t a n d C o m m i s s i o n p e r s o n n e l a s a p p r o p r i a t e
a n d n e e d e d .
" A t t e n d a n c e a t p u b l i c m e e t i n g s / h e a r i n g s a n d c o m m u n i t y g r o u p s p e a k e r
b u r e a u s / p r e s e n t a t i o n s , i n c l u d i n g t h e p r e p a r a t i o n o f p r e s e n t a t i o n m a t e r i a l s .
" P r e p a r e a n d d i s t r i b u t e , a s d i r e c t e d b y R C T C P r o j e c t , b r o c h u r e s , f a c t s h e e t s ,
b r a n d i n g , m e s s a g i n g , a n d o t h e r n e c e s s a r y c o m m u n i c a t i o n a n d c o l l a t e r a l
m a t e r i a l s t o s u p p o r t R C T C ' s c o m m u n i c a t i o n s o b l i g a t i o n a n d r e q u i r e m e n t s
w i t h t h e a g e n c i e s a n d c o m m u n i t i e s .
" L e a d a n d / o r p a r t i c i p a t e i n r e g u l a r l y s c h e d u l e d p u b l i c o u t r e a c h - s p e c i f i c a n d
c e r t a i n t e c h n i c a l w o r k g r o u p a n d p r e c o n s t r u c t i o n a n d c o n s t r u c t i o n - r e l a t e d
m e e t i n g s w i t h R C T C a n d w i t h D e s i g n - B u i l d e r a n d S y s t e m s I n t e g r a t o r
p e r s o n n e l . P r e p a r e f o r m e e t i n g s , a s r e q u i r e d , t o p r o p e r l y o r g a n i z e o r s u p p o r t
e a c h m e e t i n g e v e n t .
" C o o r d i n a t e a n d s u p p o r t R O W a c t i v i t i e s a n d c o m m u n i c a t i o n s , a s w a r r a n t e d ,
t o m i t i g a t e a g e n c y a n d p u b l i c c o n c e r n s i n p r o p e r t y a c q u i s i t i o n a n d r e l o c a t i o n
a c t i v i t i e s .
" O v e r s e e 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 H e l p l i n e b y t h e D e s i g n -
B u i l d e r a n d e n s u r e t h a t r e s p o n s e s a n d a c t i o n s r e q u i r e d o f t h e D e s i g n - B u i l d e r
a r e c a r r i e d o u t p e r C o n t r a c t r e q u i r e m e n t s . R e s p o n d t o a g e n c y - d i r e c t e d
q u e s t i o n s a n d i s s u e s r e c e i v e d t h r o u g h t h e H e l p l i n e a s n e e d e d .
" O v e r s e e , m o n i t o r , a n d c o o p e r a t e i n b u s i n e s s s u p p o r t m e e t i n g s b y t h e
D e s i g n - B u i l d e r , a n d o r g a n i z e a n d p r e p a r e f o r s u c h m e e t i n g s , a s r e q u e s t e d
b y R C T C , t o s u p p o r t t h e P r o j e c t ' s e f f o r t s t o m i t i g a t e i s s u e s a n d d i s r u p t i o n s t o
l o c a l b u s i n e s s e s d u e t o c o n s t r u c t i o n a c t i v i t i e s .
" S u p p o r t R C T C i n p r e p a r i n g a n d o r g a n i z i n g f o r m e d i a e v e n t s a n d
g o v e r n m e n t a l r e l a t i o n s a c t i v i t i e s , i n c l u d i n g n e w s o r g a n i z a t i o n s a n d m e d i a
a n d e l e c t e d o f f i c i a l s .
" P r e p a r e a n d o r g a n i z e , i n s u p p o r t o f R C T C , s p e c i a l e v e n t s s u c h a s " r i b b o n
c u t t i n g s " a n d " g r o u n d - b r e a k i n g " c e r e m o n i e s .
"
E X H I B I T A - 2
P l a n , o r g a n i z e , p r e p a r e , a n d i m p l e m e n t i n c o o p e r a t i o n w i t h R C T C T o l l e d
E x p r e s s L a n e s o p e n i n g m a r k e t i n g a n d s a l e s p r o g r a m s , i n c l u d i n g m e d i a
e v e n t s , m a r k e t i n g m a t e r i a l s p r o m o t i o n s , a n d e d u c a t i o n p r o g r a m s . D e v e l o p a
T o l l e d E x p r e s s L a n e s o p e n i n g b u s i n e s s p l a n .
A - 4
" P r o v i d e r e p o r t s , m e e t i n g o r g a n i z a t i o n m a t e r i a l s , t a b l e s , d a t a , a n d o t h e r f o r m s
o f c o m m u n i c a t i o n s t o p r e s e n t o r d o c u m e n t a c t i v i t i e s o n t h e p u b l i c o u t r e a c h
e f f o r t s .
" M a i n t a i n a d a t a b a s e r e c o r d o f a l l p u b l i c o u t r e a c h c o n t a c t s a n d r e s p o n s e s .
" P r o v i d e s u p p o r t f o r , a n d o v e r s e e 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 , a n y e f f o r t s
t o u s e e m e r g i n g e l e c t r o n i c t e c h n o l o g y a n d s o c i a l m e d i a .
4 . 0 6 P r o j e c t S u p p o r t
" P a r t i c i p a t e i n t h e r e v i e w o f i n s u r a n c e c l a i m s i n v o l v i n g i n c i d e n t s a s i t a f f e c t s
R C T C a n d p r o v i d e a n a l y s e s , i d e n t i f y m e a n s t o m i t i g a t e o r r e s o l v e , a n d m a k e
r e c o m m e n d a t i o n s f o r a c t i o n b y R C T C .
" I d e n t i f y , a r r a n g e , a n d c o o r d i n a t e , i n c o o p e r a t i o n w i t h t h e D e s i g n - B u i l d e r , a
f i r m t o p r o v i d e P a r t n e r i n g s e r v i c e s b e t w e e n t h e D e s i g n - B u i l d e r , S y s t e m s
I n t e g r a t o r , R C T C , a n d o t h e r s t a k e h o l d e r a g e n c i e s t o b e s t f a c i l i t a t e t h e
c o o p e r a t i o n a n d r e l a t i o n s b e t w e e n p a r t i e s i n m e e t i n g t h e P r o j e c t o b j e c t i v e s .
P a r t n e r i n g s e s s i o n s s h a l l b e a m i n i m u m o f 2 p e r y e a r o v e r a 3 - y e a r p e r i o d .
" P r i o r t o t h e s t a r t o f 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 r g a n i z e , s c h e d u l e , a n d
c o n d u c t a P r e - D e s i g n a n d C o n s t r u c t i o n C o n f e r e n c e t h a t i n c l u d e s s e l e c t
a g e n c i e s t h a t w i l l b e p a r t i c i p a t i n g i n t h e P r o j e c t , a s w e l l a s t h e D e s i g n - B u i l d e r
a n d S y s t e m s I n t e g r a t o r , i n c o m m u n i c a t i n g t o t h e m t h e a p p r o a c h a n d p l a n t o
d e s i g n a n d c o n s t r u c t t h e P r o j e c t b y t h e D e s i g n - B u i l d e r .
" I d e n t i f y , d e f i n e , a n d i m p l e m e n t k e y P r o j e c t i n i t i a t i v e s t h a t w i l l b e n e f i t R C T C
a n d t h e P r o j e c t b y i m p r o v i n g w o r k p r o c e s s e s a n d r e d u c i n g P r o j e c t c o s t s a n d
r e s o u r c e r e q u i r e m e n t s .
" S c h e d u l e , c o o r d i n a t e , a n d / o r a t t e n d m e e t i n g s , a s r e q u i r e d , a n d p r o v i d e a l l
n e c e s s a r y m e e t i n g m a t e r i a l s ( i . e . , a g e n d a s , m i n u t e s , a c t i o n i t e m s , r e p o r t s ,
a n d d o c u m e n t s ) n e c e s s a r y t o s u p p o r t t h e P r o j e c t m a n a g e m e n t a c t i v i t i e s .
4 . 0 7 R i g h t o f W a y M i t i g a t i o n S e r v i c e s
" P r o v i d e m a n a g e m e n t o v e r s i g h t a n d a d m i n i s t r a t i v e s u p p o r t o f t h e A / E
s e r v i c e s f o r t h e d e s i g n , p e r m i t t i n g a n d c o n s t r u c t i o n d o c u m e n t p r e p a r a t i o n f o r
" c o m p l e x " a n d " m o d e r a t e " p r o p e r t y c o n s t r u c t i o n m i t i g a t i o n .
" P r o v i d e d e s i g n , s p e c i f i c a t i o n s , p e r m i t t i n g a n d p r o c u r e m e n t s u p p o r t f o r t h e
" c o m p l e x " a n d " m o d e r a t e " p r o p e r t y f a c i l i t y m o d i f i c a t i o n s .
" P r o v i d e d e s i g n s e r v i c 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 " c o m p l e x " a n d " m o d e r a t e "
p r o p e r t y m i t i g a t i o n w o r k , i n c l u d i n g r e s p o n d i n g t o f i e l d d e s i g n i s s u e s a n d
R F l ' s .
A - 5
E X H I B I T A - 2
"
"
"
"
"
"
D e l i v e r a b l e s D a t e
D e s i g n - B u i l d C o l l a t e r a l M a t e r i a l s V a r i o u s
G r o u n d - B r e a k i n g C e r e m o n y T B D
T o l l F a c i l i t y C o l l a t e r a l M a t e r i a l s T B D
P r o j e c t C o m m u n i c a t i o n s T e m p l a t e s V a r i o u s
R i b b o n C u t t i n g C e r e m o n y ( T o l l F a c i l i t y ) T B D
P r o j e c t S a f e t y O v e r s i g h t P l a n J u l y 2 0 1 3
D e s i g n Q u a l i t y O v e r s i g h t P l a n J u l y 2 0 1 3
C o n s t r u c t i o n Q u a l i t y O v e r s i g h t P l a n O c t o b e r 2 0 1 3
I n s u r a n c e C l a i m s A n a l y s e s V a r i o u s
B i d P a c k a g e s f o r R O W M i t i g a t i o n P r o p e r t i e s V a r i o u s
B . T a s k 2 0 0 - D e s i g n M a n a g e m e n t
P r o v i d e d a y - t o - d a y m a n a g e m e n t o f a l l d e s i g n r e v i e w a n d o v e r s i g h t a c t i v i t i e s o f t h e
D e s i g n - B u i l d e r i n c o m p l y i n g w i t h t h e t e c h n i c a l r e q u i r e m e n t s o f t h e D e s i g n - B u i l d
C o n t r a c t , i n c l u d i n g c o o r d i n a t i n g w i t h s t a k e h o l d e r a n d a f f e c t e d a g e n c i e s o n t e c h n i c a l
i s s u e s r e l a t i n g t o u t i l i t i e s , R O W a c q u i s i t i o n , r a i l r o a d c o o r d i n a t i o n , a n d e n v i r o n m e n t a l
m i t i g a t i o n . C o o r d i n a t e D e s i g n - B u i l d e r d e s i g n a c t i v i t i e s w i t h t h o s e o f t h e S y s t e m s
I n t e g r a t o r a s d e s c r i b e d u n d e r T o l l i n g a n d O p e r a t i o n s , T a s k 3 0 0 . D e s i g n m a n a g e m e n t
a c t i v i t i e s a r e f u r t h e r d e f i n e d a s f o l l o w s :
2 . 1 D e s i g n M a n a g e m e n t - r e v i e w D e s i g n - B u i l d e r d e s i g n s u b m i t t a l s f o r
c o n f o r m 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 a n d a l l a p p l i c a b l e F e d e r a l , S t a t e ,
a n d L o c a l a g e n c y r e q u i r e m e n t s . P r o v i d e s t a f f p l a n n i n g a n d r e s o u r c e s
r e q u i r e m e n t s t o m e e t s c h e d u l e c o m m i t m e n t s , i n c l u d i n g h i g h w a y , s t r u c t u r a l ,
d r a i n a g e , u t i l i t i e s , t r a f f i c , l a n d s c a p e , a e s t h e t i c s , a n d g e o t e c h n i c a l e n g i n e e r s
a n d s u p p o r t s t a f f r e q u i r e d t o p e r f o r m t h e I Q A r e v i e w a n d a p p r o v a l s .
2 . 2 D e s i g n S u p p o r t
" R e v i e w D e s i g n - B u i l d e r c o m p u t e r - a i d e d d e s i g n a n d d r a f t i n g ( C A D D ) p r o t o c o l
a n d d o c u m e n t D e s i g n - B u i l d e r c o m p l i a n c e t o C o n t r a c t d o c u m e n t s a n d
C a l t r a n s s t a n d a r d s a n d r e q u i r e m e n t s .
" M o n i t o r c o m p l i a n c e a n d t a k e c o r r e c t i v e a c t i o n s t o s u b m i t t a l p r o c e d u r e s ,
c y c l e s , a n d r e v i e w t i m e f r a m e s f o r t h e p r o c e s s i n g , r e v i e w , a n d a p p r o v a l o f a l l
s u b m i t t a l s b y R C T C , C a l t r a n s , a n d s t a k e h o l d e r a g e n c i e s i n c o m p l i a n c e w i t h
t h e D e s i g n - B u i l d C o n t r a c t .
"
E X H I B I T A - 2
R e p r e s e n t R C T C w i t h C a l t r a n s a n d t h e D e s i g n - B u i l d e r o n a l l e n g i n e e r i n g
i s s u e s a n d f a c i l i t a t e R C T C ' s a p p r o v a l . F a c i l i t a t e o t h e r a g e n c y
r e v i e w s / a p p r o v a l s o f P r o j e c t s u b m i t t a l s .
A - 6
" P r o v i d e C A D D s u p p o r t , a s n e c e s s a r y , f o r a n y t e c h n i c a l a n a l y s e s , g r a p h i c a l
p r e s e n t a t i o n s , r e f e r e n c e m a t e r i a l s , R O W a c q u i s i t i o n , r e g u l a t o r y p e r m i t s , a n d
P r o j e c t d o c u m e n t s .
" R e g u l a r l y c o o r d i n a t e a n d c o m m u n i c a t e w i t h R C T C o n s t a t u s a n d p r o g r e s s
o n d e s i g n r e v i e w s a n d o v e r s i g h t o f D e s i g n - B u i l d e r ' s s u b m i t t a l s . I d e n t i f y a n y
t e c h n i c a l i s s u e s w i t h p r o p o s e d s o l u t i o n s a n d m a k e r e c o m m e n d a t i o n s t o
r e s o l v e t o R C T C , i n c l u d i n g n e c e s s a r y a c t i o n s t o i m p l e m e n t p r o p o s e d
s o l u t i o n ( s ) .
" C o o r d i n a t e R C T C , C a l t r a n s , a n d o t h e r s t a k e h o l d e r a g e n c y i n v o l v e m e n t a n d
p a r t i c i p a t i o n i n D e s i g n - B u i l d e r t e c h n i c a l m e e t i n g s , p r o c e s s D e s i g n - B u i l d e r
m e e t i n g m i n u t e s , a n d c o o r d i n a t e R C T C a n d s t a k e h o l d e r a c t i o n i t e m s
r e s u l t i n g f r o m t e c h n i c a l m e e t i n g s , a l o n g w i t h n e c e s s a r y a g e n c y a p p r o v a l s .
" S c h e d u l e , c o o r d i n a t e , a n d a t t e n d m e e t i n g s , a s n e c e s s a r y , i n c o o p e r a t i o n
w i t h t h e a g e n c i e s a n d c o n t r a c t e d p a r t i e s ( D e s i g n - B u i l d e r a n d S y s t e m s
I n t e g r a t o r ) , i n c l u d i n g , i n s o m e i n s t a n c e s , t h e p r e p a r a t i o n o f a g e n d a s , m e e t i n g
m i n u t e s , a n d a c t i o n i t e m s .
" P a r t i c i p a t e w i t h t h e c o n s t r u c t i o n m a n a g e m e n t u t i l i t y o v e r s i g h t p e r s o n n e l i n
p r o v i d i n g N o t i c e s t o O w n e r s a n d i n 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 d e s i g n
a n d e n g i n e e r i n g w o r k o f t h e u t i l i t y a g e n c i e s a n d t h o s e o f t h e D e s i g n - B u i l d e r ,
a s a p p r o p r i a t e .
2 . 3 S t r u c t u r e s ( I Q A )
" P r o v i d e d e s i g n m a n a g e m e n t s e r v i c e s t o r e v i e w D e s i g n - B u i l d e r s u b m i t t a l s ,
i n c l u d i n g d e s i g n p l a n s , i n v e s t i g a t i o n s , s t u d i e s , a n d r e p o r t s r e q u i r e d b y t h e
C o n t r a c t , f o r a c c e p t a b i l i t y a n d c o n f o r m a n c e t o C o n t r a c t r e q u i r e m e n t s ,
C a l t r a n s s t a n d a r d s , a n d s t a k e h o l d e r a g e n c y s t a n d a r d s .
" R e v i e w a n d r e s p o n d t o S t r u c t u r e s - r e l a t e d i s s u e s a n d a c t i v i t i e s a f t e r i s s u a n c e
o f R e l e a s e f o r C o n s t r u c t i o n ( R F C ) p a c k a g e s .
2 . 4 R o a d w a y & D r a i n a g e ( I Q A )
" P r o v i d e d e s i g n m a n a g e m e n t s e r v i c e s t o r e v i e w D e s i g n - B u i l d e r s u b m i t t a l s ,
i n c l u d i n g d e s i g n p l a n s , i n v e s t i g a t i o n s , s t u d i e s , a n d r e p o r t s r e q u i r e d b y t h e
C o n t r a c t , f o r a c c e p t a b i l i t y a n d c o n f o r m a n c e t o C o n t r a c t r e q u i r e m e n t s ,
C a l t r a n s s t a n d a r d s , a n d s t a k e h o l d e r a g e n c y s t a n d a r d s .
" R e v i e w a n d r e s p o n d t o R o a d w a y & D r a i n a g e r e l a t e d i s s u e s a n d a c t i v i t i e s
a f t e r i s s u a n c e o f R F C p a c k a g e s .
A - 7
E X H I B I T A - 2
"
"
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2 . 5 M a i n t e n a n c e o f T r a f f i c ( I Q A )
" P r o v i d e d e s i g n m a n a g e m e n t s e r v i c e s t o r e v i e w D e s i g n - B u i l d e r s u b m i t t a l s ,
i n c l u d i n g d e s i g n p l a n s , i n v e s t i g a t i o n s , s t u d i e s , a n d r e p o r t s , r e q u i r e d b y t h e
C o n t r a c t , f o r a c c e p t a b i l i t y a n d c o n f o r m a n c e t o C o n t r a c t r e q u i r e m e n t s ,
C a l t r a n s s t a n d a r d s , a n d s t a k e h o l d e r a g e n c y s t a n d a r d s .
" R e v i e w a n d r e s p o n d t o M a i n t e n a n c e o f T r a f f i c r e l a t e d i s s u e s a n d a c t i v i t i e s
a f t e r i s s u a n c e o f R F C p a c k a g e s .
2 . 6 G e o t e c h n i c a l ( I Q A )
" P r o v i d e d e s i g n m a n a g e m e n t s e r v i c e s t o r e v i e w D e s i g n - B u i l d e r s u b m i t t a l s ,
i n c l u d i n g d e s i g n p l a n s , i n v e s t i g a t i o n s , s t u d i e s , a n d r e p o r t s r e q u i r e d b y t h e
C o n t r a c t , f o r a c c e p t a b i l i t y a n d c o n f o r m a n c e t o C o n t r a c t r e q u i r e m e n t s ,
C a l t r a n s s t a n d a r d s , a n d s t a k e h o l d e r a g e n c y s t a n d a r d s .
" R e v i e w a n d r e s p o n d t o G e o t e c h n i c a l r e l a t e d i s s u e s a n d a c t i v i t i e s a f t e r
i s s u a n c e o f R F C p a c k a g e s .
2 . 7 T r a f f i c M a n a g e m e n t ( T M S ) ( I Q A )
" P r o v i d e d e s i g n m a n a g e m e n t s e r v i c e s t o r e v i e w D e s i g n - B u i l d e r s u b m i t t a l s ,
i n c l u d i n g d e s i g n p l a n s , i n v e s t i g a t i o n s , s t u d i e s , a n d r e p o r t s r e q u i r e d b y t h e
C o n t r a c t , f o r a c c e p t a b i l i t y a n d c o n f o r m a n c e t o C o n t r a c t r e q u i r e m e n t s ,
C a l t r a n s s t a n d a r d s , a n d s t a k e h o l d e r a g e n c y s t a n d a r d s .
" R e v i e w a n d r e s p o n d t o T r a f f i c M a n a g e m e n t S y s t e m s r e l a t e d i s s u e s a n d
a c t i v i t i e s a f t e r i s s u a n c e o f R F C p a c k a g e s .
2 . 8 E l e c t r i c a l & L i g h t i n g ( I Q A )
" P r o v i d e d e s i g n m a n a g e m e n t s e r v i c e s t o r e v i e w D e s i g n - B u i l d e r s u b m i t t a l s ,
i n c l u d i n g d e s i g n p l a n s , i n v e s t i g a t i o n s , s t u d i e s , a n d r e p o r t s r e q u i r e d b y t h e
C o n t r a c t , f o r a c c e p t a b i l i t y a n d c o n f o r m a n c e t o C o n t r a c t r e q u i r e m e n t s ,
C a l t r a n s s t a n d a r d s , a n d s t a k e h o l d e r a g e n c y s t a n d a r d s .
" R e v i e w a n d r e s p o n d t o E l e c t r i c a l & L i g h t i n g r e l a t e d i s s u e s a n d a c t i v i t i e s a f t e r
i s s u a n c e o f R F C p a c k a g e s .
2 . 9 L a n d s c a p e & A e s t h e t i c s ( I Q A )
"
E X H I B I T A - 2
P r o v i d e d e s i g n m a n a g e m e n t s e r v i c e s t o r e v i e w D e s i g n - B u i l d e r s u b m i t t a l s ,
i n c l u d i n g d e s i g n p l a n s , i n v e s t i g a t i o n s , s t u d i e s , a n d r e p o r t s r e q u i r e d b y t h e
A - 8
Contract, for acceptability and conformance to Contract requirements,
Caltrans standards, and stakeholder agency standards.
• Review and respond to Landscape & Aesthetics related issues and activities
after issuance of RFC packages.
2.10 Environmental & Permits -provide environmental oversight, compliance, and
coordination of Design-Builder's environmental obligations and commitments
under the Contract, including RCTC's obligations and requirements with
resource agencies. This includes:
• Oversee Design-Builder's requirements in meeting the obligations and
commitments in their preparation of materials and documents to secure the
United States Army Corps of Engineers (USAGE) 404 and 408 .permits, and
Out Grant Agreement; Regional Water Quality Control Board (RWQCB) 401
permit; California Department of Fish and Wildlife (CDFW) 1602 permit; and
Orange County Public Works (OCPW) encroachment permit.
• Coordinate approval of the above permits and agreements with each
resource agency, address any changes required of the Design-Builder by the
agencies, and further the approval of the permits and agreements.
• Plan and implement RCTC mitigation measures including, but not limited to,
offsite soundwalls and offsite biological.
• Analyze and assess environmental re-validation and re-evaluations required
due to RCTC-directed changes and implement accordingly.
• Coordinate with Caltrans for review and commenting on all environmental
activities, including agreements, permits, and exercises of re-validation and
re-valuation.
• Oversee Design-Builder's acquiring of all necessary environmental permits
affecting their construction activities, including stormwater permits.
• Schedule and coordinate meetings necessary to accomplish the
environmental requirements of RCTC, including providing agenda and
meeting minutes and action items.
• Oversee implementation of the approved mitigation monitoring plan for
compliance with Caltrans and regulatory agencies permit requirements and
the mitigation documented in the environmental document.
A-9
EXHIBIT A-2
•
•
•
"
"
"
2 . 1 1 U t i l i t y C o o r d i n a t i o n & O v e r s i g h t
" C o o r d i n a t e a l l f i n a l u t i l i t y a g r e e m e n t s w i t h p r i v a t e u t i l i t y o w n e r s . M o n i t o r u t i l i t y
r e l o c a t i o n w o r k a n d m e e t r e g u l a r l y w i t h D e s i g n - B u i l d e r , u t i l i t y a g e n c i e s ,
C a l t r a n s , R C T C , a n d o t h e r s t a k e h o l d e r a g e n c i e s t o c o o r d i n a t e u t i l i t y
r e l o c a t i o n w o r k .
" O v e r s e e p r e p a r a t i o n o f t h e D e s i g n - B u i l d e r s u b m i t t a l s t o t h e u t i l i t y o w n e r s a n d
c o o r d i n a t e w i t h t h e u t i l i t y o w n e r s t o f a c i l i t a t e t h e i r t i m e l y r e v i e w , e n g i n e e r i n g ,
p r o c u r e m e n t , a n d r e l o c a t i o n a c t i v i t i e s .
" P r e p a r e p r o p e r n o t i c e s ( i . e . , N o t i c e t o O w n e r s ) , i n c l u d i n g t h e D e s i g n - B u i l d e r
s u b m i t t a l s , t o u t i l i t y o w n e r s r e q u i r e d t o c o m m e n c e t h e i r ( u t i l i t y o w n e r ) d e s i g n ,
p r o c u r e m e n t , a n d r e l o c a t i o n a c t i v i t i e s .
" P r e p a r e R e p o r t o f I n v e s t i g a t i o n ( R O I ) a s o u t l i n e d i n S e c t i o n 1 3 - 0 5 o f C a l t r a n s
R O W M a n u a l C h a p t e r 1 3 .
" R e s p o n d t o u t i l i t y o w n e r ' s q u e s t i o n s a n d i s s u e s a s i t r e l a t e s t o D e s i g n -
B u i l d e r c o o r d i n a t i o n a n d c o m p l i a n c e w i t h s t a t e ( C a l t r a n s ) a n d F e d e r a l l a w s ,
r e g u l a t i o n s , p o l i c i e s , a n d p r o c e d u r e s .
"
"
"
"
2 . 1 2
"
R e v i e w a n d c o m m e n t , a s a p p r o p r i a t e , o n u t i l i t y o w n e r d e s i g n s f o r i n c l u s i o n
i n t o D e s i g n - B u i l d e r f i n a l d e s i g n d o c u m e n t s , a n d r e v i e w D e s i g n - B u i l d e r ' s R F C
d o c u m e n t s f o r p r o p e r i n c l u s i o n o f t h e u t i l i t y o w n e r d e s i g n s .
C o n f i r m t h a t t h e u t i l i t y a g e n c y a n d D e s i g n - B u i l d e r h a v e a l l n e c e s s a r y p e r m i t s
a n d R O W c l e a r a n c e s t o a l l o w r e l o c a t i o n w o r k t o p r o c e e d .
O v e r s e e c o o r d i n a t i o n b e t w e e n t h e D e s i g n - B u i l d e r a n d u t i l i t y a g e n c i e s '
c o n s t r u c t i o n a n d r e l o c a t i o n w o r k , a d d r e s s i n g a n y i s s u e s a n d c o n f i r m i n g
i d e n t i f i c a t i o n , p r o t e c t i o n , a d j u s t m e n t , r e m o v a l , o r r e l o c a t i o n o f t h e s u b j e c t
u t i l i t y i n c o m p l i a n c e w i t h S t a t e a n d F e d e r a l l a w s a n d r e g u l a t i o n s , s t a n d a r d s ,
a n d a g r e e m e n t s .
O v e r s e e a n d c o o r d i n a t e t h e f i n a l d o c u m e n t a t i o n a n d c o m p l e t i o n o f t h e u t i l i t y
o w n e r r e l o c a t i o n w o r k , a n d r e v i e w a n d r e c o m m e n d f i n a l p a y m e n t s a n d
c l o s e o u t .
S u r v e y & R O W E n g i n e e r i n g - p r o v i d e R O W 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 d u r i n g P h a s e 2 t o p r o v i d e Q A o f t h e D e s i g n - B u i l d e r ' s c o n s t r u c t i o n
s u r v e y o n a s - n e e d e d b a s i s a n d t o c o m p l e t e p o s t - c o n s t r u c t i o n R e c o r d o f
S u r v e y . P h a s e 2 s u r v e y t a s k s w i l l c o n s i s t o f t h e f o l l o w i n g :
F i e l d a n d o f f i c e s u r v e y s u p p o r t o n a n a s - n e e d e d b a s i s t o p r o v i d e s u r v e y Q A
c h e c k s .
A - 1 0
, E X H I B I T A - 2
" P r o v i d e a P o s t - C o n s t r u c t i o n R e c o r d o f S u r v e y o f t h e n e w R O W l i m i t s a n d
r e c o r d a P o s t - C o n s t r u c t i o n R e c o r d o f S u r v e y f o r t h e l a n d n e t i n c o n f o r m a n c e
w i t h s t a t u t o r y r e q u i r e m e n t s a n d t o d e l i n e a t e l i m i t s o f t h e n e w r e c o r d R O W . A
r e c o r d o f s u r v e y s w i l l b e s u b m i t t e d f o r r e v i e w a n d f i l i n g b y t h e C o u n t y o f
R i v e r s i d e a n d C o u n t y o f O r a n g e .
2 . 1 3 R O W A c q u i s i t i o n & R e l o c a t i o n
" P r o v i d e a n y n e c e s s a r y r e m a i n i n g R O W e n v i r o n m e n t a l i n v e s t i g a t i o n s a n d
r e m e d i a t i o n t o s u p p o r t R O W a c q u i s i t i o n s e r v i c e s , i n c l u d i n g P h a s e 2 s t u d i e s .
P r e p a r e n e c e s s a r y p l a n s a n d e f f e c t t h e r e m e d i a t i o n o f h a z a r d o u s m a t e r i a l s
t o s u p p o r t t h e D e s i g n - B u i l d e r s c h e d u l e .
" A s s e s s a n y p r o p o s e d m o d i f i c a t i o n s o r c h a n g e s t o t h e R O W p r o p o s e d b y t h e
D e s i g n - B u i l d e r a n d p r o v i d e i n v e s t i g a t i o n s a n d a n a l y s e s , p r o p o s e s o l u t i o n s ,
a n d m a k e r e c o m m e n d a t i o n s t o R C T C f o r c o n s i d e r a t i o n a n d i m p l e m e n t a t i o n
a s d i r e c t e d .
" P r o v i d e c o n t i n u e d R O W a c q u i s i t i o n a n d r e l o c a t i o n s e r v i c e s u n d e r
c o m p l i a n c e w i t h F e d e r a l , S t a t e , a n d L o c a l l a w s a n d r e g u l a t i o n s , a n d i n
s u p p o r t o f t h e P r o j e c t ' s s c h e d u l e . T h e s e a c t i v i t i e s i n c l u d e :
"
P r e p a r e p r o p e r t y a c q u i s i t i o n d o c u m e n t s r e q u i r e d b y F e d e r a l , S t a t e , a n d
L o c a l l a w s a n d r e g u l a t i o n s a n d s u p p o r t R C T C i n t h e a c q u i s i t i o n o f s u c h "
p r o p e r t i e s .
E X H I B I T A - 2
C o n t i n u e t o o b t a i n a p p r a i s a l a n d r e v i e w a p p r a i s a l s e r v i c e s f o r a l l
r e m a i n i n g p r o p e r t i e s o n t h e P r o j e c t .
C o n t i n u e t o p r e p a r e a c q u i s i t i o n p a c k a g e s , i n c l u d i n g r e c o m m e n d a t i o n o f
j u s t c o m p e n s a t i o n , o f f e r l e t t e r p a c k a g e s , a p p r a i s a l s u m m a r y s t a t e m e n t s ,
a g r e e m e n t s , d e e d s , a n d r e c o m m e n d a t i o n s o f a d m i n i s t r a t i v e s e t t l e m e n t s ,
i n c l u d i n g m a i n t a i n i n g p a r c e l n e g o t i a t o r s l o g ( P a r c e l D i a r y ) , a n d t r a n s m i t
e x e c u t e d a c q u i s i t i o n a g r e e m e n t s f o r a c c e p t a n c e .
O r g a n i z i n g , s c h e d u l i n g , p r e p a r i n g , a n d d o c u m e n t i n g R O W m e e t i n g s t o
a d d r e s s R O W i s s u e s , s t a t u s , a n d p e r f o r m a n c e w i t h a f f e c t e d 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 a g e n c i e s .
A t t e n d p u b l i c h e a r i n g s a n d w o r k w i t h v a r i o u s s t a k e h o l d e r s o n R O W
q u e s t i o n s , i s s u e s , a n d s o l u t i o n s .
C o n t i n u e w i t h t i t l e c l e a r a n c e a c t i v i t i e s a n d c o o r d i n a t e w i t h R C T C a n d
t h e i r l e g a l c o u n s e l t o f a c i l i t a t e c l e a r a n c e o f t i t l e c o n d i t i o n s .
C o o r d i n a t e w i t h i n d e p e n d e n t e s c r o w c o m p a n i e s , a s c e r t a i n e x e c u t e d
c o n v e y a n c e d o c u m e n t s , s e c u r e r e c o n v e y a n c e s f r o m l i e n h o l d e r s , a n d
d e p o s i t a c q u i s i t i o n d o c u m e n t s a n d r e c o r d a t i o n o f d e e d s .
A - 1 1 "
"
"
"
P r o v i d e a d v i s o r y s e r v i c e s w i t h d i s p l a c e d o c c u p a n t s , i n c l u d i n g c o n d u c t i n g
o c c u p a n t m e e t i n g s , p r e p a r i n g e l i g i b i l i t y n o t i c e s , a n d p r o c e s s i n g c l a i m
f o r m s .
P r o v i d e r e p l a c e m e n t s i t e c o o r d i n a t i o n , i n c l u d i n g r e s e a r c h a n d p r e p a r a t i o n
o f r e p l a c e m e n t s i t e r e f e r r a l s a n d c o o r d i n a t i o n o f o c c u p a n t m o v e s .
S e c u r e c e r t i f i c a t i o n o f a b a n d o n m e n t d o c u m e n t s , a s n e c e s s a r y .
C o o r d i n a t e a d v a n c e m o v e p l a n n i n g s e r v i c e s f o r c o m p l e x b u s i n e s s
r e l o c a t i o n s .
P l a n a n d o v e r s e e b u s i n e s s r e l o c a t i o n s , i n c l u d i n g r e p l a c e m e n t s i t e
r e s e a r c h , c o o r d i n a t i o n w i t h a g e n c y p l a n n i n g , a d v a n c e m o v e p l a n n i n g f o r
c o m p l e x b u s i n e s s r e l o c a t i o n s , a n d p r o c e s s i n g o f r e - e s t a b l i s h m e n t c l a i m s
a n d p a y m e n t s .
M o n i t o r t h e c o n t r a c t o r s ' a c t i v i t i e s a n d i d e n t i f y a n y a r e a s w h e r e t h e
c o n s t r u c t i o n a n d R O W a c q u i s i t i o n s s c h e d u l e c o n f l i c t s a n d d e v e l o p
m i t i g a t i o n m e a s u r e s t o m i n i m i z e c o s t a n d s c h e d u l e e x p o s u r e t o R C T C .
P r o v i d e p r o p e r t y v a c a t i o n d o c u m e n t a t i o n f o r t h e C i t y o f C o r o n a a n d t h e
C o u n t y o f R i v e r s i d e .
P r o v i d e f o r d e m o l i t i o n o f p r o p e r t i e s , i n c l u d i n g c o o r d i n a t i o n w i t h l o c a l
a g e n c i e s a n d d e p a r t m e n t s .
A s s i s t R C T C i n a c h i e v i n g R O W c e r t i f i c a t i o n , i n c l u d i n g c o o r d i n a t i n g w i t h
C a l t r a n s r e g a r d i n g D e s i g n - B u i l d p r o c e s s .
I f r e q u i r e d , p r o v i d e R C T C w i t h e m i n e n t d o m a i n s u p p o r t a n d e x p e r t
t e s t i m o n y i n a n y c o u r t o r a d m i n i s t r a t i v e p r o c e e d i n g s a n d a s s i s t , a s
r e q u i r e d , i n l e g a l m a t t e r s a s d i r e c t e d b y l e g a l c o u n s e l i n t h e l i t i g a t i o n o f
c a s e s f o r o r a g a i n s t R C T C , i n c l u d i n g , b u t n o t l i m i t e d t o , g a t h e r i n g o f
d o c u m e n t s a n d i n f o r m a t i o n .
" P e r f o r m a l l n e c e s s a r y P r o j e c t c l o s e - o u t a c t i v i t i e s , i n c l u d i n g t h e f o l l o w i n g :
"
E X H I B I T A - 2
R O W t r a n s f e r f r o m R C T C t o t h e v a r i o u s a g e n c i e s , i n c l u d i n g C a l t r a n s ,
C i t y o f C o r o n a , o r C o u n t y o f R i v e r s i d e , w h e r e a p p l i c a b l e .
W o r k w i t h R C T C t o d e t e r m i n e t h e e x c e s s l a n d d i s p o s i t i o n p r o c e s s .
C o n t i n u e t o p r o v i d e t h e a p p r o p r i a t e p r o g r e s s / s t a t u s r e p o r t s , a n d s c h e d u l e
a n d a t t e n d m e e t i n g s , a s n e c e s s a r y , t o s u p p o r t t h e a c q u i s i t i o n , r e l o c a t i o n , a n d
c l o s e - o u t p r o c e s s e s , a n d c o o r d i n a t i o n w i t h t h e D e s i g n - B u i l d e r .
A - 1 2
" M o n i t o r t h e o v e r a l l p l a n n i n g o f c o n s t r u c t i o n a c t i v i t i e s t o i d e n t i f y c r i t i c a l
m i l e s t o n e s a n d p r i o r i t i e s ; d e t e r m i n e b u d g e t e s t i m a t e s f o r t h e m i t i g a t i o n a n d
d e m o l i t i o n d e f i n e d s c o p e a n d s c h e d u l e .
" C o o r d i n a t e a n d c o n d u c t P r e - C o n s t r u c t i o n a n d P r e - a c t i v i t y m e e t i n g s w i t h t h e
M i t i g a t i o n D e s i g n E n g i n e e r a n d M i t i g a t i o n a n d D e m o l i t i o n C o n t r a c t o r ( s ) .
" P r o v i d e e n g i n e e r i n g a s s e s s m e n t o f p l a n s f o r a d e q u a c y o f d e s i g n , p a r t i c u l a r l y
w i t h r e s p e c t t o s u i t a b i l i t y t o a c t u a l f i e l d c o n d i t i o n s .
" M o n i t o r c o m p l i a n c e w i t h 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 b y t h e M i t i g a t i o n a n d
D e m o l i t i o n C o n t r a c t o r ( s ) ; r e c o m m e n d , m o d i f y , i n t e r p r e t , a n d e d i t s p e c i a l
p r o v i s i o n s a n d p r e p a r e m o d i f i c a t i o n e s t i m a t e s ; a n d k e e p n e c e s s a r y r e c o r d s
p e r t a i n i n g t o c o n s t r u c t i o n p r o g r e s s , b u d g e t p e r f o r m a n c e , a n d w o r k o r d e r
b a l a n c e s .
" M o n i t o r t h e M i t i g a t i o n a n d D e m o l i t i o n C o n t r a c t o r ( s ) c o n s t r u c t i o n Q C
p r o g r a m , i n c l u d i n g t h e a d e q u a c y o f c a p a b i l i t y o f Q C r e s o u r c e s . O v e r s e e a n d
p r o v i d e , a s n e c e s s a r y , n o t i f i c a t i o n t o t h e M i t i g a t i o n a n d D e m o l i t i o n
C o n t r a c t o r ( s ) o f r e j e c t e d w o r k w h e n i t i s t h e o p i n i o n t h a t t h e w o r k o r m a t e r i a l s
d o n o t c o n f o r m t o t h e r e q u i r e m e n t s o f t h e M i t i g a t i o n a n d D e m o l i t i o n C o n t r a c t
d o c u m e n t s .
" M o n i t o r c o m p l i a n c e o f M i t i g a t i o n a n d D e m o l i t i o n C o n t r a c t o r ( s ) s a f e t y p l a n
a n d n o t e c o n c e r n s o r d e f i c i e n c i e s i m m e d i a t e l y t o M i t i g a t i o n a n d D e m o l i t i o n
C o n t r a c t o r ( s ) f o r t h e i r i m p l e m e n t a t i o n o f c o r r e c t i v e m e a s u r e s .
" O b s e r v e a n d i d e n t i f y a l l p o t e n t i a l c h a n g e s i n s c o p e b a s e d o n M i t i g a t i o n a n d
D e m o l i t i o n C o n t r a c t o r ( s ) a c t i v i t i e s , a n d r e v i e w a l l c h a n g e o r d e r s s u b m i t t e d ,
p e r f o r m r e q u i r e d a n a l y s e s , a n d p r e s e n t r e c o m m e n d a t i o n s t o R C T C f o r
d i s p o s i t i o n . M a i n t a i n s e p a r a t e l o g a n d f i l e s t o d o c u m e n t a l l p o t e n t i a l a n d
a c t u a l c h a n g e s .
" E n s u r e t h a t a l l t e s t a n d i n s p e c t i o n r e c o r d s a n d n o n c o m p l i a n c e r e p o r t s a r e
s a t i s f a c t o r i l y r e s o l v e d .
2 . 1 4 P r o p e r t y M a n a g e m e n t
" P r o v i d e p r o p e r t y m a n a g e m e n t s e r v i c e s a s r e q u i r e d o n R C T C - a c q u i r e d
p r o p e r t i e s i n a c c o r d a n c e w i t h a l l F e d e r a l , S t a t e , a n d L o c a l l a w s a n d
r e g u l a t i o n s . P r o v i d e t h e n e c e s s a r y p r o p e r t y r e p a i r a n d m a i n t e n a n c e a n d t h e
a c c o u n t i n g o f p r o p e r t y m a n a g e m e n t a c t i v i t i e s , i n c l u d i n g :
E X H I B I T A - 2
P e r f o r m r e n t c o l l e c t i o n s a n d p r e p a r e a n d m a i n t a i n r e n t c o l l e c t i o n
d o c u m e n t a t i o n .
A - 1 3
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C o n d u c t p r o p e r t y i n s p e c t i o n s , c o o r d i n a t e s e r v i c e c a l l s , a n d p r o v i d e f o r
t h e c o n t r a c t i n g a n d c o o r d i n a t i o n o f m a i n t e n a n c e a n d r e p a i r s .
C o o r d i n a t e w i t h l o c a l a g e n c y d e p a r t m e n t s , s u c h a s f i r e a n d c o d e
e n f o r c e m e n t d e p a r t m e n t s , f o r o n s i t e a c t i v i t i e s r e g a r d i n g t e n a n t s a n d
p r o p e r t i e s .
C o o r d i n a t e p r o p e r t y d e m o l i t i o n s w i t h s e l e c t e d c o n t r a c t o r s a n d w i t h l o c a l
a g e n c i e s , a s r e q u i r e d .
P r o v i d e 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 a n d r e p o r t i n g o n r e n t s c o l l e c t e d ,
m a i n t e n a n c e a n d r e p a i r s , a n d o t h e r p r o p e r t y m a n a g e m e n t e x p e n s e s .
2 . 1 5 R a i l r o a d C o o r d i n a t i o n
" O v e r s e e a n d s u p p o r t R C T C ' s r e q u i r e m e n t s w i t h t e c h n i c a l r e v i e w a n d
p r o c e s s i n g f o r a p p r o v a l o f 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 ( B N S 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 A g r e e m e n t s b a s e d o n P r o j e c t s c h e d u l e
r e q u i r e m e n t s .
" C o o r d i n a t e D e s i g n - B u i l d e r a n d B N S F d e s i g n r e v i e w s . F a c i l i t a t e r e c e i p t o f
B N S F a p p r o v a l s o f D e s i g n - B u i l d e r d e s i g n s .
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O v e r s e e c o m p l i a n c e w i t h 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 b y t h e D e s i g n - B u i l d e r
w i t h B N S F g u i d e l i n e s .
O v e r s e e a n d c o o r d i n a t e w i t h B N S F r e g a r d i n g a l l P r o j e c t w o r k a f f e c t i n g
B N S F o p e r a t i o n s a n d t h e a c t i v i t i e s o f t h e D e s i g n - B u i l d e r , i n c l u d i n g
c o m p l i a n c e w i t h B N S F r e q u i r e m e n t s f o r w o r k a r o u n d t h e i r t r a c k a n d
o p e r a t i o n s .
P r e p a r e a n d s u b m i t t h e C a l i f o r n i a P u b l i c U t i l i t i e s C o m m i s s i o n ( C P U C ) f o r m a l
a n d s h o r t f o r m a p p l i c a t i o n s . M o n i t o r t h e C P U C a p p r o v a l p r o c e s s .
W o r k w i t h t h e P r o j e c t R O W p e r s o n n e l t o r e c e i v e a l l c o n s t r u c t i o n r i g h t - o f -
e n t r y d o c u m e n t s , i n c l u d i n g t e m p o r a r y c o n s t r u c t i o n l i c e n s e s ( T C L s ) a n d
p e r m a n e n t e a s e m e n t s .
D e l i v e r a b l e s D a t e
R O W C e r t i f i c a t i o n ( b y g r o u p i n g ) V a r i o u s
R O W A g r e e m e n t s a n d D o c u m e n t a t i o n V a r i o u s
P o s t - C o n s t r u c t i o n R e c o r d o f S u r v e y A p r i l 2 0 1 7
S u b m i t t a l P a c k a g e s R e v i e w / A p p r o v a l D o c u m e n t a t i o n V a r i o u s
( U t i l i t y ) N o t i c e t o O w n e r f o r F i n a l D e s i g n T B D
( U t i l i t y ) N o t i c e t o O w n e r t o R e l o c a t e T B D
( U t i l i t y ) R e p o r t o f I n v e s t i g a t i o n ( R O I ) T B D
A - 1 4
E X H I B I T A - 2
Deliverables Date
Utility Agreements December 2013
Railroad Construction and Maintenance Agreements TBD
CPUC Formal and Short Forms TBD
USAGE 404 Permit TBD
USAGE 408 Permit TBD
USAGE Out Grant Agreement TBD
RWQCB 401 Permit TBD
CDFW 1602 Permit TBD
OCPW Encroachment Permit TBD
C. Task 300 -Tolling and Operations
Provide certain toll systems management, planning, and design activities to support and
integrate with Design-Builder's design, as well as provide oversight of the Systems
Integrator Contract requirements in the design, installation, and toll system startup. In
addition, provide oversight of early Operator activities to support the training and startup
of the Tolled Express Lanes. Toll systems and operations support services include:
3.1 Toll & Operations Management
• Provide general day-to-day management of toll system and operations and
maintenance activities for the Project. This includes identification and
allocation of staffing resources to accomplish specific toll system
implementation and oversight activities, and planning and scheduling of toll
system activities with the Design-Builder and Systems Integrator.
• Coordinate toll and operations planning activities with stakeholder agencies
and coordinate with other Project functional groups on toll system design,
installation, and integration matters, including toll system testing and
acceptance.
• Organize and/or participate in meetings to coordinate toll system and
operations planning activities and deliverables with the Design-Builder,
Systems Integrator, and stakeholder entities associated with the Project.
• Provide and support Contract administration activities associated with
oversight of the System Integrator Contract, including safety and quality
compliance, review of progress and invoice applications, submittals, and
monthly reports.
A-15
EXHIBIT A-2
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3 . 0 2 - T o l l S y s t e m s D e s i g n ( I Q A )
" P r e p a r e F H W A o u t s t a n d i n g S y s t e m s E n g i n e e r i n g M a n a g e m e n t P l a n
( S E M P ) d o c u m e n t s a n d s u b m i t f o r r e v i e w a n d c o m m e n t b y F H W A a n d
C a l t r a n s , a s r e q u i r e d . I n c o r p o r a t e c o m m e n t s a n d f i n a l i z e S E M P d o c u m e n t s .
P r o v i d e u p d a t e s t o S E M P d o c u m e n t s , a s n e c e s s a r y , t o m e e t t h e
r e q u i r e m e n t s a n d c o m m i t m e n t s o f F H W A .
" F i n a l i z e u p d a t e s t o t h e b u s i n e s s r u l e s . P r e p a r e a c c o u n t r e c o n c i l i a t i o n
p o l i c i e s a n d p r o c e d u r e s a m o n g s t a k e h o l d e r a g e n c i e s a n d a s s i s t R C T C
a c c o u n t i n g t o d e v e l o p n e c e s s a r y g e n e r a l l e d g e r r e q u i r e m e n t s a n d e n t r i e s .
" F i n a l i z e d e s i g n o f t h e T o l l O p e r a t i o n s a n d C u s t o m e r S e r v i c e C e n t e r f a c i l i t y
l a y o u t c o n c e p t p l a n s .
" P e r f o r m a d d i t i o n a l d u e d i l i g e n c e o n F e d e r a l , S t a t e , a n d L o c a l t o l l
r e q u i r e m e n t s a n d e n f o r c e m e n t r e g u l a t i o n s a n d p r o v i d e , a s n e c e s s a r y ,
a d d i t i o n a l p r o c e d u r e s t o s u p p o r t R C T C c o m p l i a n c e . I n a d d i t i o n , i d e n t i f y
i n t e r o p e r a b i l i t y r e g u l a t i o n 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 t o l l a g e n c i e s .
R e c o m m e n d f i n a l r e s o l u t i o n s a n d p r e p a r e n e c e s s a r y s u p p o r t i n g
d o c u m e n t a t i o n .
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E X H I B I T A - 2
I n v e s t i g a t e a n d p r e s e n t p o t e n t i a l i m p l e m e n t a t i o n o f n e w t o l l i n g t e c h n o l o g i e s ,
a s w e l l a s i m p r o v e m e n t s t o e x i s t i n g t e c h n o l o g i e s , f o r R C T C i n c o n s i d e r a t i o n
a n d i n c o n c e r t w i t h O C T A P r o v i d e a n a n a l y s i s a s t o t h e b e n e f i t a n d c o s t s , a s
r e q u i r e d .
P r o v i d e t h e s y s t e m s a n d t o o l s n e c e s s a r y t o d o c u m e n t , t r a c k , m o n i t o r , a n d
c o n t r o l a c t i v i t i e s o f t h e D e s i g n - B u i l d e r a n d S y s t e m s I n t e g r a t o r , a n d t h e i r
p e r f o r m a n c e i n m e e t i n g t h e i r C o n t r a c t o b l i g a t i o n s .
P r o v i d e R C T C w i t h t e c h n i c a l s u p p o r t , a s r e q u i r e d , i n d e f i n i n g a n d p r o v i d i n g
m a r k e t i n g a n d p r o m o t i o n a l a c t i v i t i e s a s s o c i a t e d w i t h t h e T o l l e d E x p r e s s
L a n e s s t a r t u p . W o r k w i t h o t h e r f u n c t i o n a l g r o u p s a n d s t a k e h o l d e r s t o
c o o r d i n a t e t h e s e a c t i v i t i e s .
P r o v i d e R C T C w i t h t e c h n i c a l a n d a d m i n i s t r a t i v e s u p p o r t , a s r e q u i r e d , f o r
u p d a t e s t o f i n a n c i a l r e p o r t i n g r e q u i r e m e n t s a n d v a r i o u s t o l l i n g a g r e e m e n t s
a s s o c i a t e d w i t h t h e T o l l e d E x p r e s s L a n e s s t a r t u p .
R e v i e w o p e r a t i o n s m a n u a l s a n d t o l l f a c i l i t y s t a r t - u p b y t h e O p e r a t o r .
C o o r d i n a t e a c t i v i t i e s o f t h e O p e r a t o r a n d t o l l f a c i l i t y o p e r a t i o n s w i t h t h e
r e m a i n 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 o f t h e D e s i g n - B u i l d e r a n d S y s t e m s
I n t e g r a t o r .
A - 1 6
3.2 Toll Systems Installation & Testing (OS)
• Provide oversight of the Design-Builder's toll infrastructure work, including
power and communications conduit duct banks, gantries, changeable
message sign (CMS) and camera pole installation, toll utility buildings, and
emergency backup generators; document compliance with the Contract
requirements; and obtain signoff and acceptance by RCTC and the Systems
Integrator.
• Provide oversight of the Systems Integrator work, including roadside tolling
equipment, communications and power, express lane cameras, CMS
signage, traffic operations, and data center buildout; document compliance
with the Contract requirements; and obtain signoff and acceptance by RCTC
and other stakeholder agencies, as required.
• Provide coordination between Design-Builder activities and Systems
Integrator activities to address proper integration with the design, installation,
testing, and startup of the toll systems.
• Provide review of Design-Builder's design with regards to the toll system
infrastructure work, including communications and power conduit duct banks,
vaults and roadside equipment cabinet installations, gantries, CMS and
camera pole installation, toll utility buildings, emergency backup generators,
and integration of the Design-Builder requirements with the requirements of
the Systems Integrator Scope of Services.
• Perform management and oversight of the Systems Integrator Contract
requirements, including compliance to the safety plan, design and installation
of the roadside toll equipment, communications and power installation,
cameras, CMS signage, and the expansion of the existing operations and
service centers to accommodate RCTC's requirements for the Tolled
Express Lanes.
• Coordinate with OCT A the facility-owner improvements to the Toll Operations
and Customer Service Center to support the buildout for RCTC toll systems
implementation, including traffic operations center and data center
workstations, as well as associated communications and power
improvements.
• Perform and coordinate the review of Design-Builder shop drawings and
submittals with the Systems Integrator.
• Observe and identify all Systems Integrator potential changes in scope based
on Systems Integrator and/or Design-Builder's activities, and review all
change orders submitted, perform required analyses, and coordinate
potential changes, as necessary, with Systems Integrator and/or Design-
A-17
EXHIBIT A-2
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B u i l d e r . M a i n t a i n s e p a r a t e l o g a n d f i l e s t o d o c u m e n t a l l p o t e n t i a l a n d a c t u a l
c h a n g e s .
" P e r f o r m r e v i e w o f S y s t e m s I n t e g r a t o r s u b m i t t a l s a n d t e s t i n g a n d s t a r t u p
p l a n s , a n d p r o v i d e s o v e r s i g h t o f t h e s y s t e m s t e s t i n g a n d s t a r t u p
r e q u i r e m e n t s b y t h e S y s t e m s I n t e g r a t o r , i n 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 .
O b t a i n t e s t i n g a n d a c c e p t a n c e s i g n o f f s b y R C T C a n d o t h e r s t a k e h o l d e r
a g e n c i e s .
3 . 3 O p e r a t i o n s P l a n n i n g
" R e v i e w S y s t e m s I n t e g r a t o r s u b m i t t a l s a n d o b t a i n m a n u f a c t u r e r w a r r a n t i e s ,
a s - b u i l t d r a w i n g s , a n d t r a i n i n g m a t e r i a l s a n d m a n u a l s r e q u i r e d u n d e r t h e
C o n t r a c t .
" P r o v i d e o v e r s i g h t a n d r e v i e w o f t r a i n i n g m a n u a l s , c o o r d i n a t e t r a i n i n g
s e s s i o n s p a r t i c i p a t i o n p r o v i d e d b y t h e S y s t e m s I n t e g r a t o r , a n d r e v i e w
a t t e n d a n c e a n d t r a i n i n g c o m p l e t e d b y t h e t r a i n i n g p a r t i c i p a n t s .
" R e v i e w o p e r a t i o n s m a n u a l s a n d t o l l f a c i l i t y s t a r t u p b y t h e O p e r a t o r .
C o o r d i n a t e a c t i v i t i e s o f t h e O p e r a t o r a n d t o l l f a c i l i t y o p e r a t i o n s w i t h t h e
r e m a i n 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 o f t h e D e s i g n - B u i l d e r .
3 . 4 T o l l S y s t e m s D e s i g n S u p p o r t
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P r o v i d e o v e r a l l p r o j e c t a d m i n i s t r a t i o n , c o o r d i n a t i o n a n d t e c h n i c a l r e v i e w o f
D e s i g n - B u i l d e r ' s d e s i g n , s c h e d u l e , d r a w i n g s , d a t a a n d s a m p l e s .
D e v e l o p c o m m u n i c a t i o n s n e t w o r k i n f r a s t r u c t u r e c o n c e p t d e s i g n .
P r o v i d e p r o j e c t o v e r s i g h t o f a c t i v i t i e s r e g a r d i n g p r o j e c t m a n a g e m e n t ,
a d m i n i s t r a t i o n a s s i s t a n c e a n d s u p p o r t f o r t h e D e s i g n - B u i l d e r d e s i g n .
(
P r o j e c t o v e r s i g h t o f t e c h n i c a l r e v i e w o f r o a d s i d e t o l l e q u i p m e n t i n f r a s t r u c t u r e
d e s i g n o f D e s i g n - B u i l d e r .
P r o j e c t o v e r s i g h t o f t e c h n i c a l r e v i e w o f c o m m u n i c a t i o n s i n f r a s t r u c t u r e d e s i g n
o f D e s i g n - B u i l d e r .
D e l i v e r a b l e s D a t e
T o l l i n g V e n d o r C o n t r a c t s ( e x e c u t e d ) P r i o r t o O p e n i n g D a y
C a l t r a n s M a i n t e n a n c e A g r e e m e n t ( e x e c u t e d ) P r i o r t o O p e n i n g D a y
C a l i f o r n i a H i g h w a y P a t r o l ( C H P ) E n f o r c e m e n t P r i o r t o O p e n i n g D a y
A g r e e m e n t ( e x e c u t e d )
F a s T r a c k L i c e n s e A g r e e m e n t ( e x e c u t e d ) J a n u a r y 2 0 1 4
A n a h e i m F a c i l i t y B u i l d - O u t D e s i g n J a n u a r y 2 0 1 4
A - 1 8
E X H I B I T A - 2
Deliverables Date
Corona Customer Service Center (CSC) Build-Out January 2014
Design
FHWA SEMP Document updates As needed
FHWA Outstanding SEMP Documents December 2013
Finalize Updates to Business Rules August 2016
Identify Federal, State, or Local Updates to Tolling As needed
Regulations
Identify Potential New and/or Improvements to Toll As needed
Technology
Identify Potential Marketing Efforts for Express Lane March 2016
Startup
Finalize Updates to Financial Reporting Prior to Opening Day
Requirements
Design-Builder's Toll Infrastructure Signoff June 2016
Systems Integrator's Signoff by RCTC and Prior to Start of Training
Stakeholders
Design-Builder's Contract Compliance Reports As needed
Systems Integrator's Contract Compliance Reports As needed
Systems Integrator Final Acceptance Test Report No Earlier than 90 Days
after Opening Day
Communications Network Infrastructure Concept June 2013
Design Report
D. Task 400 -Contracts Management
Provide Contract management and administration services to monitor performance by
the Design-Builder and Systems Integrator to the requirements of the Design-Builder
and Systems Integrator Contracts. This includes Disadvantage Business Enterprise
(DBE) subcontracting performance, labor compliance, administration of change
management processes, and claims support on behalf of RCTC. In support of RCTC,
define, prepare, and administer procurement for additional Project-related design and
construction activities for environmental mitigation work such as soundwalls, and other
minor environmental work outside the Project limits. Contract management and
administration services include:
4.02 Contracts Management
•
EXHIBIT A-2
Provide general management and Contract administration requirements for
the Project. This includes identification and allocation of staffing resources to
accomplish specific Contract administration tasks; integration and
coordination with the functional groups on Contract matters; and attendance
to meetings to coordinate Contract management-related activities and
A-19
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d e l i v e r a b l e s w i t h t h e D e s i g n - B u i l d e r , S y s t e m s I n t e g r a t o r , a n d s t a k e h o l d e r
e n t i t i e s a s s o c i a t e d w i t h t h e P r o j e c t . I d e n t i f y i s s u e s w i t h r e g a r d t o D e s i g n -
B u i l d e r a n d S y s t e m s I n t e g r a t o r ' s c o m p l i a n c e t o t h e D e s i g n - B u i l d e r a n d
S y s t e m s I n t e g r a t o r C o n t r a c t s , p r o v i d e a n a l y s e s , a n d m a k e r e c o m m e n d a t i o n s
t o r e s o l v e i s s u e s f o r R C T C a p p r o v a l .
" P r o v i d e t h e s y s t e m s a n d t o o l s a p p r o p r i a t e t o t r a c k , m o n i t o r , d o c u m e n t , a n d
r e p o r t o n D e s i g n - B u i l d e r a n d S y s t e m s I n t e g r a t o r ' s c o m p l i a n c e t o t h e
C o n t r a c t , a n d t i m i n g o f a c t i o n s , r e c o m m e n d a t i o n s , a n d a p p r o v a l s .
" C o o r d i n a t e a n d m a n a g e a d d i t i o n a l R C T C C o n t r a c t s i n c o n n e c t i o n w i t h t h e
C o m p l e x R O W M i t i g a t i o n a n d B i o l o g i c a l M i t i g a t i o n .
" C o o r d i n a t e a n d m a n a g e C o n t r a c t c o m p l i a n c e b e t w e e n R C T C a n d P a r s o n s ,
p r o v i d i n g c o m m u n i c a t i o n s a n d c o r r e s p o n d e n c e i n a d d r e s s i n g c l a r i f i c a t i o n s
a n d a m e n d m e n t s . M o n i t o r c o m p l i a n c e w i t h F e d e r a l , S t a t e , a n d L o c a l a g e n c y
r e q u i r e m e n t s , a n d i n c l u d i n g :
D o c u m e n t c o m p l i a n c e t o F e d e r a l , S t a t e , a n d L o c a l a g e n c y r e q u i r e m e n t s ,
i n c l u d i n g o u t l i n i n g c o m m i t m e n t s a n d o b l i g a t i o n s c o n t a i n e d i n a p p l i c a b l e
a g r e e m e n t s .
P r o v i d e r e g u l a r u p d a t e s t o a u d i t e d o v e r h e a d r a t e s a s r e q u e s t e d b y
R C T C , i n c l u d i n g t h o s e o f P a r s o n s a n d S u b c o n s u l t a n t s .
P r o v i d e a d m i n i s t r a t i o n a n d c o m p l i a n c e t o P a r s o n s C o n t r a c t c o m m e r c i a l
r e q u i r e m e n t s , i n c l u d i n g i n v o i c e c o m p l i a n c e t o C o n t r a c t c o m p e n s a t i o n ,
a n d c o m p l i a n c e t o s c h e d u l e a n d i n s u r a n c e r e q u i r e m e n t s .
I s s u e s u b c o n t r a c t a g r e e m e n t s a s n e c e s s a r y f o r n e w s e r v i c e s .
" C o o r d i n a t e a n d p r o v i d e o v e r s i g h t o v e r R O W d e m o l i t i o n C o n t r a c t s p e r f o r m e d
u n d e r P a r s o n s S u b c o n t r a c t w i t h R O W c o n s u l t a n t .
" C o o r d i n a t e w i t h v a r i o u s F e d e r a l , S t a t e , a n d L o c a l a g e n c i e s t o s u p p o r t c e r t a i n
P r o j e c t r e q u i r e m e n t s a s s o c i a t e d w i t h t h e t i m e l y d e l i v e r y o f t h e P r o j e c t ,
p a r t i c u l a r l y w i t h t h o s e c o m m i t m e n t s a n d o b l i g a t i o n s a s s o c i a t e d w i t h
c o o p e r a t i v e a g r e e m e n t s b e t w e e n R C T C a n d t h e r e s p e c t i v e a g e n c y . T h e
r e s p e c t i v e a g e n c i e s i n c l u d e O C T A , C i t i e s o f C o r o n a a n d R i v e r s i d e , C a l t r a n s ,
a n d F H W A .
" S c h e d u l e , c o o r d i n a t e , a n d a t t e n d m e e t i n g s t o s u p p o r t a l l P r o j e c t - r e l a t e d
C o n t r a c t a d m i n i s t r a t i o n a c t i v i t i e s , i n c l u d i n g , w h e r e a p p r o p r i a t e , p r o v i d i n g
a g e n d a , m e e t i n g m i n u t e s , a n d a c t i o n i t e m l i s t i n g s .
4 . 0 3 C o n t r a c t A d m i n i s t r a t i o n
A - 2 0
E X H I B I T A - 2
" E s t a b l i s h P r o j e c t c o r r e s p o n d e n c e a n d c o m m u n i c a t i o n p r o c e d u r e s a n d
p r o t o c o l s c o n s i s t e n t w i t h t h e r e q u i r e m e n t s o f t h e D e s i g n - B u i l d e r a n d
S y s t e m s I n t e g r a t o r C o n t r a c t s , a n d m o n i t o r a n d t r a c k c o m p l i a n c e t o t h e s e
r e q u i r e m e n t s .
" P r o c e s s D e s i g n - B u i l d e r a n d S y s t e m s I n t e g r a t o r c o r r e s p o n d e n c e u n d e r t h e
P r o j e c t r e q u i r e m e n t s i n a t i m e l y m a n n e r t o s u p p o r t R C T C a n d s t a k e h o l d e r
a g e n c y a p p r o v a l s .
" R e v i e w D e s i g n - B u i l d e r a n d S y s t e m s I n t e g r a t o r p a y m e n t a p p l i c a t i o n s , a l o n g
w i t h P r o j e c t C o n t r o l s , f o r c o m p l i a n c e t o C o n t r a c t c o m m e r c i a l r e q u i r e m e n t s .
I d e n t i f y a r e a s o f c o n c e r n a n d r e s o l v e w i t h D e s i g n - B u i l d e r a n d S y s t e m s
I n t e g r a t o r a n d R C T C .
" I d e n t i f y t h e a m o u n t o f t h e f i n a l p a y m e n t d u e t o D e s i g n - B u i l d e r a n d a s s i s t
R C T C w i t h p r o c e s s i n g a n y f i n a l C o n t r a c t c h a n g e s a n d t h e r e s o l u t i o n o f a n y
c l a i m s . O b t a i n e v i d e n c e o f c e r t i f i c a t i o n o f a l l l i e n r e l e a s e s , t r a n s f e r o f t i t l e t o
a p p r o p r i a t e a g e n c i e s , a n d c e r t i f i c a t i o n o f d e l i v e r y o f f i n a l r e c o r d d r a w i n g s t o
C a l t r a n s . S e c u r e a n d t r a n s m i t t o R C T C a l l r e q u i r e d t u r n - o v e r i t e m 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 , g u a r a n t e e s , a f f i d a v i t s , r e l e a s e s , b o n d s , w a i v e r s ,
k e y s , m a n u a l s , a n d m a i n t e n a n c e s t o c k .
" P r e p a r e f i n a l P r o j e c t a c c o u n t i n g a n d c l o s e o u t r e p o r t s o f a l l r e p o r t i n g a n d
d o c u m e n t c o n t r o l s y s t e m s . O r g a n i z e a l l p e r t i n e n t d a t a , p u r g e a l l f i l e s , a n d
s e n d t o d o c u m e n t c o n t r o l .
" P r e p a r e t h e f i n a l d o c u m e n t a t i o n t o r e l e a s e a l l l i e n s a n d r e c o m m e n d f i n a l
p a y m e n t a n d r e l e a s e o f b o n d s a n d r e t e n t i o n .
" P r o v i d e t h e s y s t e m s a n d t o o l s t o p r o v i d e d o c u m e n t a t i o n a n d t r a c k i n g o f
D e s i g n - B u i l d e r a n d S y s t e m s I n t e g r a t o r a n d P a r s o n s ' C o n t r a c t c o m p l i a n c e .
" P r e p a r e a n d i s s u e R C T C - d i r e c t e d c h a n g e o r d e r s i n c o m p l i a n c e w i t h t h e
D e s i g n - B u i l d e r a n d S y s t e m s I n t e g r a t o r C o n t r a c t r e q u i r e m e n t s a n d p r o c e s s
w i t h t h e D e s i g n - B u i l d e r a n d S y s t e m s I n t e g r a t o r f o r n e c e s s a r y a p p r o v a l s .
" R e v i e w a n d a n a l y z e D e s i g n - B u i l d e r a n d S y s t e m s I n t e g r a t o r i n i t i a t e d c h a n g e
o r d e r s f o r c o m p l i a n c e w i t h D e s i g n - B u i l d e r a n d S y s t e m s I n t e g r a t o r C o n t r a c t
r e q u i r e m e n t s , a n d p r o c e s s f o r a p p r o v a l b y R C T C a n d o t h e r s t a k e h o l d e r
a g e n c i e s , i n c l u d i n g C a l t r a n s a n d F H W A .
" P e r f o r m r e g u l a r r e v i e w a n d d o c u m e n t a t i o n o f D e s i g n - B u i l d e r a n d S y s t e m s
I n t e g r a t o r c o m m u n i c a t i o n s f o r c h a n g e s a n d c l a i m s , a n d r e p o r t t o R C T C w i t h
r e c o m m e n d a t i o n s a n d a c t i o n s .
"
E X H I B I T A - 2
P r o v i d e r e p o r t i n g t o o l s a n d c h a n g e o r d e r l o g s t o p r o p e r l y t r a c k a n d m o n i t o r
c h a n g e n o t i c e s , c h a n g e o r d e r s , a n d c l a i m s t o i d e n t i f y t r e n d s a n d m e a s u r e
c o s t a n d s c h e d u l e i m p a c t s .
A - 2 1
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4 . 0 4 P r o c u r e m e n t S e r v i c e s
" P r o v i d e f i n a l c o o r d i n a t i o n a n d a d m i n i s t r a t i o n o f t h e s o l i c i t a t i o n a n d
p r o c u r e m e n t o f r e m a i n i n g C o m p l e x P r o p e r t y M i t i g a t i o n c o n s t r u c t i o n w o r k .
" � P r o v i d e f i n a l c o o r d i n a t i o n a n d a d m i n i s t r a t i o n o f s o l i c i t a t i o n a n d p r o c u r e m e n t
s u p p o r t f o r d e m o l i t i o n o f p r o p e r t i e s t o s u p p o r t D e s i g n - B u i l d e r c o n s t r u c t i o n
s c h e d u l e .
" P r o v i d e d e s i g n a n d c o n s t r u c t i o n s o l i c i t a t i o n a n d 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 o r d i n a t e a n d a d m i n i s t e r t h e p r o c u r e m e n t f o r B i o l o g i c a l M i t i g a t i o n w o r k
o u t s i d e t h e P r o j e c t l i m i t s .
4 . 0 5 R i s k M a n a g e m e n t
" P e r f o r m o n g o i n g P r o j e c t r i s k i d e n t i f i c a t i o n a n d m a n a g e m e n t a c t i v i t i e s b y
w o r k i n g w i t h t h e v a r i o u s P r o j e c t w o r k g r o u p s , i n c l u d i n g t h e D e s i g n - B u i l d e r
a n d S y s t e m s I n t e g r a t o r .
" P r o v i d e p e r i o d i c u p d a t e s o f t h e R i s k R e g i s t e r s h o w i n g r e s o l u t i o n a n d
m i t i g a t i o n o f d e f i n e d P r o j e c t r i s k s , i d e n t i f i c a t i o n o f n e w r i s k s , a n d r e q u i r e d
m i t i g a t i o n m e a s u r e s .
" P r o v i d e a l l n e c e s s a r y r e p o r t s a n d a c t i o n s r e q u e s t e d b y R C T C t o s u p p o r t
r e q u e s t s o f C a l t r a n s o r F H W A i n d o c u m e n t i n g a d h e r e n c e t o r i s k
m a n a g e m e n t r e q u i r e m e n t s a n d p r a c t i c e s .
4 . 0 6 D B E - L a b o r C o m p l i a n c e
" P r o v i d e o v e r s i g h t o f D B E a n d l a b o r c o m p l i a n c e o f t h e D e s i g n - B u i l d e r a n d
S y s t e m s I n t e g r a t o r a n d s u p p o r t t o R C T C , i n c l u d i n g c o m p l i a n c e b y t h e
D e s i g n - : B u i l d e r a n d S y s t e m s I n t e g r a t o r o f t h e i r D B E P e r f o r m a n c e P l a n , a n d
a s i t r e l a t e s t o F e d e r a l , S t a t e , a n d L o c a l r e q u i r e m e n t s f o r p r e v a i l i n g w a g e s
a n d D a v i s - B a c o n A c t r e q u i r e m e n t s . L a b o r c o m p l i a n c e s e r v i c e s a l s o i n c l u d e
s u p p o r t t o R C T C ' s D B E a n d l a b o r c o m p l i a n c e r e q u i r e m e n t s f o r t h e P r o j e c t .
" P r o v i d e o v e r s i g h t o f D e s i g n - B u i l d e r a n d S y s t e m s I n t e g r a t o r ' s c o m p l i a n c e t o
t h e i r D B E P e r f o r m a n c e P l a n s , i n c l u d i n g :
E X H I B I T A - 2
C o o r d i n a t e w i t h D e s i g n - B u i l d e r a n d S y s t e m s I n t e g r a t o r ' s D B E
c o m p l i a n c e o f f i c e r i n t h e i r m e e t i n g o f t h e i r D B E P e r f o r m a n c e P l a n
A - 2 2
requirements and commitments, including subcontracting to DBE firms,
payments to DBE firms, and attainment of their subcontracting goals.
Establish meetings on a regular basis to identify performance issues and
work with them to identify means to obtain their goals through work
allocation and subcontracting, and outreach of DBE business entities.
Review and monitor eligibility of DBE firms and review subcontracts for
proper language providing opportunities for DBE firms.
Regularly collect data and oversee Design-Builder and Systems
Integrator's collection of data for proper reporting to RCTC and the State.
Provide guidance and support to RCTC, as appropriate, on Design-
Builder and Systems Integrator's meeting of the program goal and
reporting to Federal, State, and Local agencies.
• Coordinate with RCTC relating to their compliance with California's
Department of Industrial Relations (DIR) requirements for labor compliance,
including:
Provide technical guidance and coordinate with RCTC to establish the
appropriate reporting requirements and information necessary for the DIR
to perform labor compliance on the Project.
Provide periodic audits of Design-Builder and Systems Integrator's
compliance to DIR requirements and information needed for labor
compliance monitoring.
Support RCTC with coordinating with DIR, as necessary, on their
performance of Project review audits and site interviews.
Periodically review with RCTC their compliance to State and Federal
requirements for labor compliance.
• Observe and monitor Design-Builder and Systems Integrator's labor relations
with labor organizations on behalf of RCTC, periodically review labor
practices on the Project, and discuss labor issues with the Design-Builder
and Systems Integrator, as appropriate, to mitigate potential for delays to
Project completion. Make recommendations, as appropriate, on resolution of
labor issues to RCTC.
• Monitor Design-Builder and Mitigation/Demolition Contractor(s)' compliance
to labor code requirements and provisions for labor harmony on the Project.
4.07 Subcontract Administration
A-23
EXHIBIT A-2
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" C o o r d i n a t e a n d m a n a g e s u b c o n s u l t a n t a g r e e m e n t s ; i s s u e s u p p l e m e n t a l
a g r e e m e n t s f o r d e l i v e r a b l e s a n d b u d g e t i n g o f s p e c i f i c w o r k t a s k s i d e n t i f i e d
u n d e r P h a s e 2 c o n s i s t e n t w i t h s u b c o n s u l t a n t ' s o r i g i n a l S c o p e o f W o r k ; a n d
p r o c e s s s u p p l e m e n t a l a g r e e m e n t s f o r i n t e r n a l a p p r o v a l s , a s r e q u i r e d . W o r k
w i t h d i s c i p l i n e l e a d s o n s c o p e d e v e l o p m e n t s a n d P r o j e c t C o n t r o l s f o r p r o p e r
b u d g e t a l l o c a t i o n s .
" M o n i t o r s u b c o n s u l t a n t a g r e e m e n t s f o r c o m p l i a n c e w i t h t e r m s a n d c o n d i t i o n s ,
i n c l u d i n g c u r r e n t i n s u r a n c e r e q u i r e m e n t s , u p d a t e d o v e r h e a d r a t e s , s c o p e
a n d s c h e d u l e r e q u i r e m e n t s , a n d c h a n g e m a n a g e m e n t . P r e p a r e
c o r r e s p o n d e n c e a n d m a i n t a i n e f f e c t i v e c o m m u n i c a t i o n w i t h s u b c o n s u l t a n t s .
" R e v i e w s u b c o n s u l t a n t i n v o i c e s , a s a p p l i c a b l e .
" C o o r d i n a t e a n d m o n i t o r c l o s e - o u t o f s u b c o n s u l t a n t a g r e e m e n t s i n c l u d i n g f i n a l
s u b m i t t a l s , r e l e a s e s , a n d r e p o r t s , a s r e q u i r e d .
4 . 0 8 D o c u m e n t C o n t r o l s M a n a g e m e n t
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P r o v i d e a n d m a i n t a i n R C T C - P a r s o n s d o c u m e n t c o n t r o l f o r P r o j e c t
c o r r e s p o n d e n c e , i n c l u d i n g t r a n s m i t t a l s a n d l e t t e r c o r r e s p o n d e n c e . O v e r s e e
i n t e g r a t i o n o f t h e P C M a n d R C T C d o c u m e n t c o n t r o l p r o c e s s a n d s y s t e m s ,
i n c l u d i n g a d m i n i s t r a t i o n o f t h e R C T C e R o o m a n d l n f o W o r k s s y s t e m s , w i t h
t h e D e s i g n - B u i l d e r s y s t e m o n c e i d e n t i f i e d .
P r o v i d e d o c u m e n t m a n a g e m e n t a n d c o n t r o l o f a l l D e s i g n - B u i l d e r a n d
S y s t e m s I n t e g r a t o r s u b m i t t a l s a n d c o r r e s p o n d e n c e . I n t e g r a t e t h e D e s i g n -
B u i l d e r a n d R C T C d o c u m e n t m a n a g e m e n t p r o c e d u r e s , s y s t e m s , a n d t o o l s i n
s u p p o r t o f t r a n s m i t t a l , s u b m i t t a l p r o c e s s i n g , a n d a p p r o v a l r e q u i r e m e n t s . T h i s
a c t i v i t y w i l l i n c l u d 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 o r d e s i g n r e v i e w s , R F l s , a n d
s u b m i t t a l s . M a i n t a i n t h e s y s t e m s , t o o l s , a n d t h e f i l i n g , s t o r a g e , a n d r e t e n t i o n
o f P r o j e c t d o c u m e n t a t i o n .
P r o v i d e t h e s y s t e m s a n d t o o l s f o r l o g g i n g , t r a c k i n g , r e p o r t i n g , a n d
d o c u m e n t i n g a l l r e q u i r e m e n t s a n d a c t i v i t i e s u n d e r P r o j e c t c o n t r o l s .
D e l i v e r a b l e s D a t e
B i o l o g i c a l M i t i g a t i o n C o n t r a c t D o c u m e n t s S e p t e m b e r 2 0 1 3
C o m p l e x M i t i g a t i o n # 3 C o n t r a c t D o c u m e n t s J a n u a r y 2 0 1 4
D e m o l i t i o n C o n t r a c t D o c u m e n t s S e p t e m b e r 2 0 1 3
R i s k R e g i s t e r M o n t h l y
C h a n g e O r d e r L o g M o n t h l y
D B E a n d L a b o r C o m p l i a n c e R e p o r t s a n d A u d i t s V a r i o u s
A - 2 4
E X H I B I T A - 2
D. Task 500 -Project Controls
Provide Project controls management and administration services related to the cost,
scheduling, estimating, and document management requirements for Parsons' Contract,
and the Contract between the Design-Builder, Systems Integrator, and RCTC, including
the necessary plans, procedures, tools, processes, and tasks for ongoing planning,
budgeting, and control of the Project. The specific Project controls activities planned
under Phase 2 include the following:
5.01 Project Controls Management
• Provide management of the budget, cost engineering, scheduling, estimating,
and document controls processes and procedures. Review the monthly
invoices for PCM and Design-Builder to maintain conformance with the WBS
cost structure.
• Provide monthly trend registers, cost, and schedule reports on Project
performance, both separate and in conjunction with, Design-Builder and
Systems Integrator reporting requirements. Reporting will be provided on
activities with stakeholder and third-party agencies. Provide any other
necessary documentation deemed required to support Project performance
monitoring.
• Update and document changes in the Project processes and procedures as
provided for in the PMP and submit, as necessary, for reviews and approvals
by RCTC, Caltrans, and FHWA.
• Perform periodic reviews and analyses of Design-Builder and Systems
Integrator's cost performance, as appropriate, to determine trends that may
result in potential claim situations, and document such analyses and monitor
trends.
• Monitor and report, as necessary, RCTC program costs that are external to
PCM Contract. This will include costs associated with the Project that are
incurred through other agreements, in accordance with State, Federal, or
Local requirements, or as otherwise defined under the PCM Contract, in a
format similar to Phase 1 reporting.
5.02 Cost Engineering
• Prepare monthly invoices for Contract services with adequate budget
allocation for actual costs incurred; check for compliance to Contract
compensation requirements; monitor charges to established WBS codes to
A-25
EXHIBIT A-2
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s u p p o r t c o s t c o n t r o l a n d r e p o r t i n g ; v e r i f y a p p r o p r i a t e n e s s o f c h a r g e s ; a n d
r e s p o n d t o R C T C q u e s t i o n s o r c o m m e n t s o n i n v o i c i n g .
" D e v e l o p b u d g e t i n g f o r w o r k t a s k s f o r P a r s o n s ' a c t i v i t i e s ; a s s i g n t a s k s a g a i n s t
t h e W B S ; m o n i t o r l a b o r c h a r g e s a n d e x p e n s e s f o r v a l i d i t y a n d p r o p e r c o d i n g ;
a n d p r o v i d e p r o g r e s s a n d r e p o r t i n g s u p p o r t f o r i n t e r n a l m a n a g e m e n t a n d
c l i e n t n e e d s .
" R e v i e w m o n t h l y i n v o i c e s / p r o g r e s s p a y m e n t s s u b m i t t e d b y t h e D e s i g n - B u i l d e r
a n d S y s t e m s I n t e g r a t o r a s t o c o m p l i a n c e w i t h C o n t r a c t r e q u i r e m e n t s a n d
p r o g r e s s a c h i e v e d o n t h e P r o j e c t .
" C o o r d i n a t e d e v e l o p m e n t o f r e p o r t s r e l a t e d t o R C T C p r o g r a m c o s t s t h a t a r e
e x t e r n a l a n d i n t e r n a l t o t h e P C M C o n t r a c t . C o o r d i n a t e w i t h D e s i g n - B u i l d e r t o
d e v e l o p a d d i t i o n a l r e p o r t s , a s n e c e s s a r y .
5 . 0 3 S c h e d u l i n g
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E X H I B I T A - 2
P r e p a r e a n d m a i n t a i n a n o v e r a l l P r o g r a m s c h e d u l e a n d c o o r d i n a t e w i t h
P r o j e c t d i s c i p l i n e s , i n c l u d i n g R O W , t o s c h e d u l e u p d a t e s a n d p r o v i d e m o n t h l y
r e p o r t i n g t o R C T C . I n c l u d e i d e n t i f i c a t i o n a n d a n a l y s i s o f r e s o u r c e c o n s t r a i n t s
a n d r e q u i r e m e n t s , a s a p p r o p r i a t e , a n d a n y c o n s t r a i n t s t o c o s t s a n d c a s h
f l o w .
P r o v i d e s c h e d u l e a n a l y s e s , a s r e q u i r e d , t o a d d r e s s s c h e d u l e i s s u e s a n d
c o n c e r n s r e s u l t i n g f r o m P r o j e c t a c t i v i t i e s , e i t h e r o f C a l t r a n s , R C T C , a n d / o r
P a r s o n s , o r o f t h e D e s i g n - B u i l d e r o r S y s t e m s I n t e g r a t o r . I n a d d r e s s i n g
i s s u e s , d e t e r m i n e a n d r e c o m m e n d r e c o v e r y a c t i o n s , i n c l u d i n g r e s o u r c e a n d
c a s h f l o w r e q u i r e m e n t s .
R e v i e w D e s i g n - B u i l d e r a n d S y s t e m s I n t e g r a t o r ' s 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 t o m o n i t o r c o m p l i a n c e w i t h t h e D e s i g n - B u i l d e r a n d S y s t e m
I n t e g r a t o r ' s C o n t r a c t s , a n d i n c o r p o r a t e D e s i g n - B u i l d e r ' s a n d S y s t e m s
I n t e g r a t o r ' s s c h e d u l e i n t o t h e m a s t e r p r o g r a m s c h e d u l e . P r o v i d e a n a l y s i s a n d
d o c u m e n t a l l s c h e d u l e c h a n g e s a n d t h e i r i m p a c t s t o t h e b a s e l i n e s c h e d u l e ,
a n d r e q u e s t a n d a n a l y z e r e c o m m e n d a t i o n s o f D e s i g n - B u i l d e r a n d S y s t e m s
I n t e g r a t o r ' s r e c o v e r y p l a n s .
P a r t i c i p a t e i n w e e k l y D e s i g n - B u i l d e r a n d S y s t e m s I n t e g r a t o r ' s s c h e d u l i n g
m e e t i n g s t o c o o r d i n a t e r e s p e c t i v e s c h e d u l e s , i d e n t i f y a r e a s o f s c h e d u l e
c o n c e r n , m o n i t o r s c h e d u l e p e r f o r m a n c e , a n d t r a c k s c h e d u l e a l i g n m e n t o f
w e e k l y s c h e d u l e s t o P r o j e c t s c h e d u l e s .
A - 2 6
" S c h e d u l e , c o o r d i n a t e , a n d a t t e n d m e e t i n g s , a s n e c e s s a r y , t o s u p p o r t P r o j e c t
s c h e d u l e a c t i v i t i e s , i n c l u d i n g p r e p a r a t i o n o f a g e n d a s , m e e t i n g m i n u t e s , a n d
a c t i o n i t e m s .
" P r o v i d e m o n t h l y s c h e d u l e r e p o r t s o n P r o j e c t p e r f o r m a n c e , b o t h s e p a r a t e a n d
i n c o n j u n c t i o n w i t h , D e s i g n - B u i l d e r a n d S y s t e m s I n t e g r a t o r ' s r e p o r t i n g
r e q u i r e m e n t s . P r o v i d e a n y o t h e r n e c e s s a r y s u p p o r t s d e e m e d r e q u i r e d t o
s u p p o r t P r o j e c t p e r f o r m a n c e m o n i t o r i n g .
5 . 0 4 C o s t E s t i m a t i n g
" P r o v i d e r e v i e w a n d a n a l y s e s o f p o t e n t i a l c h a n g e o r d e r s s u b m i t t e d b y t h e
D e s i g n - B u i l d e r a n d S y s t e m s I n t e g r a t o r , i n c l u d i n g p r e s e n t a t i o n o f c o s t a n d
s c h e d u l e i m p a c t s , s o l u t i o n s t o m i t i g a t e i m p a c t s , a n d r e c o m m e n d a t i o n s t o
R C T C a n d o t h e r s t a k e h o l d e r a g e n c i e s f o r a p p r o v a l .
" P r o v i d e e s t i m a t i n g s u p p o r t , a s n e c e s s a r y , t o r e v i e w a n d a n a l y z e D e s i g n -
B u i l d e r a n d S y s t e m I n t e g r a t o r ' s c h a n g e s a n d v a l u e e n g i n e e r i n g p r o p o s a l s .
P r o v i d e r e c o m m e n d a t i o n s t o R C T C .
D e l i v e r a b l e s D a t e
S R - 9 1 P r o g r a m a n d B a s e l i n e S c h e d u l e S e p t e m b e r 2 0 1 3
M o n t h l y P r o g r e s s a n d P e r f o r m a n c e R e p o r t M o n t h l y
E . T a s k 6 0 0 - 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 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 s e r v i c e s f o r c o n s t r u c t i o n q u a l i t y o v e r s i g h t a n d
c o m p l i a n c e t o C o n t r a c t r e q u i r e m e n t s b y D e s i g n - B u i l d e r , i n a c c o r d a n c e w i t h A B 2 0 9 8 ,
a n d i n c o o r d i n a t i o n w i t h C a l t r a n s i n d e p e n d e n t Q A a n d c o n s t r u c t i o n i n s p e c t i o n s e r v i c e s .
T h e s e s e r v i c e s i n c l u d e :
6 . 0 1 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 v i d e a n d i m p l e m e n t a c o n s t r u c t i o n m a n a g e m e n t s t a f f i n g p l a n t h a t
i n t e g r a t e s w i t h C a l t r a n s ' r o l e , r e s p o n s i b i l i t i e s , a n d s t a f f i n g f o r t h e P r o j e c t a n d
p r o v i d e s t h e n e c e s s a r y r e s o u r c e s a n d c a p a b i l i t i e s t o o v e r s e e a n d m o n i t o r
t h e q u a l i t y o f c o n s t r u c t i o n b y t h e D e s i g n - B u i l d e r .
" M o n i t o r t h e D e s i g n - B u i l d e r ' s o v e r a l l p l a n n i n g o f c o n s t r u c t i o n a c t i v i t i e s t o
i d e n t i f y c r i t i c a l m i l e s t o n e s a n d p r i o r i t i e s , a n d t o d e t e r m i n e b u d g e t e s t i m a t e s
a n d s t a f f i n g r e q u i r e m e n t s f o r t h e d e f i n e d s c o p e a n d s c h e d u l e .
A - 2 7
E X H I B I T A - 2
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" C o n d u c t p r o g r e s s e v a l u a t i o n s , r e v i e w s , a n d a n a l y s e s t o a s s e s s D e s i g n -
B u i l d e r a n d M i t i g a t i o n D e s i g n E n g i n e e r a n d M i t i g a t i o n / D e m o l i t i o n
C o n t r a c t o r ( s ) ' p e r f o r m a n c e , a n d r e c o m m e n d c o r r e c t i v e a c t i o n a s n e c e s s a r y .
" S u p p o r t p r e p a r a t i o n o f t h e m o n t h l y r e p o r t o f c o n s t r u c t i o n a c t i v i t y a n d
p r o g r e s s t h a t r e l a t e s t o D e s i g n - B u i l d e r a n d M i t i g a t i o n D e s i g n E n g i n e e r a n d
M i t i g a t i o n / D e m o l i t i o n C o n t r a c t o r ( s ) ' p r o g r e s s a n d c o m p l i a n c e t o C o n t r a c t
r e q u i r e m e n t s .
" F i e l d m o n i t o r D e s i g n - B u i l d e r a n d M i t i g a t i o n / D e m o l i t i o n C o n t r a c t o r ( s ) '
c o n s t r u c t i o n a c t i v i t i e s a n d c o m p l i a n c e t o t h e i r s a f e t y p l a n . N o t e c o n c e r n s o r
d e f i c i e n c i e s i m m e d i a t e l y t o D e s i g n - B u i l d e r a n d M i t i g a t i o n / D e m o l i t i o n
C o n t r a c t o r ( s ) f o r t h e i r i m p l e m e n t a t i o n o f c o r r e c t i v e m e a s u r e s .
" D e v e l o p / i m p l e m e n t a f i e l d i s s u e r e s o l u t i o n p r o g r a m , i n c l u d i n g i s s u e
i d e n t i f i c a t i o n a n d r e s o l u t i o n b y t h e D e s i g n - B u i l d e r , M i t i g a t i o n / D e m o l i t i o n
C o n t r a c t o r ( s ) , a n d a p p r o p r i a t e a g e n c i e s .
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E X H I B I T A - 2
O b s e r v e a n d i d e n t i f y a l l p o t e n t i a l c h a n g e s i n s c o p e b a s e d o n D e s i g n - B u i l d e r
a n d M i t i g a t i o n / D e m o l i t i o n C o n t r a c t o r ( s ) ' a c t i v i t i e s , r e v i e w a l l c h a n g e o r d e r s
s u b m i t t e d , a n d p e r f o r m r e q u i r e d a n a l y s e s a n d r e c o m m e n d a t i o n s t o R C T C
f o r d i s p o s i t i o n .
R e v i e w w o r k s t a t u s a n d r e c o m m e n d t o R C T C w h e n t h e P r o j e c t i s
s u b s t a n t i a l l y c o m p l e t e . P r e p a r e a s u m m a r y o f t h e s t a t u s o f t h e w o r k o f
D e s i g n - B u i l d e r a n d a " p u n c h l i s t " o f a n y i n c o m p l e t e w o r k o r w o r k t h a t d o e s
n o t c o n f o r m t o t h e C o n t r a c t d o c u m e n t s . C o o r d i n a t e a n d a s s i s t C a l t r a n s i n
c o n d u c t i n g f i n a l i n s p e c t i o n s a n d o v e r s e e c o m p l e t i o n o f a l l w o r k . R e c o m m e n d
R e l i e f o f M a i n t e n a n c e t o D e s i g n - B u i l d e r f o r a l l o r p o r t i o n s o f t h e P r o j e c t .
R e v i e w a n d r e c o m m e n d t o R C T C w h e n t h e M i t i g a t i o n a n d D e m o l i t i o n w o r k i s
s u b s t a n t i a l l y c o m p l e t e . P r e p a r e a s u m m a r y o f t h e s t a t u s o f t h e w o r k o f t h e
M i t i g a t i o n / D e m o l i t i o n C o n t r a c t o r ( s ) a n d a " p u n c h l i s t " o f a n y i n c o m p l e t e w o r k
t h a t d o e s n o t c o n f o r m t o t h e C o n t r a c t d o c u m e n t s .
C e r t i f y t h e a m o u n t o f t h e f i n a l p a y m e n t d u e t o M i t i g a t i o n D e s i g n E n g i n e e r
a n d M i t i g a t i o n / D e m o l i t i o n C o n t r a c t o r ( s ) a n d a s s i s t R C T C w i t h t h e p r o c e s s i n g
o f a n y f i n a l C o n t r a c t c h a n g e s a n d t h e r e s o l u t i o n o f a n y c l a i m s . O b t a i n
e v i d e n c e o f c e r t i f i c a t i o n o f a l l l i e n r e l e a s e s , t r a n s f e r o f t i t l e t o a p p r o p r i a t e
a g e n c i e s , a n d c e r t i f i c a t i o n o f d e l i v e r y o f f i n a l r e c o r d d r a w i n g s t o C a l t r a n s .
S e c u r e a n d t r a n s m i t t o R C T C a l l r e q u i r e d t u r n - o v e r i t e m 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 , g u a r a n t e e s , w a r r a n t i e s , a f f i d a v i t s , r e l e a s e s , b o n d s , w a i v e r s , k e y s ,
m a n u a l s , a n d m a i n t e n a n c e s t o c k .
A - 2 8
" C e r t i f y t h e a m o u n t o f t h e f i n a l p a y m e n t d u e t o D e s i g n - B u i l d e r a n d a s s i s t
R C T C w i t h t h e p r o c e s s i n g o f a n y f i n a l C o n t r a c t c h a n g e s a n d t h e r e s o l u t i o n o f
a n y c l a i m s . O b t a i n e v i d e n c e o f c e r t i f i c a t i o n o f a l l l i e n r e l e a s e s , t r a n s f e r o f t i t l e
t o a p p r o p r i a t e a g e n c i e s , a n d c e r t i f i c a t i o n o f d e l i v e r y o f f i n a l r e c o r d d r a w i n g s
t o C a l t r a n s . S e c u r e a n d t r a n s m i t t o R C T C a l l r e q u i r e d t u r n - o v e r i t e m 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 , g u a r a n t e e s , w a r r a n t i e s , a f f i d a v i t s , r e l e a s e s ,
b o n d s , w a i v e r s , k e y s , m a n u a l s , a n d m a i n t e n a n c e s t o c k .
6 . 0 2 C o n s t r u c t i o n S e r v i c e s & A d m i n i s t r a t i o n
" S u p p o r t t h e C o n s t r u c t i o n M a n a g e m e n t a n d R e s i d e n t E n g i n e e r D e s i g n -
B u i l d e r O v e r s i g h t t e a m s w i t h a d m i n i s t r a t i v e s u p p o r t s e r v i c e s . C o m p l e t e a
v a r i e t y o f r o u t i n e a n d n o n - r o u t i n e t a s k s a n d p r o j e c t s 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 r o c e d u r e s , o r a s d i r e c t e d . M a n a g e d o c u m e n t c o n t r o l f o r t h e
C o n s t r u c t i o n M a n a g e m e n t t e a m .
" S u p p o r t t h e C o n s t r u c t i o n M a n a g e m e n t a n d R e s i d e n t E n g i n e e r D e s i g n -
B u i l d e r O v e r s i g h t t e a m s a s t h e p r i m a r y l i a i s o n b e t w e e n o t h e r P r o j e c t
d e p a r t m e n t s a n d c o n s t r u c t i o n m a n a g e m e n t , e n s u r i n g t i m e l y a n d a c c u r a t e
d i s t r i b u t i o n o f i n f o r m a t i o n a n d m a t e r i a l s .
" S u p p o r t t h e C o n s t r u c t i o n M a n a g e m e n t a n d R e s i d e n t E n g i n e e r D e s i g n -
B u i l d e r O v e r s i g h t t e a m s i n r e s e a r c h i n g a n d c o m p i l i n g s t a t i s t i c a l i n f o r m a t i o n
a n d r e l a t e d d a t a a n d p r o d u c e s p e c i a l o r r e c u r r i n g r e p o r t s a n d c o m p l e t e
s p e c i a l p r o j e c t s a s a s s i g n e d . M a y m a i n t a i n a n d m o n i t o r t h e o p e r a t i n g b u d g e t
a s d i r e c t e d .
" E s t a b l i s h a n d m a i n t a i n d o c u m e n t a r c h i v i n g a n d r e t r i e v a l s y s t e m s , p r i o r i t i z i n g
t h e f l o w o f P r o j e c t r e p o r t s / c o r r e s p o n d e n c e , a n d e n s u r i n g t i m e l i n e s s i n t h e
h a n d l i n g , p r o c e s s i n g , a n d r e s o l u t i o n o f r e q u e s t s , r e q u i r e m e n t s , o r p r o b l e m s .
" E s t a b l i s h a n d m a i n t a i n f o l l o w - u p f i l e s a n d c o n f i d e n t i a l f i l e 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 t e a m .
" M a k e 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 r e v i s i o n s t o e x i s t i n g P r o j e c t p r a c t i c e s
a n d p o l i c i e s . S e r v e a s f o c a l p o i n t f o r g a t h e r i n g n e w l y p u b l i s h e d p o l i c i e s a n d
t h e d i s s e m i n a t i o n o f m a t e r i a l s .
" M a i n t a i n t h e C o n s t r u c t i o n M a n a g e m e n t t e a m m e e t i n g s c a l e n d a r . A s s i s t
C o n s t r u c t i o n M a n a g e m e n t t e a m i n c o o r d i n a t i n g P r o j e c t m e e t i n g s .
" M a n a g e p r o j e c t v e h i c l e f l e e t , m a i n t a i n i n g m o n t h l y i n s p e c t i o n , m a i n t e n a n c e
a n d f u e l i n g r e c o r d s .
A - 2 9
E X H I B I T A - 2
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6 . 0 3 P r o p e r t y M i t i g a t i o n
" M o n i t o r t h e o v e r a l l p l a n n i n g o f c o n s t r u c t i o n a c t i v i t i e s t o i d e n t i f y c r i t i c a l
m i l e s t o n e s a n d p r i o r i t i e s . D e t e r m i n e b u d g e t e s t i m a t e s f o r t h e m i t i g a t i o n a n d
d e m o l i t i o n d e f i n e d s c o p e s o f w o r k a n d s c h e d u l e s .
" C o o r d i n a t e a n d c o n d u c t p r e - c o n s t r u c t i o n a n d p r e - a c t i v i t y m e e t i n g s w i t h t h e
m i t i g a t i o n d e s i g n e n g i n e e r a n d t h e m i t i g a t i o n a n d d e m o l i t i o n c o n t r a c t o r ( s ) .
" P r o v i d e e n g i n e e r i n g a s s e s s m e n t o f p l a n s f o r a d e q u a c y o f d e s i g n , p a r t i c u l a r l y
w i t h r e s p e c t t o s u i t a b i l i t y t o a c t u a l f i e l d c o n d i t i o n s .
" E n s u r e c o m p l i a n c e w i t h 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 b y t h e m i t i g a t i o n a n d
d e m o l i t i o n c o n t r a c t o r ( s ) . R e c o m m e n d , m o d i f y , i n t e r p r e t , a n d e d i t s p e c i a l
p r o v i s i o n s a n d p r e p a r e m o d i f i c a t i o n e s t i m a t e s . K e e p n e c e s s a r y r e c o r d s
p e r t a i n i n g t o c o n s t r u c t i o n p r o g r e s s , b u d g e t p e r f o r m a n c e , a n d w o r k o r d e r
b a l a n c e s .
" M o n i t o r t h e m i t i g a t i o n a n d d e m o l i t i o n c o n t r a c t o r ( s ) c o n s t r u c t i o n Q C p r o g r a m ,
i n c l u d i n g t h e a d e q u a c y a n d c a p a b i l i t y o f Q C r e s o u r c e s . O v e r s e e a n d
p r o v i d e , a s n e c e s s a r y , n o t i f i c a t i o n t o t h e m i t i g a t i o n a n d d e m o l i t i o n
c o n t r a c t o r ( s ) o f r e j e c t e d w o r k w h e n i t i s t h e o p i n i o n t h a t t h e w o r k o r m a t e r i a l s
d o n o t c o n f o r m t o t h e r e q u i r e m e n t s o f t h e m i t i g a t i o n a n d d e m o l i t i o n C o n t r a c t
d o c u m e n t s .
" M o n i t o r c o m p l i a n c e o f m i t i g a t i o n a n d d e m o l i t i o n c o n t r a c t o r ( s ) s a f e t y p l a n a n d
n o t e c o n c e r n s o r d e f i c i e n c i e s i m m e d i a t e l y t o m i t i g a t i o n a n d d e m o l i t i o n
c o n t r a c t o r ( s ) f o r t h e i r i m p l e m e n t a t i o n o f c o r r e c t i v e a c t i o n s .
" O b s e r v e a n d i d e n t i f y a l l p o t e n t i a l c h a n g e s i n s c o p e b a s e d o n m i t i g a t i o n a n d
d e m o l i t i o n c o n t r a c t o r ( s ) a c t i v i t i e s , a n d r e v i e w a l l c h a n g e o r d e r s s u b m i t t e d .
P e r f o r m r e q u i r e d a n a l y s e s a n d p r e s e n t r e c o m m e n d a t i o n s t o R C T C f o r
d i s p o s i t i o n . M a i n t a i n s e p a r a t e l o g a n d f i l e s t o d o c u m e n t a l l p o t e n t i a l a n d
a c t u a l c h a n g e s .
" P r e p a r e a l l t e s t a n d i n s p e c t i o n r e c o r d s a n d e n s u r e s t h a t a l l n o n c o m p l i a n c e
r e p o r t s a r e s a t i s f a c t o r i l y r e s o l v e d .
6 . 0 4 R o a d w a y C o n s t r u c t i o n O v e r s i g h t
" M o n i t o r t h e o v e r a l l p l a n n i n g o f c o n s t r u c t i o n a c t i v i t i e s t o i d e n t i f y c r i t i c a l
m i l e s t o n e s a n d p r i o r i t i e s . D e t e r m i n e b u d g e t e s t i m a t e s a n d s t a f f i n g
r e q u i r e m e n t s f o r t h e r o a d w a y w o r k s c o p e a n d s c h e d u l e .
"
E X H I B I T A - 2
C o o r d i n a t e a n d c o n d u c t p r e - c o n s t r u c t i o n a n d p r e - a c t i v i t y m e e t i n g s w i t h t h e
D e s i g n - B u i l d e r .
A - 3 0
" P r o v i d e e n g i n e e r i n g a s s e s s m e n t o f p l a n s f o r a d e q u a c y o f d e s i g n , p a r t i c u l a r l y
w i t h r e s p e c t t o s u i t a b i l i t y t o a c t u a l f i e l d c o n d i t i o n s .
" E n s u r e c o m p l i a n c e w i t h 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 b y t h e D e s i g n - B u i l d e r ;
r e c o m m e n d , m o d i f y , i n t e r p r e t , a n d e d i t s p e c i a l p r o v i s i o n s a n d p r e p a r e
m o d i f i c a t i o n e s t i m a t e s ; a n d k e e p n e c e s s a r y r e c o r d s p e r t a i n i n g t o
c o n s t r u c t i o n p r o g r e s s , b u d g e t p e r f o r m a n c e , a n d w o r k o r d e r b a l a n c e s f o r t h e
s e g m e n t .
" M o n i t o r t h e D e s i g n - B u i l d e r ' s c o n s t r u c t i o n Q C p r o g r a m , i n c l u d i n g t h e
a d e q u a c y o f c a p a b i l i t y o f Q C r e s o u r c e s . O v e r s e e a n d p r o v i d e , a s n e c e s s a r y ,
n o t i f i c a t i o n t o t h e D e s i g n - B u i l d e r o f r e j e c t e d w o r k w h e n i t i s t h e o p i n i o n t h a t
t h e w o r k o r m a t e r i a l s d o n o t c o n f o r m t o t h e r e q u i r e m e n t s o f t h e D e s i g n - B u i l d
C o n t r a c t d o c u m e n t s .
" M o n i t o r c o m p l i a n c e o f D e s i g n - B u i l d e r ' s s a f e t y p l a n a n d n o t e c o n c e r n s o r
d e f i c i e n c i e s i m m e d i a t e l y t o D e s i g n - B u i l d e r f o r t h e i r i m p l e m e n t a t i o n o f
c o r r e c t i v e m e a s u r e s .
" O v e r s e e C a l t r a n s p e r f o r m a n c e o f p e r i o d i c c o n s t r u c t i o n i n s p e c t i o n a n d Q A
i n d e p e n d e n t o v e r s i g h t a c t i v i t i e s a n d t h e i r r e c o r d i n g o f d a i l y p r o g r e s s o f t h e
P r o j e c t w i t h a c c u r a t e a n d c o m p l e t e d a i l y i n s p e c t i o n r e p o r t s , i n c l u d i n g
w e a t h e r c o n d i t i o n s , w o r k p e r f o r m e d , n u m b e r o f w o r k e r s , p r o b l e m s
e n c o u n t e r e d , a n d o t h e r r e l e v a n t d a t a . M a i n t a i n a n i n d e p e n d e n t p h o t o g r a p h i c
l o g o f t h e c o n s t r u c t i o n p r o g r e s s i n d e x e d f o r e a s y r e t r i e v a l .
" R e v i e w a l l d e t o u r , l a n e c l o s u r e s , t e m p o r a r y a c c e s s , s i g n i n g , d e l i n e a t i o n , a n d
t r a f f i c m a n a g e m e n t a n d c o n t r o l p l a n s f o r c o m p l i a n c e w i t h C o n t r a c t
T r a n s p o r t a t i o n M a n a g e m e n t P l a n ( T M P ) r e q u i r e m e n t s a n d a l l s a f e t y l a w s
a n d r e g u l a t i o n s . N o t i f y a n y d e f i c i e n c i e s t o D e s i g n - B u i l d e r f o r t h e i r i m m e d i a t e
c o r r e c t i o n a n d c o m p l i a n c e . C o m m u n i c a t e a n y s p e c i a l n o t i c e s t o t h e p u b l i c
o u t r e a c h t e a m .
" O b s e r v e a n d i d e n t i f y a l l p o t e n t i a l c h a n g e s i n s c o p e b a s e d o n D e s i g n -
B u i l d e r ' s a c t i v i t i e s , a n d r e v i e w a l l c h a n g e o r d e r s s u b m i t t e d , p e r f o r m r e q u i r e d
a n a l y s e s , a n d p r e s e n t r e c o m m e n d a t i o n s t o R C T C f o r d i s p o s i t i o n . M a i n t a i n
s e p a r a t e l o g a n d f i l e s t o d o c u m e n t a l l p o t e n t i a l a n d a c t u a l c h a n g e s .
" P e r f o r m o v e r s i g h t a n d r e v i e w o f l a b o r a t o r y , s h o p , a n d m i l l t e s t r e p o r t s o f
m a t e r i a l s a n d e q u i p m e n t , a n d c o o r d i n a t i o n .
" M o n i t o r D e s i g n - B u i l d e r c o m p l i a n c e t o i n s p e c t i o n a n d s u r v e y s o f p r o p e r t i e s
a d j a c e n t t o t h e P r o j e c t t o m o n i t o r p o s s i b l e g r o u n d m o v e m e n t o r s t r u c t u r a l
d a m a g e t o p r o p e r t i e s t h a t m a y b e c a u s e d b y t h e w o r k s .
" M o n i t o r t e s t a n d i n s p e c t i o n r e c o r d s a n d n o n c o m p l i a n c e r e p o r t s f o r
s a t i s f a c t o r y r e s o l u t i o n o f n o n c o m p l y i n g w o r k .
A - 3 1
E X H I B I T A - 2
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6 . 0 5 S t r u c t u r e s C o n s t r u c t i o n O v e r s i g h t
" M o n i t o r t h e o v e r a l l p l a n n i n g o f c o n s t r u c t i o n a c t i v i t i e s t o i d e n t i f y c r i t i c a l
m i l e s t o n e s a n d p r i o r i t i e s . D e t e r m i n e b u d g e t e s t i m a t e s a n d s t a f f i n g
r e q u i r e m e n t s f o r t h e s t r u c t u r e s w o r k s c o p e a n d s c h e d u l e .
" C o o r d i n a t e a n d c o n d u c t p r e - c o n s t r u c t i o n a n d p r e - a c t i v i t y m e e t i n g s w i t h t h e
D e s i g n - B u i l d e r .
" P r o v i d e e n g i n e e r i n g a s s e s s m e n t o f p l a n s f o r a d e q u a c y o f d e s i g n , p a r t i c u l a r l y
w i t h r e s p e c t t o s u i t a b i l i t y t o a c t u a l f i e l d c o n d i t i o n s .
" E n s u r e c o m p l i a n c e w i t h 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 b y t h e D e s i g n - B u i l d e r ;
r e c o m m e n d , m o d i f y , i n t e r p r e t , a n d e d i t s p e c i a l p r o v i s i o n s a n d p r e p a r e
m o d i f i c a t i o n e s t i m a t e s ; a n d k e e p n e c e s s a r y r e c o r d s p e r t a i n i n g t o
c o n s t r u c t i o n p r o g r e s s , b u d g e t p e r f o r m a n c e , a n d w o r k o r d e r b a l a n c e s .
" M o n i t o r t h e D e s i g n - B u i l d e r ' s c o n s t r u c t i o n Q C p r o g r a m , i n c l u d i n g t h e
a d e q u a c y o f c a p a b i l i t y o f Q C r e s o u r c e s . O v e r s e e a n d p r o v i d e , a s n e c e s s a r y ,
n o t i f i c a t i o n t o t h e D e s i g n - B u i l d e r o f r e j e c t e d w o r k w h e n i t i s t h e o p i n i o n t h a t
t h e w o r k o r m a t e r i a l s d o n o t c o n f o r m t o t h e r e q u i r e m e n t s o f t h e D e s i g n - B u i l d
C o n t r a c t d o c u m e n t s .
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E X H I B I T A - 2
M o n i t o r c o m p l i a n c e o f D e s i g n - B u i l d e r ' s s a f e t y p l a n a n d n o t e c o n c e r n s o r
d e f i c i e n c i e s i m m e d i a t e l y t o D e s i g n - B u i l d e r f o r t h e i r i m p l e m e n t a t i o n o f
c o r r e c t i v e m e a s u r e s .
O v e r s e e C a l t r a n s p e r f o r m a n c e o f p e r i o d i c c o n s t r u c t i o n i n s p e c t i o n a n d Q A
i n d e p e n d e n t o v e r s i g h t a c t i v i t i e s a n d t h e i r r e c o r d i n g o f d a i l y p r o g r e s s o f t h e
P r o j e c t w i t h a c c u r a t e a n d c o m p l e t e d a i l y i n s p e c t i o n r e p o r t s , i n c l u d i n g
w e a t h e r c o n d i t i o n s , w o r k p e r f o r m e d , n u m b e r o f w o r k e r s , p r o b l e m s
e n c o u n t e r e d , a n d o t h e r r e l e v a n t d a t a . M a i n t a i n a n i n d e p e n d e n t p h o t o g r a p h i c
l o g o f t h e c o n s t r u c t i o n p r o g r e s s i n d e x e d f o r e a s y r e t r i e v a l .
P e r f o r m o v e r s i g h t a n d r e v i e w o f l a b o r a t o r y , s h o p , a n d m i l l t e s t r e p o r t s o f
m a t e r i a l s a n d e q u i p m e n t , a n d c o o r d i n a t i o n .
M o n i t o r D e s i g n - B u i l d e r c o m p l i a n c e t o i n s p e c t i o n a n d s u r v e y s o f p r o p e r t i e s
a d j a c e n t t o t h e P r o j e c t t o m o n i t o r p o s s i b l e g r o u n d m o v e m e n t o r s t r u c t u r a l
d a m a g e t o p r o p e r t i e s t h a t m a y b e c a u s e d b y t h e w o r k s .
E n s u r e t h a t a l l t e s t a n d i n s p e c t i o n r e c o r d s a n d n o n c o m p l i a n c e r e p o r t s a r e
s a t i s f a c t o r i l y r e s o l v e d .
A - 3 2
6.06 Office Engineering
• Coordinate with Design-Builder for completion and submittal of final record
drawings or as-built drawings. The record drawings and documents shall be
prepared and submitted in conformance with the Contract requirements.
• Monitor that the Design-Builder maintains a detailed photographic history of
the Project in compliance with the Design-Build Contract, and includes labels
with location, direction of view, date, time, and any information of interest.
Photographs shall be maintained in an indexed album or RCTC-approved
software. Photographs shall include, but not be limited to, conditions prior to
construction, changes to detours, barricade placement, disputed work,
rejected work, and completed work.
• Coordinate between the Design Review and Construction Oversight teams to
receive and distribute Project plans and documents throughout the Project
term.
• Perform general construction office duties relating to administration of
construction contracts, such as processing extra work invoices, preparing
progress estimates, and filing documents.
• Confer with Design-Builder regarding compliance with plans and quality of
work and construction activity; selection and/or use of computer-based
processes to compile engineering data, horizontal and vertical alignments,
and curve computations; and preparation of as-built plans.
• For schedule/work activities where the need is identified, prepare quantity
calculations and quantity sheets for payment purposes and review
calculations prepared by Roadway and Structures Resident Engineering
teams.
• Prepare or assist in the preparation of Contract Change Orders (CCO) for the
purpose of making alterations, deviations, additions to, or deletions from the
plans and specifications to ensure proper completion or construction of the
Contract by gathering critical information necessary and interpreting technical
reports and data to determine a feasible solution.
• Coordinate between field personnel in tracking and logging all field
documents, including reports and Daily Progress Reports.
• Track and document all safety procedures and reports.
• Track and document all environmental and stormwater pollution prevention
related reports and inspections and coordinate with the environmental
personnel on the Project.
A-33
EXHIBIT A-2
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" T r a c k , m o n i t o r , a n d d o c u m e n t a l l r o a d w a y c l o s u r e s o n t h e P r o j e c t , a n d
d o c u m e n t a l l 1 0 - 9 7 , 1 0 - 9 8 , a n d 1 0 - 2 2 c a l l s o n C a l t r a n s T r a f f i c M a n a g e m e n t
C e n t e r ( T M C ) .
" T o g e t h e r , w i t h a d m i n i s t r a t i o n a n d t h e P r o j e c t d o c u m e n t c o n t r o l , d e v e l o p ,
m a i n t a i n , a n d u p d a t e P r o j e c t ' s c o n t a c t m a t r i x a n d a s s u r e p o s t i n g a n d
d i s t r i b u t i o n t o t h e P r o j e c t ' s t e a m .
" P r o v i d e t h e t r a c k i n g a n d m a i n t e n a n c e o f P r o j e c t w o r k s c h e d u l e s , a n a l y s e s ,
t e c h n i c a l a n d p r o d u c t i o n r e p o r t s , a n d o t h e r d o c u m e n t a t i o n a s r e q u i r e d .
" O r g a n i z e , p r e p a r e , a n d c o n d u c t f i e l d s i t e i n v e s t i g a t i o n s a n d v i s i t a t i o n s f r o m
C a l t r a n s , R C T C , a n d F H W A p e r s o n n e l t o c o n f i r m P r o j e c t p r o g r e s s , c o n d u c t
s t u d i e s , o r a n y o t h e r p u r p o s e .
" S c h e d u l e , c o o r d i n a t e , a n d a t t e n d m e e t i n g s , a s n e c e s s a r y , t o s u p p o r t P r o j e c t
o v e r s i g h t 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 , i n c l u d i n g t h e p r e p a r a t i o n o f m e e t i n g
m a t e r i a l s , a g e n d a s , m i n u t e s , a n d a c t i o n i t e m l i s t s .
D e l i v e r a b l e s D a t e
C o n s t r u c t i o n S t a f f i n g a n d M a n a g e m e n t P l a n O c t o b e r 2 0 1 3
P a y m e n t A p p l i c a t i o n A p p r o v a l M o n t h l y
I n s p e c t i o n R e p o r t s , N C R s t a t u s M o n t h l y
S a f e t y R e p o r t M o n t h l y
F i e l d D i s p u t e R e s o l u t i o n I s s u e s R e p o r t M o n t h l y
P r o g r e s s R e p o r t f o r D e s i g n - B u i l d e r W o r k M o n t h l y
P r o g r e s s R e p o r t f o r R O W M i t i g a t i o n W o r k M o n t h l y
P r o g r e s s R e p o r t f o r D e m o l i t i o n W o r k M o n t h l y
P r o g r e s s R e p o r t f o r B i o l o g i c a l M i t i g a t i o n W o r k M o n t h l y
P h o t o g r a p h i c H i s t o r y o f t h e P r o j e c t M o n t h l y
P u n c h L i s t s f o r S u b s t a n t i a l C o m p l e t i o n , P r o j e c t T B D
C o m p l e t i o n , F i n a l A c c e p t a n c e , a n d o t h e r
c o n t r a c t u a l m i l e s t o n e s
D e l i v e r a b l e s
T h e f o l l o w i n g l i s t o f d e l i v e r a b l e s i s r e q u i r e d u n d e r t h e P h a s e 2 s c o p e o f s e r v i c e s :
T a s k 1 0 0 - P r o j e c t M a n a g e m e n t
" D e s i g n - B u i l d C o l l a t e r a l M a t e r i a l s
" G r o u n d B r e a k i n g C e r e m o n y
E X H I B I T A - 2
A - 3 4
V a r i o u s T B D
T B D
" " T o l l F a c i l i t y C o l l a t e r a l M a t e r i a l s T B D
" P r o j e c t C o m m u n i c a t i o n s T e m p l a t e s V a r i o u s
" R i b b o n C u t t i n g C e r e m o n y ( T o l l F a c i l i t y ) T B D
" P r o j e c t S a f e t y O v e r s i g h t P l a n J u l y 2 0 1 3
" D e s i g n Q u a l i t y O v e r s i g h t P l a n J u l y 2 0 1 3
" C o n s t r u c t i o n Q u a l i t y O v e r s i g h t P l a n O c t o b e r 2 0 1 3
" I n s u r a n c e C l a i m s A n a l y s e s V a r i o u s
" B i d P a c k a g e s f o r R O W M i t i g a t i o n P r o p e r t i e s V a r i o u s
T a s k 2 0 0 - D e s i g n M a n a g e m e n t
" R O W C e r t i f i c a t i o n ( b y g r o u p i n g ) V a r i o u s
" R O W A g r e e m e n t s a n d D o c u m e n t a t i o n V a r i o u s
" P o s t - C o n s t r u c t i o n R e c o r d o f S u r v e y A p r i l 2 0 1 7
" S u b m i t t a l P a c k a g e s R e v i e w / A p p r o v a l V a r i o u s
D o c u m e n t a t i o n
" ( U t i l i t y ) N o t i c e t o O w n e r f o r F i n a l D e s i g n T B D
" ( U t i l i t y ) N o t i c e t o O w n e r t o R e l o c a t e T B D
" ( U t i l i t y ) R e p o r t o f I n v e s t i g a t i o n ( R O I ) T B D
" U t i l i t y A g r e e m e n t s D e c e m b e r 2 0 1 3
" R a i l r o a d 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
A g r e e m e n t s
T B D " " C P U C F o r m a l a n d S h o r t F o r m s T B D
" U S A G E 4 0 4 P e r m i t T B D
" U S A G E 4 0 8 P e r m i t T B D
" U S A G E O u t G r a n t A g r e e m e n t T B D
" R W Q C B 4 0 1 P e r m i t T B D
" C D F W 1 6 0 2 P e r m i t T B D
" O C P W E n c r o a c h m e n t P e r m i t T B D
T a s k 3 0 0 - T o l l i n g a n d O p e r a t i o n s
" T o l l i n g V e n d o r C o n t r a c t s ( e x e c u t e d ) P r i o r t o O p e n i n g D a y
" C a l t r a n s M a i n t e n a n c e A g r e e m e n t ( e x e c u t e d ) P r i o r t o O p e n i n g D a y
" C H P E n f o r c e m e n t A g r e e m e n t ( e x e c u t e d ) P r i o r t o O p e n i n g D a y
" F a s T r a c k L i c e n s e A g r e e m e n t ( e x e c u t e d ) J a n u a r y 2 0 1 4
" A n a h e i m F a c i l i t y B u i l d - O u t D e s i g n J a n u a r y 2 0 1 4
" C o r o n a C u s t o m e r S e r v i c e C e n t e r ( C S C ) B u i l d - J a n u a r y 2 0 1 4
O u t D e s i g n
" F H W A S E M P D o c u m e n t u p d a t e s A s n e e d e d
" F H W A O u t s t a n d i n g S E M P D o c u m e n t s D e c e m b e r 2 0 1 3
" F i n a l i z e U p d a t e s t o B u s i n e s s R u l e s A u g u s t 2 0 1 6
A - 3 5 " E X H I B I T A - 2
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" I d e n t i f y F e d e r a l , S t a t e , o r L o c a l U p d a t e s t o A s n e e d e d
T o l l i n g R e g u l a t i o n s
" I d e n t i f y P o t e n t i a l N e w a n d / o r I m p r o v e m e n t s t o A s n e e d e d
T o l l T e c h n o l o g y
" I d e n t i f y P o t e n t i a l M a r k e t i n g E f f o r t s f o r E x p r e s s M a r c h 2 0 1 6
L a n e S t a r t u p
" F i n a l i z e U p d a t e s t o F i n a n c i a l R e p o r t i n g P r i o r t o O p e n i n g D a y
R e q u i r e m e n t s
" D e s i g n - B u i l d e r ' s T o l l I n f r a s t r u c t u r e S i g n o f f J u n e 2 0 1 6
" S y s t e m s I n t e g r a t o r ' s S i g n o f f b y R C T C a n d P r i o r t o S t a r t o f T r a i n i n g
S t a k e h o l d e r s
" D e s i g n - B u i l d e r ' s C o n t r a c t C o m p l i a n c e R e p o r t s A s n e e d e d
" S y s t e m s I n t e g r a t o r ' s C o n t r a c t C o m p l i a n c e A s n e e d e d
R e p o r t s
" S y s t e m s I n t e g r a t o r F i n a l A c c e p t a n c e T e s t
R e p o r t
" C o m m u n i c a t i o n s N e t w o r k I n f r a s t r u c t u r e
C o n c e p t D e s i g n R e p o r t
T a s k 4 0 0 - C o n t r a c t s M a n a g e m e n t
" B i o l o g i c a l M i t i g a t i o n C o n t r a c t D o c u m e n t s
" C o m p l e x M i t i g a t i o n # 3 C o n t r a c t D o c u m e n t s
" D e m o l i t i o n C o n t r a c t D o c u m e n t s
" R i s k R e g i s t e r
" C h a n g e O r d e r L o g
" D B E a n d L a b o r C o m p l i a n c e R e p o r t s a n d
A u d i t s
T a s k 5 0 0 - P r o j e c t C o n t r o l s
" S R - 9 1 P r o g r a m a n d B a s e l i n e S c h e d u l e
" M o n t h l y P r o g r e s s a n d P e r f o r m a n c e R e p o r t
T a s k 6 0 0 - C o n s t r u c t i o n M a n a g e m e n t
" C o n s t r u c t i o n S t a f f i n g a n d M a n a g e m e n t P l a n
" P a y m e n t A p p l i c a t i o n A p p r o v a l
" I n s p e c t i o n R e p o r t s , N C R s t a t u s
" S a f e t y R e p o r t
" F i e l d D i s p u t e R e s o l u t i o n I s s u e s R e p o r t
" P r o g r e s s R e p o r t f o r D e s i g n - B u i l d e r W o r k
" P r o g r e s s R e p o r t f o r R O W M i t i g a t i o n W o r k
" P r o g r e s s R e p o r t f o r D e m o l i t i o n W o r k
" P r o g r e s s R e p o r t f o r B i o l o g i c a l M i t i g a t i o n W o r k
A - 3 6
E X H I B I T A - 2
N o E a r l i e r t h a n 9 0 D a y s a f t e r
O p e n i n g D a y
J u n e 2 0 1 3
S e p t e m b e r 2 0 1 3
J a n u a r y 2 0 1 4
S e p t e m b e r 2 0 1 3
M o n t h l y
M o n t h l y
V a r i o u s
S e p t e m b e r 2 0 1 3
M o n t h l y
O c t o b e r 2 0 1 3
M o n t h l y
M o n t h l y
M o n t h l y
M o n t h l y
M o n t h l y
M o n t h l y
M o n t h l y
M o n t h l y
" P h o t o g r a p h i c H i s t o r y o f t h e P r o j e c t
" P u n c h L i s t s f o r S u b s t a n t i a l C o m p l e t i o n , P r o j e c t
C o m p l e t i o n , F i n a l A c c e p t a n c e , a n d o t h e r
c o n t r a c t u a l m i l e s t o n e s
A - 3 7
E X H I B I T A - 2
M o n t h l y
T B D
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E X H I B I T " B - 2 "
S C H E D U L E O F S E R V I C E S
L _ A t t a c h e d b e h i n d t h i s p a g e _ J
E X H I B I T B - 2
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E X H I B I T B - 2 "
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E X H I B I T " C - 2 "
P A R T 1
C O M P E N S A T I O N A N D P A Y M E N T
F o r t h e s a t i s f a c t o r y p e r f o r m a n c e a n d c o m p l e t i o n 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 , t h e C o m m i s s i o n w i l l p a y t h e C o n s u l t a n t c o m p e n s a t i o n a s s e t f o r t h h e r e i n .
1 . E L E M E N T S O F C O M P E N S A T I O N
C o m p e n s a t i o n f o r t h e S e r v i c e s w i l l b e c o m p r i s e d o f t h e f o l l o w i n g e l e m e n t s : 1 . 1 ;
D i r e c t L a b o r C o s t s ; 1 . 2 F i x e d F e e ; a n d , 1 . 3 A d d i t i o n a l D i r e c t C o s t s :
1 . 1 D I R E C T L A B O R C O S T S
D i r e c t L a b o r c o s t s s h a l l b e p a i d i n a n a m o u n t e q u a l t o t h e p r o d u c t o f t h e D i r e c t
S a l a r y C o s t s a n d t h e M u l t i p l i e r w h i c h a r e d e f i n e d a s f o l l o w s :
1 . 1 . 1 D I R E C T S A L A R Y C O S T S
D i r e c t S a l a r y C o s t s a r e t h e b a s e s a l a r i e s a n d w a g e s a c t u a l l y p a i d t o t h e
C o n s u l t a n t ' s p e r s o n n e l d i r e c t l y e n g a g e d 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 u n d e r t h e
A g r e e m e n t . ( T h e r a n g e o f h o u r l y r a t e s p a i d t o t h e C o n s u l t a n t ' s p e r s o n n e l a p p e a r s
i n S e c t i o n 2 b e l o w . )
1 . 1 . 2 M U L T I P L I E R *
T h e O f f i c e a n d ( F i e l d ) M u l t i p l i e r s t o b e a p p l i e d t o t h e D i r e c t S a l a r y C o s t s t o
d e t e r m i n e t h e D i r e c t L a b o r C o s t s a r e 2 . 4 1 0 3 a n d ( 2 . 1 4 2 3 ) r e s p e c t i v e l y , a n d a r e t h e
s u m o f t h e f o l l o w i n g c o m p o n e n t s :
1 . 1 . 2 . 1
1 . 1 . 2 . 2
D i r e c t S a l a r y C o s t s
P a y r o l l A d d i t i v e s
1 . 0 0
0 . 4 7 4 9
T h e d e c i m a l r a t i o o f P a y r o l l A d d i t i v e s t o D i r e c t S a l a r y C o s t s . P a y r o l l A d d i t i v e s
i n c l u d e a l l e m p l o y e e b e n e f i t s , a l l o w a n c e s f o r v a c a t i o n , s i c k l e a v e , a n d h o l i d a y s , a n d
c o m p a n y p o r t i o n o f e m p l o y e e i n s u r a n c e a n d s o c i a l a n d r e t i r e m e n t b e n e f i t s , a l l
f e d e r a l a n d s t a t e p a y r o l l t a x e s , p r e m i u m s f o r i n s u r a n c e w h i c h a r e m e a s u r e d b y
p a y r o l l c o s t s , a n d o t h e r c o n t r i b u t i o n s a n d b e n e f i t s i m p o s e d b y a p p l i c a b l e l a w s a n d
r e g u l a t i o n s .
C - 1
E X H I B I T C - 2
1.1.2.3 Overhead Costs 0.9354 and (0.6674)
The decimal ratio of allowable Overhead Costs to the Consultant firm's total 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.
1.1.2.4 Multiplier 2.4103 and (2.1423)
(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.
1.2 FIXED FEE
1.2.1 The Fixed Fee is the Consultant's and Consultant's subconsultants' •
profit. The Maximum Fixed Fee under this Agreement is increased
by this Amendment No. 3 by the amount of Six Million Four
Hundred Seventy Six Thousand Two Hundred Forty Four Dollars
($6,476,244.00).
1.2.2 A portion of the Fixed Fee shall be paid on a pro-rated basis, in
proportion to the monthly invoiced Direct Labor Costs and the total
Direct Labor Cost compensation, as ·part of each monthly billing.
1.2.3 The Fixed Fee may be adjusted upon written approval of the
Commission's Executive Director, as further set forth in Section 6.
1.3 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.
Rates for identified Additional Direct Costs are as follows:
C-2
EXHIBIT C-2 •
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R E I M B U R S E M E N T R A T E
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
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 c t u a l C o s t
0 . 5 5 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
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 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
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 p r i o r w r i t t e n a p p r o v a l t o b e
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
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 :
2 . 1 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 .
2 . 2 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 - 2
P O S I T I O N O R C L A S S I F I C A T I O N
S e n i o r P r o g r a m D i r e c t o r
P r o g r a m D i r e c t o r
C o n s t r u c t i o n D i r e c t o r
C - 3
R A N G E O F H O U R L Y R A T E S
6 7 . 5 5 - 1 4 8 . 1 9
5 8 . 3 7 - 1 0 5 . 0 5
5 8 . 3 7 - 1 0 5 . 0 5
EXHIBIT C-2
Construction Manager
Principal Construction Eng/Spec
Construction Engineer/Specialist
QA Manager/Supervisor ·
Principal QA Engineer/Specialist
QA Engineer/Specialist
QC Manager/Supervisor
Principal QC Inspector
QC Inspector
Safety Manager/Supervisor
Safety Engineer/Specialist
Principal Project Manager
Project Manager
Engineering Manager
Supervising Engineer
Principal Engineer
Sr. Engineer
Engineer
Principal Project Engineer
Project Engineer
Architect
Sr. Project Planner
Project Planner
Supervising Designer
Project Designer
Principal Designer
Designer/Drafter
Landscape Architect
Landscape Planner
Principal Environmental Planner
Environmental Planner
Project Controls Manager
Project Controls Engineer
Document Control Supervisor
Document Control Coordinator
Chief Estimator
Principal Estimator
Estimator
Contracts Manager
Procurement Manager
Contracts Administrator
Subcontracts Administrator
Procurement Specialist
Field Office Manager
Executive Secretary/Assistant
Administrative Assistant
Technical Writer/Editor
C-4
43.27 -87.88
40.19 -70.38
22.21 -59.40
48.41 -87.16
35.48 -72.12
25.87 -55.29
40.19-80.38
30. 77 -63.85
22.21 -48.85
40.19 -80.38
22.21 -48.85
53.89 -97.02
43.27 -77 .88
48.41 -97.16
40.19 -80.38
35.48 -62.12
30. 77 -53.85
17.20 -49.50
43.27 -77.88
35.48 " 62.12
31.29 -63.65
43.27 -77.88
25.70 -70.38
40.19 -70.38
35.48 -62.12
30. 77 -53.85
17.12 -42.50
19.76-44.57
25.87 -55.29
30.77 -63.85
19.76 -44.57
40.19 -102.74
22.21 -58.85
30.77 -57.85
19.76 -40.57
40.19 -80.38
35.48 -72.12
22.21 -58.85
43.27 -87.88
35.48 -72.12
32.21 -58.85
22.21 -55.05
19.76 -44.57
25.87 -45.29
22.21 -42.85
17.23 -33.65
25.19 -48.30
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G r a p h i c s S u p e r v i s o r / D e s i g n e r
F i n a n c i a l S p e c i a l i s t
S y s t e m s - I T S u p e r v i s o r
S y s t e m s - I T S p e c i a l i s t
M a r k e t A n a l y s t s / S p e c i a l i s t s
P r i n c i p a l T e c h n i c a l C o n s u l t a n t
2 8 . 3 0 - 4 8 . 4 0
3 6 . 3 5 - 7 9 . 1 3
3 0 . 7 7 - 5 3 . 8 5
2 5 . 8 7 - 4 5 . 2 9
3 2 . 2 5 - 8 5 . 1 5
7 5 . 0 0 - 1 7 5 . 0 0
2 . 3 T h e a b o v e r a t e s a r e f o r t h e C o n s u l t a n t o n l y . A l l r a t e s f o r s u b c o n s u l t a n t s
t o t h e C o n s u l t a n t w i l l b e i n a c c o r d a n c e w i t h t h e C o n s u l t a n t ' s c o s t
p r o p o s a l .
3 . I N V O I C I N G
3 . 1 E a c h m o n t h t h e C o n s u l t a n t s h a l l s u b m i t a n i n v o i c e f o r S e r v i c e s p e r f o r m e d
d u r i n g t h e p r e c e d i n g m o n t h . T h e o r i g i n a l i n v o i c e 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 E x e c u t i v e D i r e c t o r w i t h t w o ( 2 ) c o p i e s t o t h e C o m m i s s i o n ' s
P r o j e c t C o o r d i n a t o r .
3 . 2 C h a r g e s s h a l l b e b i l l e d i n a c c o r d a n c e w i t h t h e t e r m s a n d r a t e s i n c l u d e d
h e r e i n , u n l e s s o t h e r w i s e a g r e 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 . 3 B a s e W o r k s h a l l b e c h a r g e d s e p a r a t e l y , a n d t h e c h a r g e s f o r e a c h t a s k
a n d M i l e s t o n e l i s t e d i n t h e S c o p e o f S e r v i c e s , s h a l l b e l i s t e d s e p a r a t e l y .
T h e c h a r g e s f o r e a c h i n d i v i d u a l a s s i g n e d b y t h e 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 s h a l l b e l i s t e d s e p a r a t e l y o n a n a t t a c h m e n t t o t h e i n v o i c e .
3 . 4 A c h a r g e o f $ 1 , 0 0 0 o r m o r e f o r a n y o n e i t e m o f A d d i t i o n a l D i r e c t C o s t s
s h a l l b e a c c o m p a n i e d b y s u b s t a n t i a t i n g d o c u m e n t a t i o n 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 s u c h a s i n v o i c e s , t e l e p h o n e l o g s , e t c . C o n s u l t a n t s h a l l
m a i n t a i n f i l e s a n d d o c u m e n t a t i o n , f o r a u d i t i n g p u r p o s e s , s u b s t a n t i a t i n g a l l
A d d i t i o n a l D i r e c t C o s t s c h a r g e d t o t h e C o m m i s s i o n .
3 . 5 E a c h c o p y o f e a c h i n v o i c e s h a l l b e a c c o m p a n i e d b y a M o n t h l y P r o g r e s s
R e p o r t a n d s p r e a d s h e e t s s h o w i n g h o u r s e x p e n d e d b y t a s k f o r e a c h
m o n t h a n d t o t a l p r o j e c t t o d a t e .
3 . 6 E a c h i n v o i c e s h a l l i n d i c a t e p a y m e n t s t o D B E s u b c o n s u l t a n t s o r s u p p l i e s
b y d o l l a r a m o u n t a n d a s a p e r c e n t a g e o f t h e t o t a l i n v o i c e .
3 . 7 E a c h i n v o i c e s h a l l i n c l u d e a c e r t i f i c a t i o n s i g n e d b y 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 o r a n o f f i c e r o f t h e f i r m w h i c h r e a d s a s f o l l o w s :
I h e r e b y c e r t i f y t h a t t h e h o u r s a n d s a l a r y r a t e s c h a r g e d i n t h i s i n v o i c e a r e t h e a c t u a l
h o u r s a n d r a t e s w o r k e d a n d p a i d t o t h e e m p l o y e e s l i s t e d .
C - 5
E X H I B I T C - 2
Signed -------------
Title
Date
Invoice No.
4. PAYMENT
4.1 The Commission shall pay the Consultant within four to six weeks after
receipt by the Commission of an original invoice. Should the Commission
contest any portion of an invoice, that portion shall be held for resolution,
without interest, but the uncontested balance shall be paid.
4.2 The final payment for Services under this Agreement will be made only
after the Consultant has executed a Release and Certificate of Final
Payment.
C-6
EXHIBIT C-2
•
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" E X H I B I T C - 2
E X H I B I T " C - 2 "
P A R T 2
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
C - 7
APPROVED SUBCONSUL TANTS
Direct
Firm Salary Salary
Cost Additive Overhead Multiplier
Arellano Associates 1.00 0.00 0.71 1.71
Group Delta Consultants, Inc. 1.00 0.54 1.25 2.79
HOR, Inc. (Office) 1.00 0.31 1.34 2.65
HOR, Inc. (Field -Co-located) 1.00 0.34 0.85 2.19
Overland, Pacific & Cutler, 1.00 0.46 1.20 2.65 Inc.
Psomas (Psomas Office) 1.00 0.35 1.48 2.84
Psomas (Psomas Field) 1.00 0.42 1.23 2.65
Southstar Engineering (Field 1.00 0.32 0.76 2.08 -Co-located)
TEC Management 1.00 0.53 0.86 2.39 Consultants, Inc.
GCAP 1.00 0.00 0.89 1.89
Cofiroute USA 1.00 0.24 0.32 1.56
[Rates used are approved and effective as of January 2013]
ITEM
Per Diem
Car mileage
Travel
Photocopies
Blueline
LO Telephone
Fax
Sub-Consultant Reimbursable
Other Direct Cost
REIMBURSEMENT RATE
$ Actual IRS Rate
$ Actual IRS rate for date traveled
$ Actual Cost
$ 0.15/copy
$ 1.50/sheet
$ included in burdened rate
$ included in burdened rate
Computer Charges $ included in burdened rate
Photographs $ included in burdened rate
Fee/
Profit
Rate
0.10
0.10
0.10
0.10
0.10
0.10
0.10
0.10
0.10
0.10
0.10
Other Direct Costs Permitted under the FAR and not listed above are reimbursed at
Cost
C-8
EXHIBIT C-2
Total
Multiplier
1.88
3.07
2.92
2.41
2.92
3.12
2.91
2.29
2.63
2.08
1.72
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A R E L L A N O A S S O C I A T E S
P O S I T I O N O R C L A S S I F I C A T I O N
O u t r e a c h P r i n c i p a l I n C h a r g e
O u t r e a c h P r o j e c t D i r e c t o r
P u b l i c O u t r e a c h M a n a g e r
P u b l i c O u t r e a c h C o o r d i n a t o r
P u b l i c O u t r e a c h S u p p o r t
P r o j e c t S u p p o r t
A d m i n i s t r a t i v e
G R O U P D E L T A C O N S U L T A N T 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
P r i n c i p a l E n g i n e e r
A s s o c i a t e E n g i n e e r / G e o l o g i s t
S e n i o r E n g i n e e r I G e o l o g i s t
P r o j e c t E n g i n e e r I G e o l o g i s t
S t a f f E n g i n e e r I G e o l o g i s t
T e c h n i c i a n
C A D
P r o j e c t A d m i n I S u p p o r t
H O R , 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
P r o j e c t E n g i n e e r
S r . P r o j e c t E n g i n e e r
S t r u c t u r e s L e a d
S r . S t r u c t u r e s E n g i n e e r
A s s i s t a n t R o a d w a y R E
P r o j e c t M a n a g e r
R o a d w a y O f f i c e E n g i n e e r
R a i l r o a d C o o r d i n a t o r
O V E R L A N D , P A C I F I C & C U T L E R , 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
P r i n c i p a l
P r i n c i p a l C o n s u l t a n t
E X H I B I T C - 2
C - 9
R A N G E O R H O U R L Y R A T E S
$ 1 1 5 . 0 0 - $ 1 5 0 . 0 0 / h o u r
$ 1 0 0 . 0 0 - $ 1 3 5 . 0 0 / h o u r
$ 9 0 . 0 0 - $ 1 2 0 . 0 0 / h o u r
$ 5 5 . 0 0 - $ 8 5 . 0 0 / h o u r
$ 3 5 . 0 0 - $ 5 5 . 0 0 / h o u r
$ 2 0 . 0 0 - $ 3 5 . 0 0 / h o u r
$ 1 5 . 0 0 - $ 4 0 . 0 0 / h o u r
R A N G E O R H O U R L Y R A T E S
$ 5 3 . 1 3 - $ 9 1 . 9 5 / h o u r
$ 4 5 . 6 7 - $ 6 0 . 1 O / h o u r
$ 3 4 . 7 4 - $ 4 5 . 6 7 / h o u r
$ 2 8 . 8 5 - $ 4 1 . 3 5 / h o u r
$ 2 0 . 0 0 - $ 2 7 . 8 8 / h o u r
$ 1 7 . 0 0 - $ 3 9 . 9 6 / h o u r
$ 1 9 . 0 0 - $ 2 4 . 5 2 / h o u r
$ 1 5 . 0 0 - $ 2 8 . 8 5 / h o u r
R A N G E O R H O U R L Y R A T E S
$ 4 5 . 0 0 - $ 6 1 . 9 6 / h o u r
$ 5 8 . 6 7 - $ 1 0 5 . 0 0 / h o u r
$ 6 0 . 2 3 - $ 6 3 . 2 4 / h o u r
$ 8 3 . 0 1 - $ 9 3 . 4 0 / h o u r
$ 5 0 . 0 0 - $ 7 4 . 5 8 / h o u r
$ 7 4 . 5 2 - $ 7 8 . 2 5 / h o u r
$ 3 6 . 2 2 - $ 3 8 . 0 3 / h o u r
$ 6 6 . 2 9 - $ 6 9 . 6 0 / h o u r
R A N G E O R H O U R L Y R A T E S
$ 6 8 . 9 3 - $ 9 1 . 3 5 / h o u r
$ 4 7 . 0 4 - $ 8 0 . 4 8 / h o u r
Senior Project Manager
Project Manager
Analyst
Project Support Specialist
Secretarial/Clerical
Principal Appraiser
Staff Appraiser II
Sr. Appraiser
Property Management Supervisor
Senior Agent/Consultant
Agent/Consultant
Property Services Supervisor
Crew Member I
Crew Member II
Crew Member Ill/General Contractor
PSOMAS
POSITION OR CLASSIFICATION
Project/Manager/Technical Manager
Sr. Project Surveyor/Sr. GIS Specialist
Project Surveyor/GIS Specialist
Staff Surveyor
Survey T ech/CADD Tech
Project Administrator
LS Party Chief
Certified Chief
Party Chief
Instrument Man
Chain man
Apprentice A-G
Field Supervisor
$39.66 -$57.69/hour
$28.84 -$47.36/hour
$16.83 -$42.23/hour
$14.43 -$32.96/hour
$13.00 -$24.49/hour
$75.00 -$95.00/hour
$40.00 -$40.00/hour
$60.00 -$60.00/hour
$40.86 -$45.67/hour
$24.04 -$39.42/hour
$17.83 -$27.63/hour
$26.44 -$31.25/hour
$8.00 -$11.00/hour
$11.00 -$15.00/hour
$15.00 -$55.00/hour
RANGE OR HOURLY RATES
$68.17 -$85.91/hour
$49.98 -$70.29/hour
$37.00 -$49.95/hour
$28.12 -$43.42/hour
$28.12-$40.85/hour
$28.12 -$38.40/hour
$44.96 -$50.00/hour
$44.26 -$50.00/hour
$42.21 -$50.00/hour
$39.71 -$50.00/hour
$39.13 -$50.00/hour
$16.43 -$31.30/hour
$42.21 -$45.00/hour
SOUTHSTAR ENGINEERING AND CONSUL TING, INC.
POSITION OR CLASSIFICATION RANGE OR HOURLY RATES
Project Manager
Senior Project Engineer
Project Engineer
Administrative Assistant
Document Control Specialist
TEC MANAGEMENT CONSULT ANTS, INC.
POSITION OR CLASSIFICATION
Planner/Scheduler
C-10
EXHIBIT C-2
$90.00 -$110.00/hour
$65.00 -$80.00/hour
$50.00 -$65.00/hour
$22.00 -$30.00/hour
$35.00 -$50.00/hour
RANGE OR HOURLY RATES
$55 -$85/hour
•
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G C A P
P O S I T I O N O R C L A S S I F I C A T I O N
D B E / L C P r o j e c t M a n a g e r
D B E C o m p l i a n c e M a n a g e r
S e n i o r L a b o r C o m p l i a n c e S p e c i a l i s t
L a b o r C o m p l i a n c e A n a l y s t
S e n i o r D B E O u t r e a c h S p e c i a l i s t
D B E A d m i n i s t r a t o r
C o n t r a c t C o m p l i a n c e A n a l y s t
C O F I R O U T E U S A
P O S I T I O N O R C L A S S I F I C A T I O N
P r o j e c t D i r e c t o r
A s s i s t a n t P r o j e c t M a n a g e r
V P I n f o r m a t i o n T e c h n o l o g y
I T M a n a g e r
T e c h n i c a l C o n s u l t a n t
O p e r a t i o n s M a n a g e r
O n - R o a d C u s t o m e r S e r v i c e
E T T M S u p e r v i s o r
S u b j e c t M a t t e r A n a l y s t
C u s t o m e r S e r v i c e M a n a g e r
V i o l a t i o n s P r o c e s s i n g M a n a g e r
A d m i n i s t r a t i v e
E X H I B I T C - 2
C - 1 1
R A N G E O R H O U R L Y R A T E S
$ 6 4 . 9 0 - $ 7 4 . 5 2 / h o u r
$ 4 8 . 0 8 - $ 5 9 . 6 9 / h o u r
$ 3 8 . 4 6 - $ 4 3 . 2 7 / h o u r
$ 2 6 . 4 4 - $ 3 1 . 2 5 / h o u r
$ 3 4 . 6 2 - $ 3 8 . 4 6 / h o u r
$ 2 6 . 4 4 - $ 3 1 . 2 5 / h o u r
$ 3 5 . 9 9 - $ 4 0 . 8 7 / h o u r
R A N G E O R H O U R L Y R A T E S
$ 6 5 . 0 0 - $ 8 5 . 0 0 / h o u r
$ 3 5 . 0 0 - $ 5 0 . 0 0 / h o u r
$ 5 0 . 0 0 - $ 6 5 . 0 0 / h o u r
$ 4 5 . 0 0 - $ 6 0 . 0 0 / h o u r
$ 9 5 . 0 0 - $ 1 1 0 . 0 0 / h o u r
$ 4 0 . 0 0 - $ 5 5 . 0 0 / h o u r
$ 1 8 . 0 0 - $ 2 8 . 0 0 / h o u r
$ 2 5 . 0 0 - $ 4 0 . 0 0 / h o u r
$ 1 4 . 0 0 - $ 2 0 . 0 0 / h o u r
$ 3 0 . 0 0 - $ 4 5 . 0 0 / h o u r
$ 3 0 . 0 0 - $ 6 0 . 0 0 / h o u r
$ 2 5 . 0 0 - $ 3 5 . 0 0 / h o u r
EXHIBIT C-2
EXHIBIT "C-2"
PART3
BASELINE BUDGET
SPREADSHEETS ATTACHED
C-12
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C - 1 3 " E X H I B I T C - 2
Ll...J....L.l...L....W....w...;...,.;._i .....
C-14
EXHIBIT C-2
~ ~I!~ Uhh I jH~jj~ ~ i1~ ~!ll
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" E X H I B I T C - 2
! i : l ' ! f e w t t . O V N " T < ~ i \ l l C I N : t : : O M M t W M ( W q
" " " e o l l " " " ' " " " ' - l ' ! I Q l " " ' ! C l > I
F A ~ ! R M l
# J t M l l W S T B T J M 4 . l l : e t ' f A 4 . S i . t ~ 1 f f f i f t . M . . . . . . .
C - 1 5
EXHIBIT C-2
ff;Nf.~IU!t()t;N!V H'iAN~Ull'')N ~1WfY>l !t«:.lq
!.ft.·~n~1ru:m1~atr~am:r
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f.'H:A!.fi :n:ou' tinMAU DiTAll WMMMr'f @.'t UMt
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C-16
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" E X H I B I T C - 2
! J : M ~ ~ Q f ~ l Y i ~ W Q J l ' ! A l l t ' l f ' t ~ O l t i l l ; - c . t Q
! A - t l 0 : . . n J l ) ( t t t i M P l l . C ) \ l f ' M ! l ' f i T P l ' t Q j [ ( : " f
" ~ ' ' ' ' ' < ! > . : M l ~ ~ 1 C O S T B ' t J M A f [ O f " f A A $ U ~ l t l ' & Y ~
" " " ' -
C - 1 7
EXHIBIT C-2
~!{OONfV fliAN~f.111111,)N ~t~t:tN ft«:lQ
!~~!QQRlr,.~tNT~JCT
PA~S-{~~
PHAH ::?CO'il ti'flMA'fll D£'f~ WUM.M'f AY J:#!M ..... ,
C-18
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" E X H I B I T C - 2
~ ' l m l $ I D l l . O O N l Y f l o \ 4 N ~ f # l m . : i N O ; ) l ' l , " l N U M f t 0 N ~ T r j
$ f t . 4 H . ~ t t a R I M P R O V W f n t ~ a t f t ' T
l * - . A ~ H K M ~
~ M l i " 2 ( . Q ! ! j ' l t : u n . ~ " ' T f D E T M ' l l J M f l r i f M f ' f & Y f i A M
" " " '
C - 1 9
EXHIBIT C-2
"'1~!;l00Nl'¥' J'MN~rAtlQN ~tM!~ ~q
!iR-#1~10.001~~f~0tu::r
JtAMOOS.lK.M}
P'H~E 2 t.m,l tt.tiMi\Tt DETAIL OOMAAM'f AV UAM
"'"'' Overland. Pacific & Cutler, Im:,
C-20
•
•
•
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" E X H I B I T C - 2
~ ! ( O U N J Y ~ ~ f . A l t t ) N ~ W O N ' ~ Q
~ n - f l . ~ U : t O R 1 ~ U f f J l l l ! ! O J t t ' T
i r A ~ H P C M J
"!' A S l : J t : J : ~ - Y f ; S f i M A l t t ' J E ! l l . . l l ~ . . . . . 4 " ' f & Y ~
" " " '
C - 2 1
EXHIBIT C-2
~lt.OONn' fM.N~rA11'0N ~u,w:~ ~lq
~fl~\. tOAA10(lfl'11\M'R~etH ~am::r
,._Ar.ON$fPC:MJ
~£2Cl'lU' tU1M4U bETM WMMMU!.l' Ml"M
fff!Al
C-22
•
•
•
4/4/'20B •
•
• EXHIBIT C-2
fn~tO' Cot..>Nl'Y ttlAN'S~JilHAW')N 0JMM1Wl:)N: ~l!:;}
~f:!.a-1.~!llOA'l~~~OJtt'T
PA"°"'~{M'.'.:M)
P'WAi.£ :1 lC.tP' fillM.t.'ff t:IET~I:. SiOM¥Ml1" t\I ~
1-'!ttAt
C-23
EXHIBIT C-2
~!lOUNl'V rnAN~r.AtlON ~WC>N !~Q
~F-4-lt~tx;ml~mr~u:t
PAMONS{PCMJ
PH.au 2 c.orr ts.tiMAl".f DiT>lit -WMMMY AY M!lM -
C-24
•
•
•
PCM PHASE-2
~ Background
~ Scope .of Ser·vices
. . . ,J LN , . . .. • . : '. • • ·;;;;$ .i•;i·i~S~Tff~.{.>' ! • . ~ .. ·;Oc Sta,f;f~1ng·1Plan
kPCM Phase 1 Contract
•!• interagency agreements
•!• right of way acquisition
•!• utility relocations
•!• railroad coordination
~:. (·, j -5«~, "
•!• advanced preliminary engineering
•!• tolling infrastructure and operation requirements
•!• project controls and implementation planning
•!• public outreach
•!• procurement of a design-builder
~ Phase 1 Authorized Contract Value of $60,084,544
~ Two-Phase Approach
4/23/2013
1
Table-2 Cost of Work Breakdown
Task No. Task Description $Amount Hours
100 Project Management 9,680,300 66,517
200 Design Management 32,150,281 190,574
300 Tolling and Operations 3,746,382 22,794
400 Contracts Management 7,401,462 65,937
500 Project Controls 4,675,499 35.470
600 Construction Management 15,209,834 97,350
700 ODC/Escalation/Sub Mark-up 8,547,0345 N/A
All Total Phase-2 Services Estimate $81.410,793 478,642
• RCTC Agency staff provides
./ overall project management and control
./ oversight of consultants
./ coordination of all stakeholders and project partners
./ ensure project goals and objectives are met
• PCM staff provides
./ technical expertise
./ experienced and knowledgeable professionals
./ DB contract and Toll Systems Implementation contract
administration & management
./ perform IQA with Caltrans per AB 2098
4/23/2013
2
""
Sft..91 Cotridor lmprovemeat Project
Plme 2 Staffing Summary [Dll & PCM)
---
4/23/2013
3
4/23/2013
4
"
A G E N D A I T E M 9
"
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r
.~.······ ··. ' '
J
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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 : A p r i l 2 2 , 2 0 1 3
T O : 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
F R O M : M i c h a e l B l o m q u i s t , T o l l P r o g r a m 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 : 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 m e n t
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 t t e e t o :
1 ) A p p r o v e t h e 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 m e n t b e t w e e n 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 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 ) , a n d C o f i r o u t e U S A , L L C
( C o f i r o u t e ) f o r o p e r a t i o n s a n d m a i n t e n a n c e s e r v i c e s f o r t h e 9 1 E x p r e s s L a n e s
i n a n a m o u n t o f $ 3 0 , 9 9 8 , 1 3 3 , p l u s a c o n t i n g e n c y a m o u n t o f $ 3 , 0 9 9 , 8 1 3 f o r
2 )
3 )
4 )
a t o t a l a m o u n t n o t t o e x c e e d $ 3 4 , 0 9 7 , 9 4 6 ;
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 ;
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 u p t o t h e t o t a l
a m o u n t n o t t o e x c e e d a s r e q u i r e d f o r t h e a g r e e m e n t ; a n d
F o r w a r d t o t h e C o m m i s s i o n f o r f i n a l a c t i o n .
B A C K G R O U N D / N F O R M A T I O N :
1 0 - Y e a r D e l i v e r y P l a n a n d T o i l i n g
I n 2 0 0 2 , v o t e r s p a s s e d t h e 3 0 - y e a r 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 ( 2 0 0 9 -
2 0 3 9 ) . I n D e c e m b e r 2 0 0 6 , t h e C o m m i s s i o n a d o p t e d t h e 2 0 0 9 M e a s u r e A W e s t e r n
C o u n t y H i g h w a y 1 0 - Y e a r D e l i v e r y P l a n ( 1 0 - Y e a r D e l i v e r y P l a n ) . T h e 1 0 - Y e a r
D e l i v e r y P l a n c a l l s f o r t h e d e v e l o p m e n t o f t o l l e d e x p r e s s l a n e c o r r i d o r s o n S R - 9 1
a n d I n t e r s t a t e 1 5 .
S t a t e T o i l i n g A u t h o r i t y
I n S e p t e m b e r 2 0 0 8 , S B 1 3 1 6 ( C o r r e a ) w a s s i g n e d i n t o C a l i f o r n i a l a w . S B 1 3 1 6
w a s j o i n t l y s p o n s o r e d b y t h e O C T A a n d t h e C o m m i s s i o n a n d p a v e d t h e w a y f o r
e a c h a g e n c y t o a d v a n c e i t s l o n g - t e r m p l a n f o r t o l l e d e x p r e s s l a n e s w i t h i n t h e S R - 9 1
c o r r i d o r . S B 1 3 1 6 p r o v i d e d O C T A w i t h t h e a u t h o r i t y t o e x t e n d t h e d u r a t i o n o f i t s
r i g h t s t o c o l l e c t t o l l s a n d o p e r a t e 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 u n d e r i t s f r a n c h i s e
A g e n d a I t e m 9
2 2
agreement with Caltrans, provided that OCTA also agree to eliminate its rights
relative to SR-91 in Riverside County under that agreement. SB 1316 provided the
Commission with the state tolling authority needed for development of the 91
Express Lanes in Riverside County. SB 1316 authorized the Commission to charge
tolls, for a period of 50 years, for use of tolled express lanes within the SR-91
corridor between the Orange/Riverside County line and 1-15, gave the Commission
the ability to sell toll revenue bonds, and authorized use of toll revenue for other
transportation purposes within the SR-91 corridor.
Pursuant to SB 1316, in December 2011 , OCT A and Caltrans amended their
franchise agreement to eliminate OCTA's rights relative to Riverside County. In
May 2012, the Commission and Caltrans entered into a toll facilities agreement
{including real property lease), which governs the Commission's use of the state
highway underlying the future 91 Express Lanes in Riverside County.
Development of the SR-91 Corridor Improvement Project
The SR-91 CIP widens the SR-91 through Corona, extends the existing
91 Express Lanes from the Orange County line to 1-1 5, improves five local
interchanges, reconstructs a portion of the 1 5/91 interchange, and constructs other
general purpose lane and toll express lane improvements within the corridor.
•
Environmental approval for the SR-91 CIP was obtained in November 2012. Final •
design and construction will be accomplished via award of a design-build contract
scheduled for Commission approval at its May 8, 2013 meeting. Corridor
construction is planned to start in early 2014 with lanes open to traffic in 2017 ..
Commission and OCT A Cooperative Agreement
In December 2011, the Commission and OCTA executed a cooperative agreement
that defines how the agencies will jointly operate the 91 Express Lanes as a
seamless system in Orange and Riverside Counties. The cooperative agreement
defines each agency's roles and responsibilities for the 91 Express Lanes during the
design and construction of the extension into Riverside County as well as the long-
term operation and maintenance (O&M) of the combined 91 Express Lane facility.
The cooperative agreement also defines the following related to the operator:
• Sharing of certain revenues and costs, including the operator costs;
• Use of one operator for the full facility through a three-party O&M contract;
• Joint agency direction provided to the operator;
• Payment of operator costs before the Commission's lane opening (i.e. pre-
operations period costs to prepare for the operations phase) and after the
Commission's lane opening (operations period);
• Recognition of the economies of scale of a joint agency operation;
• Ease of coordination of operations between agencies with a single operator;
Agenda Item 9
23
•
"
"
"
" S h a r e d t o l l o p e r a t i o n s o f f i c e ( A n a h e i m ) a n d c u s t o m e r s e r v i c e c e n t e r
( C o r o n a ) ; a n d
" S h a r e d o p e r a t o r r e s o u r c e s d u r i n g e m e r g e n c i e s o n t h e 9 1 E x p r e s s L a n e s .
K e y C o n t r a c t a n d B u s i n e s s T e r m s o f t h e O p e r a t o r A g r e e m e n t
T h e C o m m i s s i o n a n d O C T A c o o p e r a t i v e a g r e e m e n t d e s c r i b e d a b o v e g o v e r n s t h e
o v e r a r c h i n g a g e n c y r e l a t i o n s h i p f o r t h e 9 1 E x p r e s s L a n e s w h i l e t h e o p e r a t o r
a g r e e m e n t g o v e r n s t h e s p e c i f i c t h r e e - p a r t 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
a r r a n g e m e n t . C o n s i s t e n t w i t h t h e c o o p e r a t i v e a g r e e m e n t , C o m m i s s i o n , a n d O C T A
s t a f f a n d C o f i r o u t e h a v e n e g o t i a t e d a t h r e e - p a r t y O & M c o n t r a c t ( o p e r a t o r
a g r e e m e n t ) . T h e f o l l o w i n g i s a s u m m a r y o f k e y c o n t r a c t a n d b u s i n e s s t e r m s i n t h e
o p e r a t o r a g r e e m e n t :
" F u l l y r e p l a c e s t h e e x i s t i n g O C T A / C o f i r o u t e o p e r a t o r a g r e e m e n t
"
" E x i s t i n g O C T A / C o f i r o u t e o p e r a t o r a g r e e m e n t c u r r e n t l y e x t e n d s f r o m
J u l y 1 , 2 0 1 1 t o J u n e 3 0 , 2 0 2 1
" N e w O C T A / C o m m i s s i o n / C o f i r o u t e o p e r a t o r a g r e e m e n t t o b e e x e c u t e d
i n 2 0 1 3 w i l l r e p l a c e t h e e x i s t i n g O C T A / C o f i r o u t e o p e r a t o r a g r e e m e n t
a t t h e t i m e o f o p e n i n g o f t h e C o m m i s s i o n ' s 9 1 E x p r e s s L a n e s
E f f e c t i v e t e r m o f n e w O C T A / C o m m i s s i o n / C o f i r o u t e o p e r a t o r a g r e e m e n t
" S i x m o n t h s p r i o r t o o p e n i n g o f t h e C o m m i s s i o n ' s 9 1 E x p r e s s L a n e s
e x t e n s i o n t o J u n e 3 0 , 2 0 2 1
" P r e - O p e r a t i o n s P e r i o d : J u l y 2 0 1 6 t o J a n u a r y 2 0 1 7 ( e s t i m a t e d )
" O p e r a t i o n s P e r i o d : J a n u a r y 2 0 1 7 t o J u n e 3 0 , 2 0 2 1 ( e s t i m a t e d )
" C o f i r o u t e t o p r o v i d e K e y P e r s o n n e l - p r o g r a m m a n a g e r , m a n a g e r o f
i n f o r m a t i o n s y s t e m s a n d t e l e c o m m u n i c a t i o n s , m a n a g e r o f c u s t o m e r s e r v i c e
c e n t e r a n d p r o c e s s i n g , c u s t o m e r s e r v i c e m a n a g e r , p r o c e s s i n g m a n a g e r ,
o p e r a t i o n s m a n a g e r , a c c o u n t i n g m a n a g e r - w i t h r e m o v a l a n d r e p l a c e m e n t s
o f k e y p e r s o n n e l a p p r o v e d j o i n t l y b y O C T A a n d t h e C o m m i s s i o n
" C o f i r o u t e w i l l b e e n t r u s t e d w i t h h a n d l i n g c u s t o m e r c a s h p a y m e n t s , a n d w i t h
d i r e c t i n g a l l f u n d s f r o m c u s t o m e r s a n d o t h e r t o l l e n t i t i e s i n t o 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 b e e s t a b l i s h e d b y O C T A a n d C o m m i s s i o n , w i t h
d o c u m e n t i n g f i n a n c i a l t r a n s a c t i o n s , a n d w i t h m a i n t a i n i n g t h e i n t e g r i t y o f
f i n a n c i a l r e c o r d s . C o f i r o u t e h a s a f i d u c i a r y d u t y t o O C T A , C o m m i s s i o n , a n d
c u s t o m e r s o f t h e 9 1 E x p r e s s L a n e s .
" I n c a s e s o f e m e r g e n c y , C o f i r o u t e w i l l u s e a l l o f i t s r e s o u r c e s i n t h e m o s t
e f f i c i e n t a n d e f f e c t i v e m a n n e r t o e n s u r e s a f e t y a n d p r o t e c t i o n o f t h e p u b l i c
A g e n d a I t e m 9
2 4
" C o f i r o u t e w i l l p r o c u r e a n d m a i n t a i n i n s u r a n c e o f t h e t y p e s a n d a m o u n t s
s p e c i f i e d i n t h e o p e r a t o r a g r e e m e n t .
" A d i s p u t e r e s o l u t i o n p r o c e s s i s e s t a b l i s h e d t h a t d e t a i l s t w o l e v e l s o f i s s u e
e s c a l a t i o n , t h e s e c o n d l e v e l i n c l u d i n g e x e c u t i v e s f r o m e a c h p a r t y , a n d w i t h
a n a r b i t r a t i o n p r o c e s s a s t h e f i n a l s t e p f o r d i s p u t e s u n d e r $ 5 0 0 , 0 0 0 . F o r
d i s p u t e s o v e r t h i s a m o u n t , a n y l e g a l m e t h o d o f r e s o l u t i o n m a y b e u t i l i z e d .
" C o f i r o u t e w i l l m a i n t a i n i t s b o o k s , r e c o r d s , d a t a , a n d d o c u m e n t 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 a n d m a k e a v a i l a b l e
t o O C T A a n d t h e C o m m i s s i o n f o r e x a m i n a t i o n , a u d i t , a n d i n s p e c t i o n .
S c o p e o f S e r v i c e s o f t h e O p e r a t o r A g r e e m e n t
T h e o p e r a t o r a g r e e m e n t h a s s t r u c t u r e d C o f i r o u t e ' s s e r v i c e s t o o c c u r d u r i n g t w o
d i s t i n c t t i m e p e r i o d s t o r e f l e c t t h e p r e p a r a t i o n n e c e s s a r y f o r t h e C o m m i s s i o n ' s 9 1
E x p r e s s L a n e o p e n i n g a n d s u b s e q u e n t l y t h e p e r i o d o f o n g o 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 .
P r e - O p e r a t i o n s P e r i o d S e r v i c e s P r o v i d e d t o t h e C o m m i s s i o n b y C o f i r o u t e
"
D u r i n g t h e s i x - m o n t h p e r i o d i n a d v a n c e o f o p e n i n g C o m m i s s i o n ' s 9 1 E x p r e s s L a n e s "
C o f i r o u t e w i l l h i r e a n d t r a i n s t a f f , c o n d u c t a n d a t t e n d p l a n n i n g a n d i s s u e - r e s o l u t i o n .
m e e t i n g s , a n d p r o c u r e n e c e s s a r y e q u i p m e n t , t o o l s , a n d s u p p l i e s i n p r e p a r a t i o n f o r
o p e r a t i o n o f t h e e x t e n d e d 9 1 E x p r e s s L a n e s .
S p e c i f i c a l l y , C o f i r o u t e w i l l h i r e a n d t r a i n t h e f o l l o w i n g p o s i t i o n s d u r i n g t h e
s i x - m o n t h p r e - o p e r a t i o n s p e r i o d :
P o s i t i o n D u t i e s P e r f o r m e d a n d / o r T r a i n i n g R e c e i v e d
O f f i c e C o o r d i n a t o r P r o v i d e l o g i s t i c s s u p p o r t a n d s e t u p c o m m u n i c a t i o n
t r a c k i n g t o o l s n e c e s s a r y f o r d o c u m e n t t r a c k i n g , r e p o r t s ,
a n d f a c i l i t a t e e q u i p m e n t a n d s u p p l y r e p l e n i s h m e n t
A c c o u n t i n g S u p e r v i s o r S u p e r v i s e a n d i m p l e m e n t b u s i n e s s p r o c e s s , p r o c e d u r e s
a n d A c c o u n t i n g a n d a c c o u n t i n g f u n c t i o n s ; S u p e r v i s e a n d i m p l e m e n t
A n a l y s t s ( 2 ) r e v e n u e d i s t r i b u t i o n , r e p o r t i n g , a n d t r a i n i n g o n t h e
C o m m i s s i o n ' s E d e n a c c o u n t i n g s y s t e m
I n f o r m a t i o n T e c h n o l o g y P r o v i d e t e c h n i c a l p r o j e c t m a n a g e m e n t , s u p p o r t i s s u e s -
P r o j e c t M a n a g e r r e s o l u t i o n , a n d c o o r d i n a t e i n t e r f a c e a m o n g t h e a g e n c i e s
a n d v a r i o u s v e n d o r s
B u s i n e s s A n a l y s t D e v e l o p r e p o r t s a n d r e p o r t i n g p r o c e s s e s f o r t h e
C o m m i s s i o n , f a c i l i t a t e i s s u e r e s o l u t i o n , a n d t e s t i n g
A s s i s t a n t O p e r a t i o n s U n d e r s t a n d m a n a g e m e n t o f e x p r e s s l a n e o p e r a t i n g
A g e n d a I t e m 9
2 5
"
"
"
"
M a n a g e r s y s t e m s , e m e r g e n c y r e s p o n s e , a n d i n c i d e n t
m a n a g e m e n t p r o t o c o l
C u s t o m e r A s s i s t a n c e G a i n k n o w l e d g e a n d p r a c t i c e o f o p e r a t i n g s y s t e m s , r o a d
S p e c i a l i s t ( C A S ) L e a d s a f e t y , e m e r g e n c y r e s p o n s e a n d p r o t o c o l t r a i n i n g , a n d
( 1 ) a n d C A S D r i v e r ( 4 ) o b t a i n r o a d - l e v e l w o r k i n g k n o w l e d g e o f f a c i l i t i e s
E l e c t r . T o l l a n d T r a f f i c D e v e l o p t e c h n i c a l k n o w l e d g e a n d m a i n t e n a n c e e x p e r t i s e
M g m t . S p e c i a l i s t ( 2 ) o f a l l o p e r a t i n g s y s t e m s i n t h e e x p r e s s l a n e s , r e c e i v e
r o a d s a f e t y t r a i n i n g
T r a f f i c O p e r a t i o n C e n t e r D e v e l o p t e c h n i c a l k n o w l e d g e o f o p e r a t i n g s y s t e m s , n e w
( T O C ) L e a d ( 1 ) a n d T O C e x p r e s s l a n e c a m e r a s , i m a g e r e v i e w p r o t o c o l , a n d
S p e c i a l i s t s ( 4 ) e m e r g e n c y r e s p o n s e
P r o c e s s i n g L e a d ( 1 ) a n d U n d e r s t a n d b u s i n e s s p r o c e s s e s a n d p r o c e d u r e s r e l a t e d
P r o c e s s i n g R e p s . ( 5 ) t o i n c o m i n g c u s t o m e r a n d v i o l a t i o n t r a n s a c t i o n s
M a i l r o o m C l e r k , G a i n k n o w l e d g e a n d e x p e r i e n c e o f b u s i n e s s p r o c e s s e s
S c a n n i n g C l e r k a n d p r o c e d u r e s r e l a t e d t o a l l c u s t o m e r a n d v i o l a t i o n
c o r r e s p o n d e n c e a n d s c a n n i n g d o c u m e n t s i n t h e b a c k
o f f i c e s y s t e m
L e a d C u s t o m e r S e r v i c e D e v e l o p u n d e r s t a n d i n g o f b u s i n e s s p r o c e s s e s a n d
C e n t e r ( C S C ) R e p . a n d p r o c e d u r e s r e l a t e d t o i n c o m i n g c a l l s , f r o n t c o u n t e r
C S C R e p r e s e n t a t i v e ( 1 0 ) c u s t o m e r a n d v i o l a t i o n a c t i v i t i e s
T r a n s p o n d e r C l e r k U n d e r s t a n d b u s i n e s s p r o c e s s e s a n d p r o c e d u r e s r e l a t e d
t o t r a n s p o n d e r r e c e i p t , d i s t r i b u t i o n a n d m a i n t e n a n c e o f
i n v e n t o r y
P u r s u a n t t o r e q u i r e m e n t s f o r a c o m p e t 1 t 1 v e p r o c u r e m e n t p r o c e s s , C o f i r o u t e w i l l
p r o c u r e a n d m a i n t a i n m a i l i n g e q u i p m e n t , s p e c i a l i z e d h a r d w a r e , t o o l s , a n d s u p p l i e s .
T h e C o m m i s s i o n w i l l p r o c u r e v i a i t s p r o c u r e m e n t p o l i c i e s a n d C o f i r o u t e w i l l
m a i n t a i n t o w t r u c k s , s e r v i c e t r u c k s , c o m p u t e r s , s o f t w a r e , p r i n t e r a n d o f f i c e
f u r n i s h i n g s , a n d f i x t u r e s . O p e r a t i n g c o s t s p r i o r t o o p e n i n g c o n s i s t i n g o f w a s t e
m a n a g e m e n t , s e p t i c t a n k s e r v i c e , e l e c t r i c a l g e n e r a t o r s e r v i c e , s e c u r i t y m o n i t o r i n g ,
u t i l i t i e s ( e . g . e l e c t r i c i t y , w a t e r , e t c . ) , v e h i c l e f u e l , v e h i c l e m a i n t e n a n c e / c l e a n i n g ,
e t c . w i l l b e i n v o i c e d b y C o f i r o u t e .
O n g o i n g O p e r a t i o n s P e r i o d S e r v i c e s P r o v i d e d t o O C T A a n d t h e C o m m i s s i o n b y
C o f i r o u t e
A s t h e o p e r a t o r o f t h e 9 1 E x p r e s s L a n e s , C o f i r o u t e ' s r e s p o n s i b i l i t i e s i n c l u d e
p r o v i d i n g a l l t o l l r e l a t e d s e r v i c e s a n d t h e m a n a g e m e n t o f t h e T r a f f i c O p e r a t i o n s
C e n t e r ( T O C ) i n A n a h e i m , C u s t o m e r S e r v i c e C e n t e r ( C S C ) i n C o r o n a , C u s t o m e r
A s s i s t a n c e P r o g r a m , a n d E l e c t r o n i c T o l l 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 ( E T T M ) .
A g e n d a I t e m 9
2 6
Toll related services include: • • provide customer service;
• manage customer accounts and accounts receivable;
• manage certain vendor contracts;
• process violations and perform violation collections;
• process 91 Express Lanes web site transactions;
• administer the office, mailroom, and scanning operations;
• manage transponder inventory;
• collect revenue, process transactions;
• assist disabled motorists and the California Highway Patrol;
• maintain lane delineators, striping, markers, and remove road debris;
• maintain and verify operation of cameras, transponder readers, generators,
and other equipment, etc.;
• verify message and price on variable message signs are correct;
• monitor and collect data on traffic volume to allow for toll adjustments;
• perform initial and secondary license plate image reviews for violators;
• provide incident management and response; and
• coordinate emergency services.
Basis for Agreement Amount
The total Commission agreement value summarized below is based upon a •
negotiated lump sum amount between the three parties that includes all labor,
overhead, profit, and expenses for Cofiroute to perform its scope of services.
Major cost assumptions reflect:
• An increase of Cofiroute personnel from the current 65.5 employees which
provide services for OCT A's portion to 1 04 employees to account for the
Commission portion opening in 201 7;
• A 3 percent escalation per year from current year through year 2021 and
acknowledgement that this assumption will be revisited in 2016;
• Continued use of currently established business rules and operating
procedures;
• Continued future operation of the TOC in Anaheim and CSC in Corona
consistent with existing operations;
• Anticipated increase in customer accounts, toll transactions, customer
inquiries, violations, etc. consistent with estimates of traffic and revenue
• The Commission will bear all additional costs during the six-month Pre-
Operations Period due to the SR-91 CIP startup work
• Ongoing Operations Period costs are shared equally by OCTA and the
Commission per the cooperative agreement previously executed; and
Agenda Item 9
27
•
"
"
"
" T e m p o r a r y s t a f f i s i n c l u d e d t o a c c o u n t f o r a n t i c i p a t e d a d d i t i o n a l w o r k d u r i n g
t h e t r a n s i t i o n a l p e r i o d s b e f o r e a n d a f t e r t h e C o m m i s s i o n l a n e o p e n i n g .
* O n g o i n g O p e r a t i o n s P e r i o d ( C o m m i s s i o n p o r t i o n ) $ 2 9 , 5 0 6 , 0 7 9
* * P r e - O p e r a t i o n s P e r i o d ( C o m m i s s i o n c o s t ) $ 1 , 4 9 2 , 0 5 4
T o t a l C o m m i s s i o n C o n t r a c t V a l u e $ 3 0 , 9 9 8 , 1 3 3
C o n t i n g e n c y a t 1 0 p e r c e n t
T o t a l C o m m i s s i o n A g r e e m e n t A m o u n t
N O T E S :
$ 3 , 0 9 9 , 8 1 3
$ 3 4 , 0 9 7 , 9 4 6
* R e f l e c t s t h e C o m m i s s i o n ' s 5 0 p e r c e n t p o r t i o n o f t h e J o i n t S t a t e m e n t o f W o r k o f
$ 5 9 , 0 1 2 , 1 5 8 p e r A r t i c l e 7 . J ( 1 ) a n d E x h i b i t A o f t h e O p e r a t o r A g r e e m e n t i n
e s c a l a t e d d o l l a r s
* * R e f l e c t s t h e C o m m i s s i o n c o s t f o r t h e C o m m i s s i o n S t a t e m e n t o f W o r k p e r
A r t i c l e 7 . J ( 3 ) a n d E x h i b i t C o f t h e O p e r a t o r A g r e e m e n t i n e s c a l a t e d d o l l a r s
R a t i o n a l e f o r S o l e S o u r c e
S i n c e t h e r e a r e n o f e d e r a l o r s t a t e p r o c u r e m e n t 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
O p e r a t o r A g r e e m e n t , C o m m i s s i o n i s o n l y r e q u i r e d t o c o m p l y w i t h i t s o w n p o l i c i e s
i n m a k i n g a s o l e s o u r c e a w a r d t o C o f i r o u t e . C h a p t e r 7 , S e c t i o n 1 . O ( A ) ( 1 1 ) o f 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 M a n u a l a u t h o r i z e s a s o l e s o u r c e a w a r d u n d e r t h e
f o l l o w i n g c i r c u m s t a n c e : " . . . a n o n - c o m p e t i t i v e p r o c u r e m e n t i s i n t h e p u b l i c i n t e r e s t
a n d i n t h e b e s t i n t e r e s t o f t h e C o m m i s s i o n . " S t a f f r e v i e w e d t h e p r o p o s e d s o l e
s o u r c e a w a r d t o C o f i r o u t e a n d b e l i e v e s t h a t a w a r d t o C o f i r o u t e i s i n t h e p u b l i c
i n t e r e s t a n d i n t h e b e s t i n t e r e s t o f t h e C o m m i s s i o n b a s e d o n t h e f o l l o w i n g f i n d i n g s :
" T h e C o m m i s s i o n c o m m i t t e d t o j o i n t 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 u n d e r
i t s c o o p e r a t i v e a g r e e m e n t w i t h O C T A , a n d O C T A h a s a n e x i s t i n g a g r e e m e n t
w i t h C o f i r o u t e t h a t e x t e n d s t h r o u g h 2 0 2 1 ;
" E c o n o m i e s o f s c a l e f o r c e r t a i n C o f i r o u t e s e r v i c e s p r o v i d e O & M s a v i n g s t o
O C T A a n d t h e C o m m i s s i o n ;
" B y u s i n g C o f i r o u t e a s i t s o p e r a t o r , t h e C o m m i s s i o n w i l l h a v e t h e a b i l i t y t o
u s e t h e e x i s t i n g T O C i n A n a h e i m a n d t h e C S C i n C o r o n a ;
" S a v i n g s i n C o f i r o u t e l a b o r a n d d i r e c t e x p e n s e s w i l l b e a c h i e v e d d u e t o
c o m b i n i n g o p e r a t i o n s : e s t i m a t e d t o t a l s t a f f i n g w i t h s e p a r a t e o p e r a t i o n s i s
1 3 3 p e r s o n s v e r s u s c o m b i n e d o p e r a t i o n s t a f f i n g o f 1 0 4 p e r s o n s ;
" C o f i r o u t e ' s 1 8 - y e a r h i s t o r y o f m a n a g i n g t h e O & M i n t h e c o r r i d o r p r o v i d e t h e
C o m m i s s i o n w i t h c o n f i d e n c e i n C o f i r o u t e ' s a b i l i t y t o s u c c e s s f u l l y o p e r a t e t h e
9 1 E x p r e s s L a n e s i n R i v e r s i d e C o u n t y , a n d t o a d d r e s s t h e u n i q u e n a t u r e o f
t h e C o m m i s s i o n ' s t o l l e d e x p r e s s l a n e s a s a n e x t e n s i o n o f t h e e x i s t i n g O C T A
t o l l e d e x p r e s s l a n e s ;
A g e n d a I t e m 9
2 8
"
"
"
"
"
C o f i r o u t e ' s p a r t i c i p a t i o n i n t h e o r i g i n a l P u b l i c P r i v a t e P a r t n e r s h i p ( P 3 ) g r o u p
t h a t c o n s t r u c t e d t h e l a n e s i n 1 9 9 5 a n d o p e r a t e d t h o s e l a n e s u n t i l 2 0 0 3
e v i d e n c e s C o f i r o u t e ' s i n t i m a t e k n o w l e d g e o f t h e 9 1 c o r r i d o r ;
C o f i r o u t e ' s e x p e r i e n c e i n o p e r a t i n g t h e 9 1 E x p r e s s L a n e s f o r O C T A s i n c e
2 0 0 3 e v i d e n c e s C o f i r o u t e ' s a b i l i t y t o s u c c e s s f u l l y o p e r a t e a n d m a n a g e a t o l l
f a c i l i t y ;
C o f i r o u t e ' s s u c c e s s f u l r e c o r d o f m e e t i n g p e r f o r m a n c e s t a n d a r d s u n d e r t h e
e x i s t i n g o p e r a t o r a g r e e m e n t b e t w e e n O C T A a n d C o f i r o u t e s h o u l d m i t i g a t e
o p e r a t i o n a l a n d r e v e n u e r i s k c o n c e r n s o f t h e t o l l r a t i n g a g e n c i e s a n d l e n d e r s ,
a n d s h o u l d p o s i t i v e l y i m p a c t f i n a n c i n g c o s t s , w h i c h e n h a n c e s t h e f i n a n c i a l
v i a b i l i t y o f t h e S R - 9 1 C I P ;
T o l l O & M i s s t r e a m l i n e d a n d c o o r d i n a t e d m o r e e a s i l y b e t w e e n O C T A a n d t h e
C o m m i s s i o n u s i n g a s i n g l e o p e r a t o r u n d e r t h e s a m e c o n t r a c t w i t h b o t h
a g e n c i e s , a n d s u c h c o o r d i n a t i o n r e d u c e s o p e r a t i o n a l r i s k a n d h e l p s e n s u r e
t h e s a f e t y o f t h e t r a v e l i n g p u b l i c t h r o u g h a c o n s i s t e n t a n d s e a m l e s s
t r a n s i t i o n b e t w e e n t h e t w o f a c i l i t i e s ; a n d
U s e o f a s i n g l e o p e r a t o r a n d a s i n g l e b a c k o f f i c e w i l l r e d u c e c u s t o m e r
c o n f u s i o n , p r o m o t e o p e r a t i o n a l a n d c o s t e f f i c i e n c i e s a n d p r o v i d e f o r a
s e a m l e s s c u s t o m e r e x p e r i e n c e .
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 o f t h e o p e r a t o r a g r e e m e n t , a d o p t i o n o f t h e
"
s o l e s o u r c e f i n d i n g s s e t f o r t h a b o v e , a u t h o r i z a t i o n f o r t h e C h a i r t o e x e c u t e t h e "
a g r e e m e n t i n s u b s t a n t i a l l y t h e f o r m p r o v i d e d t o t h e C o m m i t t e e f o r r e v i e w , s u b j e c t
t o l e g a l c o u n s e l r e v i e w a n d a p p r o v a l a s t o f o r m , a n d a u t h o r i z a t i o n f o r 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 u p t o t h e t o t a l n o t t o e x c e e d a g r e e m e n t
a m o u n t .
F i n a n c i a l I n f o r m a t i o n
F Y 2 0 1 6 / 1 7 $ 4 , 7 3 4 , 4 0 3
F Y 2 0 1 7 / 1 8 $ 7 , 0 2 3 , 1 1 7
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 8 / 1 9 $ 7 , 2 3 0 , 7 7 8 $ 3 4 , 0 9 7 , 9 4 6
F Y 2 0 1 9 / 2 0 . $ 7 , 4 4 4 , 6 7 0
F Y 2 0 2 0 / 2 1 $ 7 , 6 6 4 , 9 7 8
S o u r c e o f F u n d s : j 2 0 0 9 M e a s u r e A a n d T o l l R e v e n u e B u d g e t A d j u s t m e n t : I 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 8 7 3 0 0 2 2 6 2 3 1 7 3 0 0 2
F i s c a l P r o c e d u r e s A p p r o v e d : ~ ~ I D a t e : I 0 4 / 1 6 / 1 3
A t t a c h m e n t : O p e r a t o r A g r e e m e n t ( o n t h e w e b s i t e )
" A g e n d a I t e m 9
2 9
"
2
3
4
5
6
7
8
9
1 0
1 1
1 2 " 1 3
1 4
1 5
1 6
1 7
1 8
1 9
2 0
2 1
2 2
2 3
2 4
2 5
2 6 "
O C T A A G R E E M E N T N O . C - 3 - 1 5 2 9
R C T C A G R E E M E N T N 0 . 1 3 - 3 1 - 1 0 5 - 0 0
A M O N G
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 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
C O F I R O U T E U S A , L L C .
T H I S A G R E E M E N T i s e n t e r e d i n t o t h i s _ _ _ d a y o f _ _ _ _ _ _ , 2 0 1 3 , ( t h e
" E n t e r e d I n t o D a t e " ) b y a n d a m o n g 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 , a p u b l i c
c o r p o r a t i o n 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 " A U T H O R I T 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 p u b l i c a g e n c y ( t h e " C O M M I S S I O N " ) ; a n d C o f i r o u t e U S A , L L C . , a D e l a w a r e
l i m i t e d l i a b i l i t y c o m p a n y ( " C O N T R A C T O R " ) . T h e A U T H O R I T Y , t h e C O M M I S S I O N a n d
C O N T R A C T O R a r e s o m e t i m e s i n d i v i d u a l l y r e f e r r e d t o h e r e i n a s a " P a r t y " a n d c o l l e c t i v e l y a s t h e
" P a r t i e s . " T h e A U T H O R I T Y a n d t h e C O M M I S S I O N a r e s o m e t i m e s i n d i v i d u a l l y r e f e r r e d t o
h e r e i n a s a n " A g e n c y " a n d c o l l e c t i v e l y a s t h e " A g e n c i e s . "
W I T N E S S E T H :
W H E R E A S , t h e A U T H O R I T Y a n d C O N T R A C T O R h a v e e n t e r e d i n t o t h a t c e r t a i n
A g r e e m e n t N o . C - 5 - 0 3 0 0 , d a t e d a s o f O c t o b e r 2 4 , 2 0 0 5 , b y a n d b e t w e e n t h e A U T H O R I T Y a n d
C O N T R A C T O R , a s a m e n d e d o n J u n e 5 , 2 0 0 6 , N o v e m b e r 2 0 , 2 0 0 6 , D e c e m b e r 1 2 , 2 0 0 8 , J u l y l ,
2 0 0 9 , D e c e m b e r 1 3 , 2 0 1 0 , a n d J u l y 1 9 , 2 0 1 1 , a n d a s 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 p r i o r t o
t h e E f f e c t i v e D a t e ( c o l l e c t i v e l y , t h e " E x i s t i n g O p e r a t o r 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 O N T R A C T O R o p e r a t e s t h e S t a t e R o u t e 9 1 E x p r e s s L a n e s , l o c a t e d i n O r a n g e C o u n t y ,
C a l i f o r n i a , f o r t h e A U T H O R I T Y .
W H E R E A S , t h e A U T H O R I T Y a n d t h e C O M M I S S I O N h a v e e n t e r e d i n t o 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 d a t e d a s o f
P a g e 1 o f 5 3
1 7 3 3 6 . 0 2 1 0 0 \ 7 0 1 5 6 2 7 . 2 0
2
3
4
5
6
7
8
9
10
11
12
13
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December 16, 2011 (the "Cooperative Agreement"), to address, among other things, the
COMMISSION's construction of an extension of the State Route 91 Express Lanes into Riverside
County, and the potential joint operation of the State Route 91 Express Lanes in Orange and
• ~Yerside Counties once the said extension is completed and placed into revenue operation. The
State Route 91 Express Lanes in Orange County are referred to herein as the "OCTA Portion";
the extension of the State Route 91 Express Lanes in Riverside County is referred to herein as the
"RCTC Portion"; and the OCTA Portion and the RCTC Portion shall collectively be referred to
herein as the "91 Express Lanes."
WHEREAS, the AUTHORITY and the COMMISSION have determined that they
require CONTRACTOR to provide management and operational services for the 91 Express
Lanes, with the mutual intent of the Agencies of operating said lanes as a single, seamless toll
facility from the customer's perspective, as further detailed herein.
WHEREAS, said services cannot be performed by the regular employees of the
-.. AUTHORITY or the COMMISSION.
15.
16
17
18
19
20
21
22
23
24
25
26
WHEREAS, CONTRACTOR has represented that it has the requisite personnel,
experience, material, and equipment and is otherwise qualified to perform such services.
WHEREAS, CONTRACTOR desires to perform these services, and the AUTHORITY
and the COMMISSION desire to retain CONTRACTOR to perform the said services.
WHEREAS, it is the mutual intent of the Parties that the Existing Operator Agreement:
(a) will be suspended effective as of the Effective Date (defined below); and (b) will be
superseded and terminated effective as of the Actual Opening Date (defined below). It is also the
mutual intent of the Parties that if the Actual Opening Date shall not have occurred by the
Opening Deadline (as defined below), then (c) the Existing Operator Agreement shall be deemed
to have been reinstated; and ( d) this Agreement shall be deemed to have been terminated; all as
more particularly set forth herein.
Page 2 of53
17336.02100\7015627.20
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2
3
4
5
6
7
8
9
1 0
1 1
1 2 " 1 3
1 4
1 5
1 6
1 7
1 8
1 9
2 0
2 1
2 2
2 3
2 4
2 5
2 6 "
N O W , T H E R E F O R E , f o r v a l u a b l e a n d a d e q u a t e c o n s i d e r a t i o n , 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 , i t i s m u t u a l l y u n d e r s t o o d a n d a g r e e d b y t h e A U T H O R I T Y , t h e
C O M M I S S I O N a n d C O N T R A C T O R a s f o l l o w s :
A R T I C L E 1 . D E F I N I T I O N S
A C T U A L O P E N I N G D A T E . A s u s e d h e r e i n , t h e t e r m " A c t u a l O p e n i n g 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 o n w h i c h t h e R C T C P o r t i o n i s f i r s t m a d e a v a i l a b l e t o t r a f f i c .
A U T H O R I T Y . A s u s e d h e r e i n , t h e t e r m " A U T H O R I T Y " s h a l l m e a n a n d r e f e r t o 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 .
C O M M I S S I O N . A s u s e d h e r e i n , t h e t e r m " C O M M I S S I O N " s h a l l m e a n a n d r e f e r 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 .
C O N T R A C T O R . A s u s e d h e r e i n , 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 a n d r e f e r t o
C o f i r o u t e U S A , L L C .
C O O P E R A T I V E A G R E E M E N T . A s u s e d h e r e i n , t h e t e r m " 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 m e a n a n d r e f e r t o 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 t h e 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 e n t e r e d i n t o b y a n d b e t w e e n A U T H O R I T Y a n d C O M M I S S I O N ,
d a t e d a s o f D e c e m b e r 1 6 , 2 0 1 1 , 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 .
E F F E C T I V E D A T E . A s u s e d h e r e i n , 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 a t i s s i x ( 6 ) m o n t h s b e f o r e t h e P r o j e c t e d O p e n i n g D a t e , a s s u c h d a t e i s i d e n t i f i e d b y
w r i t t e n n o t i c e b y C O M M I S S I O N .
E N T E R E D I N T O D A T E . A s u s e d h e r e i n , t h e t e r m " E n t e r e d I n t o 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 f i r s t s e t f o r t h i n t h i s A g r e e m e n t .
E X I S T I N G O P E R A T O R A G R E E M E N T . A s u s e d h e r e i n , t h e t e r m " E x i s t i n g O p e r a t o r
A g r e e m e n t " s h a l l m e a n a n d r e f e r t o A g r e e m e n t N o . C - 5 - 0 3 0 0 o r i g i n a l l y 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 A U T H O R I T Y a n d C O N T R A C T O R o n O c t o b e r 2 4 , 2 0 0 5 , a n d a l l a m e n d m e n t s
t h e r e t o .
P a g e 3 o f 5 3
1 7 3 3 6 . 0 2 1 0 0 \ 7 0 1 5 6 2 7 . 2 0
OCTA PORTION. As used herein, the term "OCTA Portion" shaJI mean and refer to the
2
State Route 91 Express Lanes in Orange County.
3
4
5
6
7
OPENING DEADLINE. As used herein, the term "Opening Deadline" shall mean June
30, 2021.
PROJECTED OPENING DATE. As used herein, the term "Projected Opening Date"
shall mean and refer to the date that the RCTC Portion is reasonably anticipated by the
COMMISSION to first be made available to traffic, as such date is identified by written notice by
8
COMMISSION.
RCTC PORTION. As used herein, the term "RCTC Portion" shall mean and refer to the
State Route 91 Express Lanes proposed to be constructed in Riverside County.
SOFTWARE INSTALLATION AND LICENSE AGREEMENT. As used herein; the
•
9
10
11
12
13
14
15
16
term "Software Installation and License Agreement" shall mean and refer to that certain Software
Installation and License Agreement originally entered into by and between the AUTHORITY and •
CONTRACTOR on or about July 1, 2009, and subsequently amended on or about July 19, 2011.
SOFTWARE MAINTENANCE AGREEMENT. As used herein, the term "Software
Maintenance Agreement" shall mean and refer to that certain Software Maintenance Agreement
17
18
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24
25
26
originally entered into by and between the AUTHORITY and CONTRACTOR on or about July
2009, and subsequently amended on or about July 19, 2011.
ARTICLE 2. COMPLETE AGREEMENT
A. Except as otherwise provided herein, this Agreement, including the recitals set
forth above and all exhibits and other documents incorporated herein and made applicable by
reference, together constitute the complete and exclusive statement of the term(s) and condition(s)
of the agreement among the Parties concerning the subject matter hereof; and it supersedes all
prior representations, understandings and communications by and among the Parties concerning
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s u c h s u b j e c t m a t t e r .
B . R e l a t i o n s h i p b e t w e e n E x i s t i n g O p e r a t o r A g r e e m e n t a n d t h i s A g r e e m e n t .
( l ) E x c e p t f o r t h o s e p o r t i o n s o f t h i s A g r e e m e n t s e t f o r t h i n A r t i c l e 5 ( A ) , a t a l l
t i m e s f r o m a n d a f t e r t h e E n t e r e d I n t o D a t e a n d p r i o r t o t h e E f f e c t i v e D a t e , t h i s A g r e e m e n t s h a l l
b e o f n o f o r c e o r e f f e c t w h a t s o e v e r a s b e t w e e n t h e A U T H O R I T Y a n d C O N T R A C T O R i n r e s p e c t
t o t h e o p e r a t i o n o f t h e O C T A P o r t i o n ; a n d , d u r i n g s u c h t i m e , t h e E x i s t i n g O p e r a t o r A g r e e m e n t
a l o n e s h a l l g o v e r n t h e r e l a t i o n s h i p b e t w e e n t h e A U T H O R I T Y a n d C O N T R A C T O R i n s u c h
r e s p e c t .
( 2 ) F r o m a n d a f t e r t h e E f f e c t i v e D a t e , t h e E x i s t i n g O p e r a t o r A g r e e m e n t s h a l l
b e s u s p e n d e d , a n d t e m p o r a r i l y o f n o f o r c e o r e f f e c t w h a t s o e v e r ; p r o v i d e d , t h a t : ( a ) s u c h
s u s p e n s i o n a n d r e p l a c e m e n t s h a l l n o t i m p a i r a n y r i g h t t h a t C O N T R A C T O R m a y h a v e f o r
p a y m e n t b y t h e A U T H O R I T Y f o r s e r v i c e s r e n d e r e d b e f o r e t h e E f f e c t i v e D a t e a n d p u r s u a n t t o t h e
E x i s t i n g O p e r a t o r A g r e e m e n t ; ( b ) A r t i c l e s 3 a n d 6 , A r t i c l e 7 . 5 ( a n d / o r a n y o t h e r s u c c e s s o r
p r o v i s i o n e s t a b l i s h i n g A U T H O R I T Y ' s m a x i m u m c u m u l a t i v e p a y m e n t o b l i g a t i o n ) a n d E x h i b i t A ,
o f t h e E x i s t i n g O p e r a t o r A g r e e m e n t s h a l l r e m a i n i n f o r c e a s b e t w e e n t h e A U T H O R I T Y a n d
C O N T R A C T O R f r o m a n d a f t e r t h e E f f e c t i v e D a t e t o t h e e x t e n t s e t f o r t h i n A r t i c l e s 4 ( A ) a n d
7 ( B ) { l ) ( a ) h e r e o f ; ( c ) i n t h e e v e n t o f a n y c o n f l i c t a m o n g A r t i c l e s 3 a n d 6 , A r t i c l e 7 . 5 ( a n d / o r a n y
o t h e r s u c c e s s o r p r o v i s i o n e s t a b l i s h i n g A U T H O R I T Y ' s m a x i m u m c u m u l a t i v e p a y m e n t
o b l i g a t i o n ) a n d E x h i b i t A , o f t h e E x i s t i n g O p e r a t o r A g r e e m e n t , o n o n e h a n d , a n d a n y 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 , o n t h e o t h e r h a n d , i n r e s p e c t o f t h e A U T H O R I T Y ' s a n d C O N T R A C T O R ' s
r e s p e c t i v e r i g h t s a n d d u t i e s a r i s i n g i n r e s p e c t o f t h e o p e r a t i o n o f t h e O C T A P o r t i o n b e t w e e n t h e
E f f e c t i v e D a t e a n d t h e A c t u a l O p e n i n g D a t e , t h e f o r m e r s h a l l g o v e r n ; a n d ( d ) t h e t e r m o f t h e
E x i s t i n g O p e r a t o r A g r e e m e n t s h a l l b e s u b j e c t t o e x t e n s i o n a c c o r d i n g t o A r t i c l e 5 ( C ) h e r e o f .
( 3 ) S u b j e c t t o t h e p r o v i s i o n s o f A r t i c l e 2 f f i ) ( 4 ) , e f f e c t i v e a s o f t h e A c t u a l
O p e n i n g D a t e , t h e E x i s t i n g O p e r a t o r 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 b e e n t e r m i n a t e d ; a n d
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thereafter it shall be null, void and of no further force or effect whatsoever; provided, however,
that such termination (a) shall not impair any right that CONTRACTOR may have for payment
by the AUTHORITY for services rendered before the Actual Opening Date and pursuant to the
Existing Operator Agreement or any provision thereof; and (b) shall not result in an automatic
increase of the annual fee payable by AUTHORITY to CONTRACTOR pursuant to Section 3.2
of the Software Installation and License Agreement.
(4) Notwithstanding Article 2(B)(3), if the Actual Opening Date shall not have
occurred by the Opening Deadline then (a) this Agreement shall terminate as set forth in Article
5(B); and (b) if it has not terminated and is still in force and effect, the Existing Operator
Agreement shall be deemed to have been revived; and, from and after the Opening Deadline, the
Existing Operator Agreement alone shall govern the relationship between the AUTHORITY and
CONTRACTOR in respect to the operation of the OCTA Portion.
C. If any portion of this Agreement is finally adjudicated by a court of competent
jurisdiction to be illegal, invalid or unenforceable, then such portion shall be deemed severed
from the remainder of this Agreement; and the remainder shall be fully enforceable as though the
severed portion of this Agreement had never been made a part hereof.
D. No Party's failure to insist in any one or more instances upon the performance of
any term(s) or condition(s) of this Agreement shall be construed as a waiver or relinquishment of
such Party's right to future performance of such terms or conditions; and the respective obligee's
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obligation in respect thereto shall continue in full force and effect.
E. No Party assumes any responsibility for any understanding or representations
made by any of such Party's officers, employees or agents prior to the execution of this
Agreement, unless such understanding or representations are expressly stated in this Agreement.
F. No changes to any portion of this Agreement shall bind any Party unless the same
shall have been specifically set forth in a writing signed by an authorized representative of the
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P a r t y t o b e c h a r g e d .
A R T I C L E 3 . P A R T Y D E S I G N E E S ; C O O R D I N A T I O N
A . T h e C h i e f E x e c u t i v e O f f i c e r o f t h e A U T H O R I T Y , o r h i s o r h e r d e s i g n e 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 f o r a n d e x e r c i s e a n y o f t h e r i g h t s o f t h e A U T H O R I T Y a s s e t f o r t h i n t h i s
A g r e e m e n t ( t h e " A U T H O R I T Y R e p r e s e n t a t i v e " ) .
B . T h e E x e c u t i v e D i r e c t o r o f t h e C O M M I S S I O N , o r h i s o r h e r d e s i g n e 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 f o r a n d e x e r c i s e a n y o f t h e r i g h t s o f t h e C O M M I S S I O N a s s e t f o r t h i n 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 R e p r e s e n t a t i v e " ) .
C . T h e C h i e f E x e c u t i v e O f f i c e r o f C O N T R A C T O R , o r h i s o r h e r d e s i g n e 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 f o r a n d e x e r c i s e a n y o f t h e r i g h t s o r o b l i g a t i o n s o f C O N T R A C T O R a s s e t
f o r t h i n 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 R e p r e s e n t a t i v e " ) .
D . F r o m a n d a f t e r t h e E f f e c t i v e D a t e , t h e a b o v e r e f e r e n c e d r e p r e s e n t a t i v e s o f t h e
P a r t i e s ( t h e " R e p r e s e n t a t i v e s " ) s h a l l m e e t j o i n t l y i n p e r s o n , o n a r e g u l a r l y s c h e d u l e d b a s i s a s s e t
f o r t h i n t h e O p e r a t i n g P r o c e d u r e a n d a d d i t i o n a l l y a s t h e s a i d R e p r e s e n t a t i v e s s h a l l o t h e r w i s e
m u t u a l l y a g r e e , 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 t h e P a r t i e s i n r e s p e c t o f t h e 9 1 E x p r e s s
L a n e s , a n d 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 C O N T R A C T O R r e g a r d 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 u n d e r t h i s A g r e e m e n t .
A R T I C L E 4 . S T A T E M E N T S O F W O R K
A . F r o m a n d a f t e r t h e E f f e c t i v e D a t e , a n d u n t i l t h e A c t u a l O p e n i n g D a t e ,
C O N T R A C T O R s h a l l p e r f o r m t h e w o r k n e c e s s a r y t o c o m p l e t e , i n a m a n n e r s a t i s f a c t o r y t o t h e
A U T H O R I T Y , t h e s e r v i c e s a n d r e q u i r e m e n t s i n r e s p e c t o f t h e O C T A P o r t i o n t h a t a r e s p e c i f i e d i n
A r t i c l e 3 a n d E x h i b i t A o f t h e E x i s t i n g O p e r a t o r A g r e e m e n t .
B . F r o m a n d a f t e r t h e A c t u a l O p e n i n g D a t e , C O N T R A C T O R s h a l l p e r f o r m t h e w o r k
n e c e s s a r y t o c o m p l e t e , i n a m a n n e r s a t i s f a c t o r y t o t h e A U T H O R I T Y a n d t h e C O M M I S S I O N , t h e
P a g e 7 o f 5 3
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services and requirements specified herein and set forth in Exhibit A, entitled "Joint Statement of
Work", which is attached to and, by this reference, incorporated in and made a part of this
Agreement, including all attachments thereto. The Joint Statement of Work sets forth ·those
services of CONTRACTOR generally required for the normal day-to-day operation and
maintenance of the 91 Express Lanes as a single and seamless toll facility from the customer's
perspective, and to be jointly funded by the AUTHORITY and the COMMISSION as set forth in
this Agreement.
8
C. From and after the Actual Opening Date, CONTRACTOR shall perform the work
9
necessary to complete, in a manner satisfactory to the AUTHORITY, the additional services and
10
requirements specified herein and set forth in Exhibit B, entitled "AUTHORITY Statement of
Work", which is attached to and, by this reference, incorporated in and made a part of this
Agreement. The AUTHORITY Statement of Work sets forth those special or additional services
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of CONTRACTOR above and beyond what shall be provided under the Joint Statement of Work •
that the AUTHORITY requires in connection with the OCTA Portion, and to be funded solely by
the AUTHORITY as set forth in this Agreement. In addition, the AUTHORITY and
CONTRACTOR jointly may amend the AUTHORITY Statement of Work to include future
additional services from time to time. Exhibit B shall include the agreed monthly sum for the
services to be provided under the AUTHORITY Statement of Work.
D. From and after the Effective Date, CONTRACTOR shall perform the work
necessary to complete, in a manner satisfactory to the COMMISSION, the additional services and
requirements specified herein and set forth in Exhibit C, entitled "COMMISSION Statement of
Work", which is attached to and, by this reference, incorporated in and made a part of this
Agreement. The COMMISSION Statement of Work sets forth those special or additional
services of CONTRACTOR above and beyond what shall be provided under the Joint Statement
of Work that the COMMISSION requires in connection with the RCTC Portion, and to be funded
Page 8 of53
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s o l e l y b y t h e C O M M I S S I O N a s s e t f o r t h i n t h i s A g r e e m e n t . I n a d d i t i o n , t h e C O M M I S S I O N a n d
C O N T R A C T O R j o i n t l y m a y a m e n d t h e C O M M I S S I O N S t a t e m e n t o f W o r k t o i n c l u d e f u t u r e
a d d i t i o n a l s e r v i c e s f r o m t i m e t o t i m e . E x h i b i t C s h a l l i n c l u d e t h e a g r e e d m o n t h l y s u m f o r t h e
s e r v i c e s t o b e p r o v i d e d u n d e r t h e C O M M I S S I O N S t a t e m e n t o f W o r k . E x h i b i t C s h a l l a l s o
i n c l u d e t h e P r e - O p e r a t i o n s P e r i o d c o s t s a n d s e r v i c e s , ( a s m o r e p a r t i c u l a r l y d e f i n e d i n E x h i b i t C )
t o b e p a i d f o r b y C o m m i s s i o n i n t h e t i m e , m a n n e r a n d a m o u n t a s s e t f o r t h i n E x h i b i t C .
C O M M I S S I O N a n d C O N T R A C T O R a c k n o w l e d g e t h a t t h e P r e - O p e r a t i o n s P e r i o d c o s t s a n d
s e r v i c e s s h a l l n o t i n c l u d e t h o s e c o s t s a n d s e r v i c e s w h i c h w i l l b e s e t f o r t h i n t h a t c e r t a i n E l e c t r o n i c
T o l l 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 g r a t i o n a n d I m p l e m e n t a t i o n A g r e e m e n t t o b e e n t e r e d
i n t o b e t w e e n C o f i r o u t e U S A , L L C . , a n d C O M M I S S I O N .
A R T I C L E 5 . T E R M O F A G R E E M E N T
A . A r t i c l e s 2 . 3 ( A ) - ( C ) , 5 ( A ) , 5 ( B ) , 6 ( A ) , 8 ( B ) , 1 0 . 1 1 , 1 7 , 2 0 , 2 2 . 2 3 , 2 5 . a n d 3 0 - 3 4
o f t h i s A g r e e m e n t , a n d n o o t h e r p o r t i o n h e r e o f , s h a l l g o i n t o e f f e c t i m m e d i a t e l y o n t h e E n t e r e d
I n t o D a t e . A l l o t h e r p o r 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 f i r s t b e c o m e e f f e c t i v e o n t h e E f f e c t i v e D a t e ;
p r o v i d e d , h o w e v e r , t h a t t h e C O M M I S S I O N s h a l l h a v e g i v e n t o t h e A U T H O R I T Y a n d
C O N T R A C T O R , s i x ( 6 ) m o n t h s ' a d v a n c e w r i t t e n n o t i c e o f t h e E f f e c t i v e D a t e . O n c e s u c h s i x
m o n t h s ' a d v a n c e w r i t t e n n o t i c e o f t h e E f f e c t i v e D a t e i s g i v e n , t h e C O M M I S S I O N m a y d e l a y t h e
E f f e c t i v e D a t e o n e t i m e b y u p t o t h r e e ( 3 ) m o n t h s b y a d d i t i o n a l w r i t t e n n o t i c e , s o l o n g a s s u c h
n o t i c e i s p r o v i d e d n o l a t e r t h a n t h r e e ( 3 ) m o n t h s p r i o r t o t h e t h e n - c u r r e n t E f f e c t i v e D a t e .
B . S u b j e c t t o t h e p r o v i s i o n s o f A r t i c l e 5 ( A ) , t h i s A g r e e m e n t w i l l f i r s t g o i n t o e f f e c t o n
t h e E f f e c t i v e D a t e i r r e s p e c t i v e o f w h e t h e r t h e R C T C P o r t i o n a c t u a l l y i s f i r s t m a d e a v a i l a b l e t o
t r a f f i c o n t h e P r o j e c t e d O p e n i n g D a t e ; p r o v i d e d , h o w e v e r , t h a t i f t h e A c t u a l O p e n i n g D a t e h a s n o t
o c c u r r e d b y t h e O p e n i n g D e a d l i n e , t h e n t h e P a r t i e s s h a l l b e d e e m e d t o h a v e m u t u a l l y t e r m i n a t e d
a n d c a n c e l l e d t h i s A g r e e m e n t e f f e c t i v e a s o f t h e O p e n i n g D e a d l i n e ; a n d t h e r e a f t e r t h i s A g r e e m e n t
s h a l l b e n u l l , v o i d a n d o f n o f u r t h e r f o r c e o r e f f e c t w h a t s o e v e r a s b e t w e e n a n y P a r t y ; p r o v i d e d ,
P a g e 9 o f 5 3
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however, that such termination shall not (x) impair any right that CONTRACTOR may have for
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payment by either Agency for services rendered pursuant to this Agreement after the Effective
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Date and before the Opening Deadline; (y) terminate any provisions of this Agreeme~t that
expressly survive the termination or expiration thereof; and (z) release, discharge, acquit or
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otherwise modify the obligations or liabilities of any Party hereto under this Agreement for the
period through and until the date of termi~ation.
C. From and after the Effective Date, but subject to the provisions of Article 5(B),
this Agreement shall continue in full force and effect through June 30, 2016 (the "Term"), unless
earlier terminated as provided in this Agreement; provided, however, that the Term shall be
subject to extension as follows:
(1) If the Effective Date is before April I, 2015, then if, as of April 1, 2015,
CONTRACTOR has performed its obligations as set forth in this Agreement, including all
Exhibits, as reasonably determined by the AUTHORITY, and is not in default as provided in
Article 18 hereof, then the Term of this Agreement shall renew on July 1, 2016 and shall continue
thereafter in full force and effect through and including June 30, 2021 (the "Extended Term").
(2) If the Effective Date is on or after April 1, 2015, then the Term sha11
automatica11y be extended through and including June 30, 2021; provided, that as of April 1,
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2015, CONTRACTOR would have been eligible, under the provisions of Artide 4, paragraph
B(2) of the Existing Operating Agreement, for an extension of that Agreement through June 30,
2021.
ARTICLE 6. KEY PERSONNEL
A. CONTRACTOR shall provide qualified personnel to fill the following positions
(collectively, "Key Personnel"): 1 Program Manager, 1 Manager of Information Systems and
Telecommunications, 1 Manager of Customer Service Center and Processing, l Customer Service
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Manager, 1 Processing Manager, 1 Operations Manager and l Accounting Manager. No person
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n a m e d t o a K e y P e r s o n n e l p o s i t i o n , n o r h i s / h e r s u c c e s s o r a p p r o v e d b y t h e A U T H O R I T Y a n d t h e
C O M M I S S I O N , s h a 1 1 b e r e m o v e d o r r e p l a c e d b y C O N T R A C T O R , n o r s h a l l h i s o r h e r s p e c i f i e d
f u n c t i o n o r l e v e l o f c o m m i t m e n t h e r e u n d e r b e c h a n g e d b y C O N T R A C T O R , w i t h o u t t h e p r i o r
w r i t t e n c o n s e n t o f b o t h t h e A U T H O R I T Y a n d t h e C O M M I S S I O N , w h i c h c o n s e n t 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 r d e l a y e d . I n t h e e v e n t C O N T R A C T O R w i s h e s t o r e p l a c e K e y
P e r s o n n e l , s u c h p e r s o n ' s s u c c e s s o r s h a 1 1 b e p r e s e n t e d t o t h e A U T H O R I T Y a n d t h e
C O M M I S S I O N f o r a p p r o v a l a n d s u c h a p p r o v a l 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 r d e l a y e d .
B . I f t h e A U T H O R I T Y o r t h e C O M M I S S I O N , o r b o t h o f t h e m , b e c o m e s d i s s a t i s f i e d
w i t h t h e p e r f o n n a n c e o f a n y K e y P e r s o n n e l o r a n y o t h e r i n d i v i d u a l e m p l o y e d b y C O N T R A C T O R
i n t h e p e r f o n n a n c e o f s e r v i c e s u n d e r t h \ s A g r e e m e n t , t h e n t h e A U T H O R I T Y o r t h e
C O M M I S S I O N s h a l l n o t i f y C O N T R A C T O R a n d t h e o t h e r r e s p e c t i v e A g e n c y i n w r i t i n g . W i t h i n
t h i r t y ( 3 0 ) d a y s o f r e c e i p t o f s u c h w r i t t e n n o t i c e , C O N T R A C T O R s h a l l e i t h e r p r o p o s e a
r e p l a c e m e n t p e r s o n f o r e v a l u a t i o n a n d a p p r o v a l b y t h e A U T H O R I T Y a n d t h e C O M M I S S I O N ,
w h i c h a p p r o v a l 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 r d e l a y e d ; o r c o r r e c t t h e i n c u m b e n t ' s
p e r f o r m a n c e d e f i c i e n c i e s . I f C O N T R A C T O R h a s e l e c t e d t o c o r r e c t t h e i n c u m b e n t ' s p e r f o r m a n c e
d e f i c i e n c i e s a n d t h e i n c u m b e n t ' s p e r f o r m a n c e d e f i c i e n c i e s a r e n o t c o r r e c t e d t o t h e
A U T H O R I T Y ' s a n d t h e C O M M I S S I O N ' s r e a s o n a b l e s a t i s f a c t i o n w i t h i n t h i r t y ( 3 0 ) d a y s a f t e r
C O N T R A C T O R ' s 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 r e f e r r e d t o a b o v e , t h e n C O N T R A C T O R s h a l l ,
w i t h i n t e n ( 1 0 ) d a y s a f t e r e x p i r a t i o n o f t h e s a i d 3 0 - d a y p e r i o d , r e m o v e t h e i n d i v i d u a l a t i s s u e
f r o m w o r k i n g o n t h e 9 1 E x p r e s s L a n e s a n d p r o p o s e t o t h e A U T H O R I T Y a n d t h e C O M M I S S I O N
a r e p l a c e m e n t p e r s o n f o r e v a l u a t i o n a n d a p p r o v a l b y t h e A U T H O R I T Y a n d t h e C O M M I S S I O N ;
w h o s e a p p r o v a l o f t h e s a i d r e p l a c e m e n t 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 r d e l a y e d .
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 , i f t h e K e y P e r s o n n e l o r o t h e r i n d i v i d u a l a t i s s u e i s n o t c o m p l y i n g
w i t h s a f e t y p o l i c i e s o r h a s e n g a g e d o r i s a l l e g e d t o h a v e e n g a g e d i n t h e f t , f r a u d o r e m b e z z l e m e n t ,
n o c u r e p e r i o d s h a l l b e r e q u i r e d a n d , p r o m p t l y o n t h e f i r s t t o o c c u r o f e i t h e r w r i t t e n n o t i c e f r o m
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an Agency or discovery by CONTRACTOR (in which case, CONTRACTOR shall promptly
notify the Agencies in writing of the same), CONTRACTOR shall immediately remove such
individual from working on the 91 Express Lanes and propose to the AUTHORITY and the
COMMISSION a replacement person for evaluation and approval by the AUTHORITY and the
COMMISSION; whose approval of the said replacement shall not be unreasonably withheld or
delayed.
ARTICLE 7. PAYMENT
A. For CONTRACTOR's full and complete performance of its obligations under this
Agreement, the AUTHORITY and the COMMISSION each shall pay CONTRACTOR as
provided in this Article 7.
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B . B e g i n n i n g o n t h e f i r s t d a y o f t h e f i r s t f u l l c a l e n d a r m o n t h a f t e r t h e E f f e c t i v e D a t e ,
a n d c o n t i n u i n g o n t h e 1 5 t h d a y o f t h a t m o n t h a n d o n t h e f i r s t a n d 1 5 t h d a y o f e a c h s u c c e e d i n g
c a l e n d a r m o n t h u n t i l t h e A c t u a l O p e n i n g D a t e , C O N T R A C T O R s h a l l s u b m i t s e p a r a t e i n v o i c e s t o
t h e A U T H O R I T Y a n d t h e C O M M I S S I O N f o r t h e s e r v i c e s p e r f o r m 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 .
E a c h i n v o i c e s h a l l i n c l u d e :
( 1 ) I n t h e c a s e o f t h e i n v o i c e p r e s e n t e d t o t h e A U T H O R J T Y :
( a ) T h e s u m d u e C O N T R A C T O R p u r s u a n t t o A r t i c l e 6 ( B ) o f t h e
E x i s t i n g O p e r a t o r A g r e e m e n t , s u b j e c t t o A r t i c l e 7 . 5 ( a n d / o r a n y s u c c e s s o r p r o v i s i o n o f t h e
E x i s t i n g O p e r a t o r A g r e e m e n t e s t a b l i s h i n g A U T H O R I T Y ' s m a x i m u m c u m u l a t i v e p a y m e n t
o b l i g a t i o n t h e r e u n d e r ) .
( b ) T h e s u m , a g r e e d u p o n i n w r i t i n g b y A U T H O R J T Y a n d
C O N T R A C T O R , f o r n o n - r e c u r r i n g o r s p e c i a l s e r v i c e s p e r f o r m e d b y C O N T R A C T O R f o r t h e
A U T H O R I T Y i n r e s p e c t o f t h e 9 1 E x p r e s s L a n e s .
( 2 ) I n t h e c a s e o f t h e i n v o i c 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 :
( a ) T h e a g r e e d s u m , i n a c c o r d a n c e w i t h A r t i c l e 4 I D ) , o r t h e i n c r e a s e d
s u m i n a c c o r d a n c e w i t h A r t i c l e 7 ( F ) , f o r r e g u l a r s e r v i c e s r e n d e r e d b y C O N T R A C T O R u n d e r t h e
C O M M I S S I O N S t a t e m e n t o f W o r k ; a n d
( b ) T h e s u m , a g r e e d u p o n i n w r i t i n g b y C O M M I S S I O N a n d
C O N T R A C T O R , f o r n o n - r e c u r r i n g o r s p e c i a l s e r v i c e s p e r f o n n e d b y C O N T R A C T O R f o r t h e
C O M M I S S I O N i n r e s p e c t o f t h e 9 1 E x p r e s s L a n e s .
C . B e g i n n i n g o n t h e f i r s t d a y o f t h e f i r s t f u l l c a l e n d a r m o n t h a f t e r t h e A c t u a l O p e n i n g
D a t e , a n d c o n t i n u i n g o n t h e 1 5 t h d a y o f t h a t m o n t h a n d o n t h e f i r s t a n d 1 5 t h d a y o f e a c h
s u c c e e d i n g c a l e n d a r m o n t h d u r i n g t h e T e r m , C O N T R A C T O R s h a l l s u b m i t s e p a r a t e i n v o i c e s t o
t h e A U T H O R I T Y a n d t h e C O M M I S S I O N f o r t h e s e r v i c e s p e r f o r m 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 .
E a c h i n v o i c e s h a l l i n c l u d e :
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(1) In the case of the invoice presented to the AUTHORITY:
(a) An amount equal to one-half of the fixed monthly fee for regular
services rendered to the AUTHORITY by CONTRACTOR under the Joint Statement of Work;
said fee to be determined in accordance with Article 7CF) and Article 7(K);
(b) The agreed sum, in accordance with Article 4{C), or the increased
sum in accordance with Article 7(F), for regular services rendered by CONTRACTOR under the
AUTHORITY Statement of Work; and
(c) The sum, agreed upon in writing by AUTHORITY and
CONTRACTOR, for non-recurring or special services performed by CONTRACTOR for the
AUTHORITY in respect of the 91 Express Lanes.
(d) The Temporary Supplemental Amount, if any, in accordance with
Article 7CH).
(2) In the case of the invoice presented to the COMMISSION:
(a) An amount equal to one-half of the fixed monthly fee for regular
services rendered by CONTRACTOR to the COMMISSION under the Joint Statement of Work;
said fee to be determined in accordance with Article 7(F) and Article 7(K);
(b) The agreed sum, in accordance with Article 4(0), or the increased
sum in accordance with Article 7(F), for regular services rendered by CONTRACTOR under the
COMMISSION Statement of Work; and
(c) The sum, agreed upon in writing by COMMISSION and
CONTRACTOR, for non-recurring or special services performed by CONTRACTOR for the
COMMISSION in respect of the 91 Express Lanes.
(d) · The Temporary Supplemental Amount, if any, in accordance with
Article 7(H).
D. The amounts described in Article 7(B) and ArticJe 7(C) exdude payments for
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s e r v i c e s r e n d e r e d b y C O N T R A C T O R t o t h e A U T H O R I T Y , t h e C O M M I S S I O N , o r e i t h e r o f
t h e m , p u r s u a n t t o a n y c o n t r a c t o t h e r t h a n t h i s A g r e e m e n t , e x c e p t f o r s o f t w a r e l i c e n s i n g f e e a n d
s o f t w a r e m a i n t e n a n c e p a y m e n t s a n d / o r o t h e r p a y m e n t s u n d e r c o n t r a c t s e x p r e s s l y i n c l u d e d w i t h i n
t h e J o i n t S t a t e m e n t o f W o r k , t h e C O M M I S S I O N S t a t e m e n t o f W o r k , o r t h e A U T H O R I T Y
S t a t e m e n t o f W o r k . T h e a m o u n t s p a y a b l e b y A U T H O R I T Y a n d C O M M I S S I O N , r e s p e c t i v e l y ,
p u r s u a n t t o A r t i c l e s 7 ( C ) ( l ) ( a ) a n d 7 ( C ) ( 2 ) ( a ) f o r t h e f u l l m o n t h a r e e a c h s e p a r a t e l y r e f e r r e d t o
h e r e i n a s t h e " M o n t h l y L u m p S u m P r i c e . " T h e M o n t h l y L u m p S u m P r i c e s h a l l b e c a l c u l a t e d b y
a d j u s t i n g t h e b a s e l i n e s u m s s e t f o r t h i n A r t i c l e 7 ( K ) i n a c c o r d a n c e w i t h A r t i c l e 7 ( F ) .
E . I n v o i c e s s h a l l b e s u b m i t t e d , r e s p e c t i v e l y , t o t h e a t t e n t i o n o f t h e A U T H O R I T Y ' s
a n d t h e C O M M I S S I O N ' s A c c o u n t s P a y a b l e o f f i c e s , w i t h a c o p y t o t h e A U T H O R I T Y ' s a n d t h e
C O M M I S S I O N ' s r e s p e c t i v e d e s i g n a t e d 9 1 E x p r e s s L a n e s G e n e r a l M a n a g e r s . T h e A U T H O R I T Y
a n d t h e C O M M I S S I O N s h a l l e a c h r e m i t p a y m e n t w i t h i n f i f t e e n ( 1 5 ) d a y s o f r e c e i p t a n d a p p r o v a l
o f e a c h i n v o i c e ; w h i c h a p p r o v a l 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 r d e l a y e d . I f a n y p o r t i o n o f
a n i n v o i c e i s d i s p u t e d b y t h e A U T H O R I T Y o r t h e C O M M I S S I O N , t h e n t h e d i s p u t i n g A g e n c y
s h a l l p r o m p t l y p a y a l l u n d i s p u t e d p o r t i o n s o f s u c h i n v o i c e . A l l s u c h d i s p u t e s s h a l l b e r e s o l v e d
w i t h i n t h i r t y ( 3 0 ) d a y s o f p r e s e n t a t i o n o f t h e i n v o i c e i n q u e s t i o n a n d , t o t h e e x t e n t r e s o l v e d i n
f a v o r o f C O N T R A C T O R , b e i n c l u d e d i n t h e s u b s e q u e n t p a y m e n t t o C O N T R A C T O R . I f t h e
P a r t i e s s u b j e c t t o t h e d i s p u t e a r e u n a b l e t o r e s o l v e i t w i t h i n t h e f o r e g o i n g t i m e f r a m e , t h e d i s p u t e
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 s e t f o r t h i n A r t i c l e 1 7 .
F . T h e M o n t h l y L u m p S u m P r i c e a n d t h e a d d i t i o n a l p a y m e n t s d e s c r i b e d i n A r t i c l e s
7 ( B ) ( 2 ) ( a ) a n d 7 ( C ) ( 2 ) ( b ) , e x c e p t a s m a y b e e x p r e s s l y s e t f o r t h i n t h e C O M M I S S I O N S t a t e m e n t
o f W o r k o r t h e A U T H O R I T Y S t a t e m e n t o f W o r k , s h a l l b e s u b j e c t t o a n a u t o m a t i c a n n u a l
i n c r e a s e i n a c c o r d a n c e w i t h t h i s A r t i c l e 7 ( F ) . F o r t h e p e r i o d c o m m e n c i n g J u l y l s t o f t h e f i r s t
y e a r f o l l o w i n g t h e E n t e r e d I n t o D a t e t h r o u g h J u n e 3 0 , 2 0 1 6 , t h e a u t o m a t i c a n n u a l i n c r e a s e s h a l l
b e t h r e e p e r c e n t ( 3 % ) p e r y e a r . P r i o r t o J u n e 3 0 , 2 0 1 6 , u n l e s s t h i s A g r e e m e n t i s n o t s u b j e c t t o
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extension pursuant to Article 5(C), the Parties shall amend this Agreement to set forth the terms
for any automatic annual increases in the Monthly Lump Sum Price and/or the additional
payments described in Articles 7{B)(2)(a) and 7(C)(2)(b) applicable to the period commencing
July I, 2016 through June 30, 2021. The payments described in Articles 7(B)(l), 7(B)(2)(b),
7(C)O)(b), 7(C)(l)(c) and 7(C)(2){c) are not subject to any annual increases pursuant to this
Agreement.
G. Except as otherwise agreed upon by the Parties, in writing, CONTRACTOR shall
be solely responsible for, and shall pay in full when due, all subcontractors, vendors, suppliers
and other costs retained or incurred by or at the direction of CONTRACTOR in the performance
of CONTRACTOR'S obligations under this Agreement, unless expressly stated otherwise in this
Agreement.
H. If an Agency shall be in material default of its obligation to pay any undisputed
portion of the Monthly Lump Sum Price, any undisputed costs associated with that Agency's
Statement of Work or any undisputed costs associated with special and non-recurring services
requested by that Agency pursuant to the terms of this Agreement, and CONTRACTOR has
exercised its right to suspend performance of its work for the defaulting Agency pursuant to
Article l 8(E), then, for the lesser of (i) the period in which CONTRACTOR continues during that
period to provide regular services under the Joint Statement of Work pursuant to this Agreement;
or (ii) six months, the non-defaulting Agency's obligation under Article 7(C)O)(a) or 7(C)(2)(a),
as the case may be, shall be adjusted as follows:
In addition to paying its portion of the Monthly Lump Sum Price under Article 7,
the non-defaulting Agency shall pay to CONTRACTOR, on a monthly basis, the Temporary
Supplement Amount. As used herein, the "Temporary Supplement Amount" shall mean an
amount equal to the difference between (x) the actual costs incurred by CONTRACTOR for
continuing to perform its services under this Agreement for the non-defaulting Agency during
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t h a t m o n t h a n d ( y ) t h e a g g r e g a t e o f t h e a m o u n t s i n v o i c e d t o t h e n o n - d e f a u l t i n g A g e n c y u n d e r
A r t i c l e s 7 ( B ) ( 2 ) a n d 7 ( C ) ( 2 ) o r 7 f f i ) ( l ) a n d 7 ( C ) ( l ) , a s a p p l i c a b l e , d e p e n d i n g o n w h e t h e r
A U T H O R I T Y o r C O M M I S S I O N i s t h e n o n - d e f a u l t i n g A g e n c y , f o r t h a t m o n t h . T h e T e m p o r a r y
S u p p l e m e n t A m o u n t s h a l l b e d e t e r m i n e d o n a g o o d f a i t h , o p e n b o o k a n d v e r i f i a b l e b a s i s a n d s h a l l
e x c l u d e a n y p r o f i t o r o v e r h e a d c o s t s , o t h e r t h a n A l l o w a b l e O v e r h e a d , a s d e f i n e d i n t h e f o l l o w i n g
s e n t e n c e . A s u s e d h e r e i n , t h e t e r m " A l l o w a b l e O v e r h e a d " s h a l l m e a n d i r e c t a n d i n d i r e c t o n g o i n g
c u s t o m a r y , o r d i n a r y , a c t u a l a n d r e a s o n a b l e e x p e n s e s w h i c h a r e d i r e c t l y a n d i n d i r e c t l y a f f i l i a t e d
w i t h C O N T R A C T O R c o n t i n u i n g t o p e r f o r m i t s s e r v i c e s f o r t h e n o n - d e f a u l t i n g a g e n c y a n d s h a l l
n o t i n c l u d e a n y a m o u n t f o r o v e r h e a d i n c l u d e d i n t h e n o n - d e f a u l t i n g a g e n c y ' s M o n t h l y L u m p S u m
P r i c e o r a n y s u c h e x p e n s e s r e l a t e d t o a n y m e m b e r , a f f i l i a t e o r p a r e n t e n t i t y o f C O N T R A C T O R .
T h e A l l o w a b l e O v e r h e a d s h a l l b e d e t e r m i n e d i n a c c o r d a n c e w i t h t h e 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 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 a n t ( " C P A " ) s e l e c t e d a n d p a i d f o r b y C O N T R A C T O R ,
a n d a c c e p t a b l e t o t h e n o n - d e f a u l t i n g A g e n c y , w h i c h C P A s h a l l p r o v i d e a n o p i n i o n l e t t e r t o t h e
n o n - d e f a u l t i n g A g e n c y , i n a f o r m a c c e p t a b l e t o t h e n o n - d e f a u l t i n g A g e n c y , t h a t t h e A l l o w a b l e
O v e r h e a d h a s b e e n d e t e r m i n e d b y s u c h C P A 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 p r o f e s s i o n a l s t a n d a r d s
a n d t h i s p a r a g r a p h . T h e C P A ' s d e t e r m i n a t i o n o f t h e A l l o w a b l e O v e r h e a d s h a l l b e s u b j e c t t o a u d i t
a n d a p p r o v a l b y t h e n o n - d e f a u l t i n g A g e n c y . T h e n o n - d e f a u l t i n g A g e n c y ' s a u d i t o f t h e C P A ' s
d e t e r m i n a t i o n o f A l l o w a b l e O v e r h e a d s h a l l r e l y o n a n d b e l i m i t e d t o b o o k s a n d r e c o r d s u s e d b y
t h e C P A i n i t s c a l c u l a t i o n o f t h e A l l o w a b l e O v e r h e a d , a s w e l l a s a n y r e a s o n a b l e s p e c i f i c
i n f o r m a t i o n r e q u e s t e d b y t h e n o n - d e f a u l t i n g A g e n c y i n o r d e r t o v a l i d a t e t h e A l l o w a b l e O v e r h e a d
r a t e . P a y m e n t o f t h e T e m p o r a r y S u p p l e m e n t A m o u n t s h a l l n o t l i m i t C O N T R A C T O R ' s r i g h t s t o
r e c o v e r m o n e t a r y d a m a g e s a g a i n s t t h e d e f a u l t i n g A g e n c y a r i s i n g o u t o f t h e m a t e r i a l d e f a u l t n o r
s h a l l i t l i m i t t h e n o n - d e f a u l t i n g A g e n c y ' s r i g h t s t o s e e k r e i m b u r s e m e n t f r o m t h e d e f a u l t i n g
A g e n c y a r i s i n g o u t o f t h e d e f a u l t i n g A g e n c y ' s m a t e r i a l d e f a u l t . C O N T R A C T O R s h a l l h a v e a
d u t y t o m i t i g a t e a n d r e d u c e c o s t s , e q u i p m e n t a n d m a n p o w e r ( " D e m o b i l i z a t i o n " ) d u r i n g a n y
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period in which the Temporary Supplement Amount applies. Prior to the expiration of the period
in which the Temporary Supplement is payable, the CONTRACTOR and the non-defaulting
Agency shall negotiate a new monthly lump sum payment for CONTRACTOR's continued
services to the non-defaulting Agency only, based on the actual additional costs incurred by
CONTRACTOR to provide the services to the non-defaulting Agency during the foregoing
referenced period, including reasonable profit and Allowable Overhead, which payment shall
apply to the remaining term of this Agreement ("New Monthly Lump Sum Payment"). If the
non-defaulting Agency and CONTRACTOR are unable to negotiate a New Monthly Lump Sum
Payment, the matter shall be referred to the dispute resolution provisions set forth in Article 17.
In no case shall the sum of the non-defaulting Agency's monthly lump sum price plus the
Temporary Supplement Amount, nor the New Monthly Lump Sum Payment, exceed an amount
•
equal to that amount which CONTRACTOR would have been entitled, under the Existing
Operator Agreement, for the corresponding month with respect to the OCT A Portion, had the •
Existing Operator Agreement been in force and effect during that month.
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I. If, following suspension of performance by CONTRACT~R pursuant to Article
1MID. and implementation by CONTRACTOR of cost reduction measures, including
Demobilization, as required pursuant to Article 7(H), the defaulting Agency cures its default
("Curing Agency") and requests CONTRACTOR to resume performance of services, the Curing
Agency shall also be responsible for and shall pay all actual costs and expenses incurred by
CONTRACTOR to resume such services ("Resumption Costs"). CONTRACTOR shall have a
period equal to the length of the suspension of work, not to exceed 6 months, to ramp up its
operations and services for the Curing Agency that were suspended to the levels that existed prior
to the suspension. Notwithstanding the foregoing, CONTRACTOR shall continue to be
responsible to the Curing Agency for performance of the services in accordance with this
Agreement, except where the Demobilization directly prevented such performance. In such case,
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C O N T R A C T O R s h a l l u s e i t s b e s t e f f o r t s t o p e r f o r m . T h e p r o v i s i o n s o f t h i s p a r a g r a p h a p p l y o n l y
t o t h e C u r i n g A g e n c y , a n d C O N T R A C T O R s h a l l r e m a i n f u l l y r e s p o n s i b l e f o r p e r f o r m i n g t h e
s e r v i c e s f o r t h e n o n - d e f a u l t i n g A g e n c y i n a c c o r d a n c e w i t h t h e t e r m s o f t h i s A g r e e m e n t , w i t h o u t
e x c e p t i o n .
J . N o t w i t h s t a n d i n g a n y 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 t o t h e c o n t r a r y , t h e P a r t i e s
m u t u a l l y a g r e e t h a t t h e m a x i m u m o b l i g a t i o n o f e a c h A g e n c y h e r e u n d e r s h a l l b e a s f o l l o w s :
( 1 ) A U T H O R I T Y ' s a n d C O M M I S S I O N ' s r e s p e c t i v e m a x i m u m c u m u l a t i v e p a y m e n t
o b l i g a t i o n , h e r e u n d e r , f o r t h e J o i n t S t a t e m e n t o f W o r k , f o r t h e p e r i o d c o m m e n c i n g o n t h e
E f f e c t i v e D a t e t h r o u g h J u n e 3 0 , 2 0 2 1 , s h a l l n o t e x c e e d F i f t y N i n e M i l l i o n , T w e l v e T h o u s a n d ,
O n e H u n d r e d F i f t y E i g h t D o l l a r s ( $ 5 9 , 0 1 2 , 1 5 8 ) , ( e x c l u d i n g f r o m t h e m a x i m u m c u m u l a t i v e
p a y m e n t o b l i g a t i o n , a n a m o u n t e q u a l t o : ( I ) t h e T e m p o r a r y S u p p l e m e n t A m o u n t ; ( 2 ) t h e
d i f f e r e n c e b e t w e e n t h e N e w M o n t h l y L u m p S u m P a y m e n t a n d t h e M o n t h l y L u m p S u m P r i c e , o r
( 3 ) a n y R e s u m p t i o n C o s t s , a s e a c h m a y b e a p p l i c a b l e ) w h i c h s h a l l i n c l u d e a l l a m o u n t s p a y a b l e t o
C O N T R A C T O R f o r i t s p e r f o r m a n c e o f t h e J o i n t S t a t e m e n t o f W o r k , a n d f o r a l l s u b c o n t r a c t s ,
l e a s e s , m a t e r i a l s a n d c o s t s a r i s i n g f r o m , o r d u e t o 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 .
( 2 ) A U T H O R I T Y ' s m a x i m u m c u m u l a t i v e p a y m e n t o b l i g a t i o n , h e r e u n d e r , f o r t h e
A U T H O R I T Y S t a t e m e n t o f W o r k , f o r t h e p e r i o d c o m m e n c i n g o n t h e E f f e c t i v e D a t e t h r o u g h J u n e
3 0 , 2 0 2 1 , s h a l l n o t e x c e e d T w o M i l l i o n , F i v e H u n d r e d E i g h t y E i g h t T h o u s a n d , F o u r H u n d r e d
T h i r t y E i g h t D o l l a r s ( $ 2 , 5 8 8 , 4 3 8 ) , w h i c h s h a l l i n c l u d e a l l a m o u n t s p a y a b l e t o C O N T R A C T O R
f o r i t s p e r f o r m a n c e o f t h e A U T H O R I T Y S t a t e m e n t o f W o r k , a n d f o r a l l s u b c o n t r a c t s , l e a s e s ,
m a t e r i a l s a n d c o s t s a r i s i n g f r o m , o r d u e t o 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 ) C O M M I S S I O N ' s m a x i m u m c u m u l a t i v e p a y m e n t o b l i g a t i o n , h e r e u n d e r , f o r t h e
C O M M I S S I O N S t a t e m e n t o f W o r k , f o r t h e p e r i o d c o m m e n c i n g o n t h e E f f e c t i v e D a t e t h r o u g h
J u n e 3 0 , 2 0 2 1 , s h a l l n o t e x c e e d O n e M i l l i o n , F o u r H u n d r e d N i n e t y T w o T h o u s a n d , F i f t y F o u r
D o l l a r s ( $ 1 , 4 9 2 , 0 5 4 ) , w h i c h s h a l l i n c l u d e a l l a m o u n t s p a y a b l e t o C O N T R A C T O R f o r i t s
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performance of the COMMISSION Statement of Work, and for all subcontracts, leases, materials
and costs arising from, or due to termination of, this Agreement.
(4) The Parties acknowledge that the maximum cumulative payment obligation
amounts set forth in Articles 70)(1), 1.Q)(6),and ZillQ), above, are, in part, based upon estimates
of the date of the Actual Opening Date and the corresponding aggregate sum of the payments
anticipated to be made pursuant to Articles 7(B)(2)(a), 7(C)(l)(a), 7(C)(2)(a), and 7(C)(2)(b).
Accordingly, upon amendment of this Agreement pursuant to Article 7(F) to set forth the terms
for any automatic annual increases in the Monthly Lump Sum Price and/or the additional
payments described in Articles 7(B)(2)(a) and 7(C)(2)(b) applicable to the period commencing
•
July 1, 2016 through June 30, 2021, the Parties shall also adjust the maximum cumulative
payment obligation amounts set forth in Articles 7(J)(l), .zala),and lillQ), above, to reflect any
changes to the estimates of the date of the Actual Opening Date and/or the aggregate sum of the
payments anticipated to be made pursuant to Articles 7(B)(2)(a), 7(C)(l)(a), 7(C)(2)(a), and •
7(C)(2)(b ).
K. The amount of the Monthly Lump Sum Price payable by AUTHORITY and
COMMISSION, respectively, during the annual periods following the Actual Opening Date shall
be determined by adjusting the baseline sums set forth below in accordance with Article 7(F)
from the Entered Into Date. The baseline sum for purposes of calculating the amount of the
Monthly Lump Sum Price for the first six (6) months following the Actual Opening Date shall be
Four Hundred Seventy Thousand Eight Hundred Seventeen Dollars ($470,817). The baseline sum
for purposes of calculating the Monthly Lump Sum Price for the period commencing six (6)
months following the Actual Opening Date through June 30, 2021 shall be Four Hundred Fifty
Two Thousand Three Hundred Fifty Thousand Dollars ($452,350).
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ARTICLE 8. PERFORMANCE MEASURES; OPERATING PROCEDURES
A. The performance measures applicable to CONTRACTOR' s performance of work
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a n d s e r v i c e s h e r e u n d e r a r e s e t f o r t h i n A t t a c h m e n t I o f E x h i b i t A 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 ( t h e " P e r f o r m a n c e M e a s u r e s " ) . A l l C O N T R A C T O R s e r v i c e s
a n d w o r k h e r e u n d e r s h a l l b e i n c o n f o r m a n c e w i t h t h e P e r f o r m a n c e M e a s u r e s .
B . T h e P a r t i e s a g r e e a s f o l l o w s r e g a r d i n g t h e J o i n t O p e r a t i n g P r o c e d u r e s :
( 1 ) T h e J o i n t S t a t e m e n t o f W o r k a n d a s s o c i a t e d M o n t h l y L u m p S u m P r i c e
r e f l e c t t h e j o i n t o p e r a t i o n o f t h e S t a t e R o u t e 9 1 E x p r e s s L a n e s i n O r a n g e a n d R i v e r s i d e C o u n t i e s ,
a n d i n c o r p o r a t e t h e r e q u i r e m e n t s o f b o t h A G E N C I E S .
( 2 ) T h e J o i n t S t a t e m e n t o f W o r k a n d a s s o c i a t e d M o n t h l y L u m p S u m P r i c e f o r
t h e j o i n t o p e r a t i o n o f t h e S t a t e R o u t e 9 1 E x p r e s s L a n e s i n O r a n g e a n d R i v e r s i d e C o u n t i e s a r e
b a s e d o n t h e a s s u m p t i o n t h a t t h e w r i t t e n o p e r a t i n g m a n u a l s i n t h e p o s s e s s i o n o f C O N T R A C T O R
a n d t h e A g e n c i e s , o p e r a t i n g s t a n d a r d s , p r o c e d u r e s a n d p r a c t i c e s b e i n g u s e d b y C O N T R A C T O R
u n d e r t h e E x i s t i n g A g r e e m e n t f o r t h e O C T A P o r t i o n , a s o f t h e E n t e r e d I n t o D a t e , ( " E x i s t i n g
O p e r a t i n g P r o c e d u r e s " ) w i l l b e m o d i f i e d t o r e f l e c t t h e j o i n t o p e r a t i o n o f t h e O C T A P o r t i o n a n d
t h e R C T C P o r t i o n , a n d t h a t t h e m o d i f i c a t i o n s o f t h e E x i s t i n g O p e r a t i n g P r o c e d u r e s w i l l n o t , o t h e r
t h a n r e f l e c t i n g t h e a d d i t i o n o f t h e R C T C P o r t i o n a n d r e q u i r e m e n t s r e l a t e d t h e r e t o a n d / o r
c o n t a i n e d i n t h e J o i n t S t a t e m e n t o f W o r k , s u b s t a n t i a l l y a l t e r t h e E x i s t i n g O p e r a t i n g P r o c e d u r e s .
T h e a m e n d e d a n d r e v i s e d E x i s t i n g O p e r a t i n g P r o c e d u r e s t o b e d e v e l o p 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 r e r e f e r r e d t o h e r e i n a s t h e " J o i n t O p e r a t i n g P r o c e d u r e s " .
( 3 ) T h e p r o p o s e d J o i n t O p e r a t i n g P r o c e d u r e s w i l l b e s u b m i t t e d b y
C O N T R A C T O R f o r r e v i e w a n d a p p r o v a l b y t h e A g e n c i e s n o m o r e t h a n t h i r t y ( 3 0 ) d a y s a f t e r t h e
E f f e c t i v e D a t e . C O N T R A C T O R s h a l l p r o m p t l y r e s p o n d t o a n y c o m m e n t s o r c o n c e r n s o f t h e
A g e n c i e s r e g a r d i n g t h e p r o p o s e d J o i n t O p e r a t i n g P r o c e d u r e s i n o r d e r t o a c h i e v e a p p r o v a l o f t h e
p r o p o s e d J o i n t O p e r a t i n g P r o c e d u r e s b y t h e A g e n c i e s n o l a t e r t h a n s i x t y ( 6 0 ) d a y 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 . O n c e t i m e l y a g r e e d u p o n i n w r i t i n g b y A U T H O R I T Y a n d t h e C O M M I S S I O N ,
C O N T R A C T O R s h a l l c o m p l y w i t h t h e J o i n t O p e r a t i n g P r o c e d u r e s a s p a r t o f i t s s e r v i c e s a n d
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obligations. If the Agencies fail to approve the proposed Joint Operating Procedures because of a
dispute between the Agencies, and the Agencies are unable to resolve such dispute, it shall be
resolved pursuant to the dispute resolution provisions of the Cooperative Agreement.
(4) Any changes to the Existing Operating Procedures that occur following the
Entered Into Date that the Agencies desire to have reflected in the Joint Operating Procedures will
be subject to an additive or deductive change order if such changes result in the addition or
deletion of effort by CONTRACTOR under the Joint Statement of Work, and otherwise meet the
requirements for a change order as set forth in paragraph C below, and/or in Article 14.
C. Subject to the terms of this Agreement, if an actual change of the Joint Operating
Procedures is made under this Agreement, either unilaterally pursuant to Article 8(D) or mutually
II
by COMMISSION and AUTHORITY, and such change (i) increases the costs of
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CONTRACTOR's performance of the services under this Agreement and (ii) is beyond the scope
of the Joint Statement of Work, the AUTHORITY Statement of Work, or the COMMISSION •
Statement of Work, as applicable, and requires an amendment thereto, CONTRACTOR may
submit a change order request for an adjustment to its compensation pursuant to Article 14.
D. If an Agency wishes to change the Joint Operating Procedures because it believes
that the change would only apply or impact its portion of the 91 Express Lanes, such Agency
shall deliver written notice thereof to the other Agency, which notice shall include the requested
change and an explanation of how such change will only apply to and impact such Agency's
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portion of the 91 Express Lanes. The Agency receiving such notice shall have ten (10) working
days to respond to such notice and any failure to respond within such time frame shall mean its
agreement that such change may be made. If the Agency receiving such notice responds within
such ten (I 0) working day period and indicates that such Agency disagrees that the proposed
change would only impact and apply to the portion of the 91 Express Lanes operated by the
Agency that wishes to change the Joint Operating Procedures, the Agencies shall promptly meet
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a n d c o n f e r r e g a r d i n g t h e p o t e n t i a l c h a n g e . I f t h e A g e n c i e s a r e u n a b l e t o r e s o l v e s u c h d i s p u t e , i t
s h a l l b e r e s o l v e d 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 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 .
E x c e p t i n t h e e v e n t o f a n E m e r g e n c y , C O N T R A C T O R s h a l l n o t i m p l e m e n t a n y s u c h c h a n g e t o
t h e J o i n t O p e r a t i n g P r o c e d u r e s u n t i l r e s o l u t i o n o f t h e d i s p u t e .
A R T I C L E 9 . C O N T R A C T O R ' S F I D U C I A R Y D U T Y ; O B L I G A T I O N S
R E G A R D I N G J O I N T O P E R A T I O N .
A . I n p e r f o r m i n g 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 s o l e r e s p o n s i b i l i t y a n d c o n t r o l
o f C O N T R A C T O R , C O N T R A C T O R s h a l l b e e n t r u s t e d w i t h t h e r e s p o n s i b i l i t y f o r h a n d l i n g t h e
f u n d s o f o t h e r s , f o r d o c u m e n t i n g f i n a n c i a l t r a n s a c t i o n s a n d f o r m a i n t a i n i n g t h e i n t e g r i t y o f
f i n a n c i a l r e c o r d s . C O N T R A C T O R s h a l l h a v e a f i d u c i a r y d u t y t o A U T H O R I T Y , C O M M I S S I O N
a n d t o t h e u s e r s o f t h e 9 1 E x p r e s s L a n e s . C O N T R A C T O R s h a l l e x e r c i s e i t s r e s p o n s i b i l i t y
p r u d e n t l y a n d s h a l l i n s t i t u t e a l l a p p r o p r i a t e m e c h a n i s m s f o r t h e c u s t o d y a n d a d m i n i s t 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 u n d s a n d r e c o r d s .
B . C o n s i s t e n t w i t h a p p l i c a b l e f e d e r a l , s t a t e a n d l o c a l l a w a n d w i t h t h e 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 , C O N T R A C T O R s h a l l o p e r a t e t h e O C T A a n d R C T C P o r t i o n s a s a s i n g l e a n d
s e a m l e s s t o l l f a c i l i t y f r o m t h e p e r s p e c t i v e o f t h e u s e r s o f t h e 9 1 E x p r e s s L a n e s ; p r o v i d e d , t h a t
n o t h i n g i n t h i s A r t i c l e 9 ( B ) s h a l l b e c o n s t r u e d a s m o d i f y i n g a n y o f t h e S t a t e m e n t s o f W o r k
d e s c r i b e d h e r e i n i n a n y r e s p e c t w h a t s o e v e r . C O N T R A C T O R s h a l l p r o m p t l y i n f o r m t h e A g e n c i e s
o f a n y r e q u i r e m e n t c o n t a i n e d i n a n y S t a t e m e n t o f W o r k t h a t C O N T R A C T O R b e l i e v e s t o b e
i n c o n s i s t e n t w i t h t h e r e q u i r e m e n t s o f t h i s A r t i c l e 9 ( B ) .
C C O N T R A C T O R s h a l l n o t d i f f e r e n t i a t e b e t w e e n o r f a v o r t h e A U T H O R I T Y a n d
C O M M I S S I O N i n p r o v i d i n g s e r v i c e s t o t h e A g e n c i e s o r t h e i r r e s p e c t i v e c u s t o m e r s o f t h e 9 1
E x p r e s s L a n e s .
D . I n r e s p o n d i n g t o E m e r g e n c i e s , a s d e f i n e d i n A r t i c l e 1 6 b e l o w , C O N T R A C T O R
s h a l l u t i l i z e a l l o f i t s r e s o u r c e s u n d e r t h i s A g r e e m e n t i n t h e m o s t e f f i c i e n t a n d e f f e c t i v e m a n n e r t o
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ensure safety, protect the public and each Agency and to reduce any damages liability that either
Agency may incur.
ARTICLE 10. NOTICES
All notices hereunder and communications regarding the interpretation of the terms of this
Agreement, or changes thereto, shall be effected by delivery of said notices in person or by
delivering said notices by recognized overnight mail or courier service, with delivery receipt
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requested or by depositing said notices in the U.S. mail, registered or certified mail, returned
receipt requested, postage prepaid and addressed as follows:
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T o C O N T R A C T O R : T o A U T H O R I T Y :
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C o f i r o u t e U S A , L L C . 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
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2 0 P a c i f i c a , S u i t e 4 2 0 5 5 0 S o u t h M a i n S t r e e t
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I r v i n e , C A 9 2 6 1 8 P . O . B o x 1 4 1 8 4
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O r a n g e , C A 9 2 8 6 3 - 1 5 8 4
A T T E N T I O N :
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G a r y L . H a u s d o r f e r , C h i e f A T T E N T I O N : M a n a g e r , C o n t r a c t s a n d
E x e c u t i v e O f f i c e r P r o c u r e m e n t
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T o C O M M I S S I O N :
1 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
1 2 4 0 8 0 L e m o n S t r e e t , 3 r d F l o o r
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1 4
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
1 5 A T T E N T I O N : A n n e M a y e r , E x e c u t i v e
1 6 D i r e c t o r
1 7
1 8 N o t i c e s s h a l l b e d e e m e d r e c e i v e d w h e n a c t u a l l y r e c e i v e d i n t h e o f f i c e o f t h e a d d r e s s e e ( o r
1 9 b y t h e a d d r e s s e e i f p e r s o n a l l y d e l i v e r e d ) o r w h e n d e l i v e r y i s r e f u s e d , a s s h o w n o n t h e r e c e i p t o f
2 0 t h e U . S . P o s t a l S e r v i c e , p r i v a t e c a r r i e r o r o t h e r p e r s o n m a k i n g t h e d e l i v e r y .
2 1 A R T I C L E 1 1 . I N D E P E N D E N T C O N T R A C T O R
2 2 C O N T R A C T O R ' s r e l a t i o n s h i p t o A U T H O R I T Y a n d C O M M I S S I O N i n t h e p e r f o r m a n c e
2 3 o f t h i s A g r e e m e n t i s t h a t o f a n i n d e p e n d e n t c o n t r a c t o r . C O N T R A C T O R ' s p e r s o n n e l p e r f o r m i n g
2 4 w o r k u n d e r t h i s A g r e e m e 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 T R A C T O R ' s e x c l u s i v e d i r e c t i o n a n d
2 5 c o n t r o l a n d s h a l l b e e m p l o y e e s o f C O N T R A C T O R a n d n o t e m p l o y e e s o f A U T H O R I T Y o r
2 6 C O M M I S S I O N . C O N T R A C T O R s h a l l p a y a l l w a g e s , s a l a r i e s , b e n e f i t s a n d o t h e r a m o u n t s d u e
" P a g e 2 5 o f 5 3
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its employees in connection with this Agreement and shall be responsible for all reports and
obligations respecting them, such as social security, income tax withholding, unemployment
compensation, workers' compensation insurance, and similar matters.
ARTICLE 12. INSURANCE A. Without limiting CONTRACTOR'S indemnification
obligations as they pertain to AUTHORITY, COMMISSION and their respective board members,
officers, directors, employees, representatives, agents, successors and assigns, and prior to
commencement of any work or services hereunder, CONTRACTOR shall procure and
continuously maintain in full force and affect through the Tenn of this Agreement, insurance
coverages specified herein. CONTRACTOR shall amend, supplement or endorse any existing
coverage used by CONTRACTOR to fulfill its obligations hereunder, as necessary, to comply
with the requirements contained in this Article 12. CONTRACTOR shall provide the following
msurance coverage:
1. Commercial General Liability insurance, to include premises, operations,
products-completed operations, personal and advertising injury and liability assumed under an
insured contract (including the tort liability of another assumed in a business contract) with no
endorsement or modification limiting the scope of coverage for liability assumed under a
contract. Products/Completed Operations, Independent Contractors', Contractual Liability, Broad
Form Property Damage and Personal Injury with a minimum limit of $1,000,000 per occurrence
and $2,000,000.00 general aggregate.
2. Automobile Liability insurance to include owned, hired and non-owned
autos with a combined single limit of not less than $1,000,000.00 each accident. Coverage must
be at least as broad as provided by Insurance Services Office form CA 00 01 covering bodily
injury and property damage for all activities of CONTRACTOR arising out of or in connection
with work or services performed under this Agreement and must include a waiver of subrogation
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in favor of AUTHORITY and COMMISSION;
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3 . 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 w i t h l i m i t s a s r e q u i r e d b y t h e S t a t e o f
C a l i f o r n i a , i n c l u d i n g w a i v e r o f s u b r o g a t i o n , i n f a v o r o f A U T H O R I T Y , C O M M I S S I O N , a n d t h e i r
o f f i c e r s , d i r e c t o r s , e m p l o y e e s a n d a g e n t s a n d E m p l o y e r ' s L i a b i l i t y I n s u r a n c e w i t h a m i n i m u m
l i m i t o f $ 1 , 0 0 0 , 0 0 0 e a c h a c c i d e n t f o r b o d i l y i n j u r y b y a c c i d e n t a n d e a c h e m p l o y e e f o r b o d i l y
i n j u r y b y d i s e a s e .
4 . U m b r e l l a o r e x c e s s l i a b i l i t y i n s u r a n c e w i t h l i m i t s o f n o t l e s s t h a n
$ 2 4 , 0 0 0 , 0 0 0 p e r o c c u r r e n c e a n d a g g r e g a t e t h a t w i l l p r o v i d e b o d i l y i n j u r y , p e r s o n a l i n j u r y a n d
p r o p e r t y d a m a g e l i a b i l i t y c o v e r a g e a t l e a s t a s b r o a d a s t h e p r i m a r y c o v e r a g e s s e t f o r t h a b o v e ,
i n c l u d i n g c o m m e r c i a l g e n e r a l l i a b i l i t y , a u t o l i a b i l i t y , a n d e m p l o y e r ' s l i a b i l i t y . S u c h p o l i c y o r
p o l i c i e s s h a l l i n c l u d e t h e f o l l o w i n g t e r m s a n d c o n d i t i o n s :
( a ) A d r o p d o w n f e a t u r e r e q u i r i n g t h e p o l i c y t o r e s p o n d i n t h e e v e n t
t h a t a n y p r i m a r y i n s u r a n c e t h a t w o u l d o t h e r w i s e h a v e a p p l i e d p r o v e s t o b e u n c o l l e c t a b l e i n w h o l e
o r i n p a r t f o r a n y r e a s o n ;
( b ) P a y o n b e h a l f o f w o r d i n g a s o p p o s e d t o r e i m b u r s e m e n t ;
( c ) C o n c u r r e n c y o f e f f e c t i v e d a t e s w i t h p r i m a r y p o l i c i e s ;
( d ) P o l i c i e s s h a l l " f o l l o w f o r m " t o t h e u n d e r l y i n g p r i m a r y p o l i c i e s ; a n d
I n s u r e d s u n d e r p r i m a r y p o l i c i e s s h a l l a l s o b e i n s u r e d s u n d e r t h e u m b r e l l a o r e x c e s s p o l i c i e s .
5 . C r i m e ( B l a n k e t F i d e l i t y ) w i t h l i m i t s o f n o t l e s s t h a n $ 5 , 0 0 0 , 0 0 0 c o v e r i n g
E m p l o y e e D i s h o n e s t y , F o r g e r y a n d A l t e r a t i o n .
6 . " C y b e r l i a b i l i t y " i n s u r a n c e , i n c l u d i n g p n v a c y l i a b i l i t y c o v e r a g e a n d
b u s i n e s s i n c o m e c o v e r a g e , w i t h l i m i t s o f n o t l e s s t h a n $ 1 0 , 0 0 0 , 0 0 0 p e r i n c i d e n t a n d i n t h e
a g g r e g a t e . I f w r i t t e n o n a " c l a i m s m a d e " b a s i s , p o l i c y s h a l l i n c l u d e p r i o r a c t s a t l e a s t a s f a r i n t h e
p a s t a s 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 . C o v e r a g e s h a l l a p p l y t o b o t h e l e c t r o n i c a n d p h y s i c a l
b r e a c h e s a n d t o e m p l o y e e d a t a a s w e l l a s c u s t o m e r d a t a . I n f o r m a t i o n i n t h e c a r e , c u s t o d y , o r
c o n t r o l o f v e n d o r s s h a l l b e c o v e r e d , i n c l u d i n g c o v e r a g e f o r " c l o u d " s y s t e m s o r f o r d a t a
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transferred by a third party. Coverage shall apply to accidental losses as well as breaches
perpetrated by outsiders or employees. Regulatory fines and penalties shall be covered. The
policy shall contain no requirement that all data be encrypted. Any business interruption coverage
waiting period shall be no greater than 12 hours. If, as of the Effective Date, the cyber liability
insurance coverage required hereunder is not available at a commercially reasonable price due to
disproportionate increases, significantly in excess of inflation, in the cost of such coverage from
the price contemplated as of the Entered Into Date, the Agencies will adjust the Monthly Lump
Sum Price based on then-current market conditions, or will determine to reduce or eliminate the
cyber liability coverage requirement.
B. Prior to commencement of any work hereof, CONTRACTOR shall furnish to the
•
Procurement Administrators of the AUTIIORITY and COMMISSION, as identified by the
individuals described in Articles 3(A) and 3(B), broker-issued insurance certificates, in form and
substance satisfactory to AUTHORITY and COMMISSION, including an insurance company •
issued endorsement showing the required insurance coverages. The policies shall contain, or
shall be endorsed to contain, the following provisions:
1. All liability policies including general liability, excess liability and
automobile liability, shall provide or be endorsed to provide that AUTIIORITY, COMMISSION,
the California Department of Transportation ("CALTRANS") and their officers, directors,
employees and agents shall be included as additional insured on Commercial General Liability
and Automobile Liability certificates and on the insurance policy endorsement with respect to
performance hereunder; and
2. All liability coverage shall apply on a primary basis and shall not require
contribution from any insurance or self-insurance maintained by AUTHORITY, COMMISSION.
and/or CAL TRANS. The coverage shall be primary and noncontributory as to any other
insurance with respect to performance hereunder; and
Page 28 of 53
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3 . A l l p o l i c i e s s h a l l r e q u i r e t h a t 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 o f
c a n c e l l a t i o n , n o n r e n e w a l o f c o v e r a g e o r m a t e r i a l c h a n g e b e g i v e n t o A U T H O R I T Y a n d
C O M M I S S I O N .
C . " O c c u r r e n c e , " a s u s e d h e r e i n , m e a n s a n y e v e n t o r r e l a t e d e x p o s u r e t o c o n d i t i o n s
t h a t r e s u l t i n b o d i l y i n j u r y o r p r o p e r t y d a m a g e .
D . T h e C e r t i f i c a t e o f I n s u r a n c e s h a l l r e f e r e n c e A g r e e m e n t N u m b e r C - 3 - 1 5 2 9 ( f o r
O C T A ) a n d 1 3 - 3 1 - 1 0 5 - 0 0 ( f o r R C T C ) ; a n d , t h e P r o c u r e m e n t A d m i n i s t r a t o r s ' N a m e s , V i r g i n i a
A b a d e s s a , f o r A U T H O R I T Y , a n d M a t t h e w W a l l a c e f o r C O M M I S S I O N .
E . U p o n t h e r e q u e s t o f e i t h e r o r b o t h o f A U T H O R I T Y o r C O M M I S S I O N , c e r t i f i e d ,
t r u e a n d e x a c t c o p i e s o f e a c h o f t h e i n s u r a n c e p o l i c i e s s h a l l b e p r o v i d e d t o A U T H O R I T Y a n d / o r
C O M M I S S I O N , a s s p e c i f i e d i n t h e r e q u e s t .
F . A U T H O R I T Y a n d C O M M I S S I O N s h a l l n o t i f y C O N T R A C T O R i n w r i t i n g o f a n y
c h a n g e s i n t h e r e q u i r e m e n t s t o i n s u r a n c e r e q u i r e d t o b e p r o v i d e d b y C O N T R A C T O R . E x c e p t a s
s e t f o r t h i n t h i s A r t i c l e , a n y a d d i t i o n a l c o s t f r o m s u c h c h a n g e s h a l l b e p a i d b y A U T H O R I T Y a n d
C O M M I S S I O N , a n d a n y r e d u c t i o n i n c o s t s h a l l r e d u c e t h e c o m p e n s a t i o n p a y a b l e t o
C O N T R A C T O R p u r s u a n t t o a c h a n g e o r d e r .
G . U n l e s s a w a i v e r o r m o d i f i c a t i o n i s a g r e e d u p o n i n w r i t i n g b y t h e A g e n c i e s ,
C O N T R A C T O R s h a l l a l s o i n c l u d e i n e a c h s u b c o n t r a c t t h e s t i p u l a t i o n t h a t s u b c o n t r a c t o r s s h a l l
m a i n t a i n c o v e r a g e i n t h e a m o u n t s a n d o f t h e t y p e s r e q u i r e d a s p r o v i d e d i n t h i s A g r e e m e n t .
H . A l l i n s u r a n c e c o v e r a g e m a i n t a i n e d o r p r o c u r 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 s h a l l b e
e n d o r s e d t o w a i v e s u b r o g a t i o n a g a i n s t A U T H O R I T Y , C O M M I S S I O N , C A L T R A N S a n d t h e i r
o f f i c e r s , d i r e c t o r s , e m p l o y e e s a n d a g e n t s .
I . R e q u i r e m e n t s o f s p e c i f i c c o v e r a g e f e a t u r e s o r l i m i t s c o n t a i n e d i n t h i s A r t i c l e 1 2
a r e n o t i n t e n d e d a s a l i m i t a t i o n o n c o v e r a g e , l i m i t s o r o t h e r r e q u i r e m e n t s , o r a w a i v e r o f a n y
c o v e r a g e n o r m a l l y p r o v i d e d b y a n y i n s u r a n c e . S p e c i f i c r e f e r e n c e t o a g i v e n c o v e r a g e f e a t u r e i s
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for purposes of clarification only as it pertains to a given issue and is not intended by any party or
insured to be all inclusive, or to the exclusion of other coverage, or a waiver of any type.
J. Any self-insured retentions must be declared to and approved by AUTHORITY
and COMMISSION. AUTHORITY and COMMISSION reserve the right to require that self-
insured retentions be eliminated, lowered, or replaced by a deductible. Self-insurance will not be
considered to comply with these requirements unless approved by AUTHORITY and
COMMISSION.
K. If CONTRACTOR or any subcontractor fails to provide and maintain insurance as
required herein, then AUTHORITY and COMMISSION shall have the right but not the
obligation, to purchase such insurance, to terminate this Agreement, or to suspend
CONTRACTOR's right to continue performance of the services under this Agreement until
•
proper evidence of insurance is provided. Any amounts paid by AUTHORITY and
COMMISSION shall, at AUTHORITY and COMMISSION sole option, be deducted from •
amounts payable to CONTRACTOR or reimbursed by CONTRACTOR upon demand.
L. CONTRACTOR shall give AUTHORITY and COMMISSION prompt and timely
notice of claims made or suits instituted that arise out of or result from CONTRACTOR's
performance under this Agreement, and that involve or may involve coverage under any of the
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required liability policies. AUTHORITY and COMMISSION assume no obligation or liability
by such notice, but have the right (but not the duty) to monitor the handling of any such claim or
claims if they are likely to involve AUTHORITY and COMMISSION.
M. CONTRACTOR shall also procure and maintain, at its own cost and expense, any
additional kinds of insurance, which in its own judgment may be necessary for its proper
protection and prosecution of the work and services hereunder.
N. All insurance policies shall be issued by an insurance company currently
authorized by the Insurance Commissioner to transact business of insurance in the State of
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C a l i f o r n i a , w i t h a n a s s i g n e d p o l i c y h o l d e r s ' R a t i n g o f A - ( o r h i g h e r ) a n d F i n a n c i a l S i z e C a t e g o r y
C l a s s V I I ( o r l a r g e r ) i n a c c o r d a n c e w i t h t h e l a t e s t e d i t i o n o f B e s t ' s K e y R a t i n g G u i d e , 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 A U T I I O R I T Y a n d C O M M I S S I O N .
A R T I C L E 1 3 . P E R F O R M A N C E S E C U R I T Y
A . W i t h i n t e n ( 1 0 ) d a y s a f t e r t h e E f f e c t i v e D a t e , C O N T R A C T O R s h a l l , a t i t s s o l e
c o s t a n d e x p e n s e , o b t a i n a n d d e l i v e r t o e a c h o f A U T I I O R I T Y a n d C O M M I S S I O N , s e p a r a t e l y ,
c a s h , o n e o r m o r e l e t t e r s o f c r e d i t , U n i t e d S t a t e s T r e a s u r y s e c u r i t i e s a n d / o r a n y c o m b i n a t i o n
t h e r e o f ( a s d e t e r m i n e d b y C O N T R A C T O R a n d s a t i s f a c t o r y t o A U T H O R I T Y a n d
C O M M I S S I O N ) , i n a c o m b i n e d f a c e a m o u n t e q u a l t o T e n M i l l i o n D o l l a r s ( $ 1 0 , 0 0 0 , 0 0 0 ) , w i t h
F i v e M i l l i o n D o l l a r s ( $ 5 , 0 0 0 , 0 0 0 ) o f s u c h s e c u r i t y t o b e p r o v i d e d t o A U T H O R I T Y a n d F i v e
M i l l i o n D o l l a r s ( $ 5 , 0 0 0 , 0 0 0 ) o f s u c h s e c u r i t y t o b e p r o v i d e d t o C O M M I S S I O N , a l l a s s e c u r i t y
f o r t h e p e r f o r m a n c e o f C O N T R A C T O R ' s o b l i g a t i o n u n d e r t h i s A g r e e m e n t p r o v i d e d t h a t :
( 1 ) E a c h a n d e v e r y l e t t e r o f c r e d i t o r o t h e r s e c u r i t y s h a l l : ( a ) b e a " d i r e c t d r a w "
i n f o r m , a n d o t h e r w i s e s h a l l b e i n a f o r m a n d i s s u 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 r e a s o n a b l y
a c c e p t a b l e t o A U T H O R I T Y a n d C O M M I S S I O N ; ( b ) a s t o t h e s e c u r i t y p r o v i d e d t o
A U T H O R I T Y , p r o v i d e t h a t d r a w s t h e r e o n m a y b e b a s e d s o l e l y o n t h e p r e s e n t a t i o n o f a c e r t i f i c a t e
e x e c u t e d b y A U T H O R I T Y ' s C h i e f E x e c u t i v e O f f i c e r o r h i s d e s i g n e e , c e r t i f y i n g t h a t
C O N T R A C T O R h a s f a i l e d t o p e r f o r m i t s c o n t r a c t u a l o b l i g a t i o n s a s s e t f o r t h i n E x h i b i t A , t h a t a l l
c u r e p e r i o d s , i f a n y , a v a i l a b l e u n d e r t h i s A g r e e m e n t f o r t h e d e f a u l t i n q u e s t i o n h a v e e x p i r e d , a n d
s p e c i f y i n g t h e a m o u n t b e i n g d r a w n d o w n ; ( c ) a s t o t h e s e c u r i t y p r o v i d e d t o C O M M I S S I O N ,
p r o v i d e t h a t d r a w s t h e r e o n m a y b e b a s e d s o l e l y o n t h e p r e s e n t a t i o n o f a c e r t i f i c a t e e x e c u t e d b y
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 / h e r d e s i g n e e , c e r t i f y i n g t h a t C O N T R A C T O R h a s
f a i l e d t o p e r f o r m i t s c o n t r a c t u a l o b l i g a t i o n s a s s e t f o r t h i n E x h i b i t A , t h a t a l l c u r e p e r i o d s , i f a n y ,
a v a i l a b l e u n d e r t h i s A g r e e m e n t f o r t h e d e f a u l t i n q u e s t i o n h a v e e x p i r e d , a n d s p e c i f y i n g t h e
P a g e 3 1 o f 5 3
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. 14 .
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amount being drawn down; and (d) have a term no less than one year.
(2) During the Term of this Agreement, CONTRACTOR shall renew or
replace each and every letter of credit or other security, if necessary, no later thah sixty (60) days
before the date of its expiration with a letter of credit or other security conforming to the
provisions above and having a term of at least one (1) year from the date of issuance of such
renewal.
(3) If CONTRACTOR fails to renew in a timely manner (as described in
clause (2) above) the letter(s) of credit or other security provided to AUTHORITY, then
AUTHORITY shall be entitled to draw upon the security, and retain, an amount equal to that of
the expiring letter(s) of credit or other security.
(4) If CONTRACTOR fails to renew in a timely manner (as described in
•
clause (2) above) the letter(s) of credit or other security provided to COMMISSION, then
CQMMISSION, shall b...Utled to draw upon the security, and retain, an amount equal to that of •
the expiri~~~r(s) of credit or other security . .
B. CONTRACTOR shall maintain the security instruments throughout the Term of
this Agreement. All interest earned on cash or United States Treasury securities included in the
security deposit before the date of any CONTRACTOR default shall belong to CONTRACTOR,
but neither Agency shall have any obligation to invest any such amounts held.
C. Notwithstanding any other provision set forth in this Agreement, performance by a
Surety or Guarantor of any obligations of .CONTRACTOR shall not relieve CONTRACTOR of
any of its obligations thereunder.
ARTICLE 14. CHANGES
A. Subject to Article 14(P) and Article 14(.E), by written notice or order, with copy
thereof provided concurrently to COMMISSION, AUTHORITY may, from time to time, order
suspension of work provided under the AUTHORITY Statement of Work and/or make any
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c h a n g e t o t h e A U T H O R I T Y S t a t e m e n t o f W o r k , p r o v i d e d t h a t s u c h c h a n g e w i l l o n l y a f f e c t t h e
O C T A P o r t i o n . I f a n y s u c h w o r k s u s p e n s i o n o r c h a n g e c a u s e s a n i n c r e a s e o r d e c r e a s e i n t h e
p r i c e r e q u i r e d f o r p e r f o r m a n c e o f t h e A U T H O R I T Y S t a t e m e n t o f W o r k , a s d e t e r m i n e d p u r s u a n t
t o A r t i c l e 1 5 , C O N T R A C T O R s h a l l p r o m p t l y n o t i f y A U T H O R I T Y t h e r e o f a n d a s s e r t i t s c l a i m
f o r a d j u s t m e n t w i t h i n t e n ( I 0 ) c a l e n d a r d a y s a f t e r t h e c h a n g e o r w o r k s u s p e n s i o n i s o r d e r e d , a n d
a n e q u i t a b l e a d j u s t m e n t s h a l l b e n e g o t i a t e d . A U T H O R I 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 t h e
c o s t s o f a n y s u c h p r i c e i n c r e a s e a n d t h e b e n e f i t s o f a n y s u c h p r i c e d e c r e a s e .
B . S u b j e c t t o A r t i c l e 1 4 ( 0 ) a n d A r t i c l e 1 4 < E ) , b y w r i t t e n n o t i c e o r o r d e r , w i t h c o p y
t h e r e o f p r o v i d e d c o n c u r r e n t l y t o A U T H O R I T Y , C O M M I S S I O N m a y , f r o m t i m e t o t i m e , o r d e r
s u s p e n s i o n o f w o r k p r o v i d e d u n d e r t h e C O M M I S S I O N S t a t e m e n t o f W o r k a n d / o r m a k e a n y
c h a n g e t o t h e C O M M I S S I O N S t a t e m e n t o f W o r k , p r o v i d e d t h a t s u c h c h a n g e w i l l o n l y a f f e c t t h e
R C T C P o r t i o n . I f a n y s u c h w o r k s u s p e n s i o n o r c h a n g e c a u s e s a n i n c r e a s e o r d e c r e a s e i n t h e p r i c e
r e q u i r e d f o r p e r f o r m a n c e o f t h e C O M M I S S I O N S t a t e m e n t o f W o r k , a s d e t e r m i n e d p u r s u a n t t o
A r t i c l e 1 5 , C O N T R A C T O R s h a l l p r o m p t l y n o t i f y C O M M I S S I O N t h e r e o f a n d a s s e r t i t s c l a i m f o r
a d j u s t m e n t w i t h i n t e n ( I 0 ) c a l e n d a r d a y s a f t e r t h e c h a n g e o r w o r k s u s p e n s i o n i s o r d e r e d , a n d a n
e q u i t a b l e a d j u s t m e n t s h a l l b e n e g o t i a t e d . C O M M I S S I O N 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 t h e c o s t s
o f a n y s u c h p r i c e i n c r e a s e a n d t h e b e n e f i t s o f a n y s u c h p r i c e d e c r e a s e .
C . B y w r i t t e n n o t i c e o r o r d e r , A U T H O R I T Y a n d C O M M I S S I O N m a y , f r o m t i m e t o
t i m e , j o i n t l y , o r d e r s u s p e n s i o n o f w o r k p r o v i d e d u n d e r t h e J o i n t S t a t e m e n t o f W o r k a n d / o r m a k e
a n y c h a n g e t o t h e J o i n t S t a t e m e n t o f W o r k . I f a n y s u c h w o r k s u s p e n s i o n o r c h a n g e c a u s e s a n
i n c r e a s e o r d e c r e a s e i n t h e p r i c e r e q u i r e d f o r p e r f o r m a n c e o f t h e J o i n t S t a t e m e n t o f W o r k ,
C O N T R A C T O R s h a l l p r o m p t l y n o t i f y A U T H O R I T Y a n d C O M M I S S I O N t h e r e o f a n d a s s e r t i t s
c l a i m f o r a d j u s t m e n t w i t h i n t e n ( 1 0 ) c a l e n d a r d a y s a f t e r t h e c h a n g e o r w o r k s u s p e n s i o n i s
o r d e r e d , a n d a n e q u i t a b l e a d j u s t m e n t s h a l l b e n e g o t i a t e d . A U T H O R I T Y a n d C O M M I S S I O N
s h a l l e a c h b e j o i n t l y r e s p o n s i b l e f o r o n e h a l f ( I / 2 ) o f t h e c o s t s o f a n y s u c h p r i c e i n c r e a s e a n d
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receive one half (l/2) the benefits of any such price decrease, unless otherwise agreed upon by
AUTHORITY and COMMISSION.
D. If an Agency wishes to change its scope of work unilaterally because it believes
that it would only apply or impact its portion of the 91 Express Lanes, such Agency shall deliver
written notice thereof to the other Agency, which notice shall include the requested change and an
explanation of how such change will only apply to and impact such Agency's portion of the 91
Express Lanes. The Agency receiving such notice shall have ten (l 0) working days to respond to
such notice and any failure to respond within such time frame shall mean its agreement that such
change may be unilaterally made. If the Agency receiving such notice responds within such ten
( l 0) working day period and indicates that such Agency disagrees that the proposed change
would only impact and apply to the portion of the 91 Express Lanes operated by the Agency that
•
wishes to unilaterally change its scope of work, the Agencies shall promptly meet and confer
regarding the potential change. If the Agencies are unable to resolve such dispute, it shall be •
resolved pursuant to the dispute resolution provisions of the Cooperative Agreement. Except in
the event of an Emergency, CONTRACTOR shall not implement any such unilateral change to an
individual Agency's scope of work until resolution of the dispute.
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E. In addition to the provisions of Article 14(0), if it is reasonably foreseeable by
CONTRACTOR, exercising its good faith judgment, that a request for a change may negatively
impact the normal operational duties of CONTRACTOR or may materially impact the other
Agency's portion of the 91 Express Lanes, CONTRACTOR shall notify AUTHORITY and
COMMISSION, and the Parties shall meet and confer to discuss the potential impacts of the
request and agree upon a resolution. If the Parties are unable to agree upon a resolution, the
matter shall be referred to the dispute resolution provisions set forth in Article 17.
F. CONTRACTOR may request a change order to increase the Monthly Lump Sum
Price or any additional payments described hereunder for actual and reasonable increased costs of
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p e r f o r m a n c e o f t h e w o r k r e s u l t i n g f r o m r e q u i r e m e n t s c o n t a i n e d i n t h e O p e r a t i n g P r o c e d u r e , a s
o r i g i n a l l y a d o p t e d o r a s a m e n d e d , s u b j e c t t o t h e l i m i t a t i o n s c o n t a i n e d i n A r t i c l e 8 .
( 1 ) C O N T R A C T O R s h a l l i n i t i a t e a c h a n g e o r d e r b y s u b m i t t i n g w r i t t e n n o t i c e
t o t h e A g e n c i e s o f t h e r e q u e s t e d c h a n g e , w h i c h n o t i c e s h a l l i n c l u d e a p r i c e b r e a k d o w n 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 A r t i c l e 1 5 , a n d a d e s c r i p t i o n o f t h e c h a n g e s t o t h e a p p l i c a b l e
S t a t e m e n t o f W o r k t h a t C O N T R A C T O R a s s e r t s a r e r e q u i r e d .
( 2 ) I f t h e A g e n c i e s r e f u s e t o i s s u e a c h a n g e o r d e r b a s e d o n C O N T R A C T O R ' s
r e q u e s t , C O N T R A C T O R s h a l l n e v e r t h e l e s s p e r f o r m a l l w o r k a 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 s h a l l h a v e t h e r i g h t t o s u b m i t t h e i s s u e t o d i s p u t e r e s o l u t i o n p u r s u a n t t o A r t i c l e 1 9 .
( 3 ) 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 , i f t h e r e q u e s t e d c h a n g e o r d e r i s f o r a
c h a n g e t o e i t h e r t h e C O M M I S S I O N S t a t e m e n t o f W o r k o r t h e A U T H O R I T Y S t a t e m e n t o f W o r k
o n l y , a n d n o t t h e J o i n t S t a t e m e n t o f W o r k , t h e n t h e c h a n g e o r d e r r e q u e s t s h a l l b e s u b m i t t e d o n l y
t o t h e r e l e v a n t A g e n c y , a n d o n l y a p p r o v a l o f t h e r e l e v a n t A g e n c y s h a l l b e r e q u i r e d .
A R T I C L E 1 5 . M O D I F I C A T I O N P R O P O S A L S - P R I C E B R E A K D O W N
A . N e g o t i a t i o n o f a d d i t i o n a l c o m p e n s a t i o n o r a n e q u i t a b l e a d j u s t m e n t p u r s u a n t t o
A r t i c l e 1 4 s h a l l b e o n a g o o d f a i t h a n d o p e n - b o o k b a s i s , w i t h t h e i n t e n t o f p r o v i d i n g s u c h
i n c r e a s e d o r d e c r e a s e d c o m p e n s a t i o n a s i s n e c e s s a r y t o r e f l e c t t h e i n c r e a s e d o r d e c r e a s e d c o s t s o f
t h e p r o v i s i o n o f t h e s e r v i c e s r e q u i r e d b y t h e m o d i f i e d S t a t e m e n t o f W o r k ( e i t h e r t h e
A U T H O R I T Y , C O M M I S S I O N o r J o i n t S t a t e m e n t o f W o r k , a s a p p l i c a b l e ) . O n l y b o o k s a n d
r e c o r d s p e r t a i n i n g t o t h i s A g r e e m e n t , t h e 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 y a m o u n t o r c h a r g e f o r
w h i c h c o m p e n s a t i o n , r e i m b u r s e m e n t o r r e c o v e r y i s s o u g h t b y C O N T R A C T O R u n d e r t h i s
A g r e e m e n t , o r a n y o f t h e f o r e g o i n g , s h a l l b e m a d e a v a i l a b l e b y C O N T R A C T O R . I f
A U T H O R I T Y a n d / o r C O M M I S S I O N , a s a p p l i c a b l e , a n d C O N T R A C T O R a r e u n a b l e t o a g r e e
u p o n t h e a d j u s t m e n t t o t h e c o m p e n s a t i o n , A U T H O R I T Y a n d / o r C O M M I S S I O N , a s a p p l i c a b l e o r
C O N T R A C T O R m a y r e f e r s u c h m a t t e r t o d i s p u t e r e s o l u t i o n p u r s u a n t t o A r t i c l e 1 7 .
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Alternatively, AUTHORITY and/or COMMISSION, as applicable, may direct CONTRACTOR,
in the case of an increase in the scope of a Statement of Work, to undertake such work on a time
and material basis, using the labor rates agreed upon in writing by the Parties following the
Effective Date, which rates shall be attached as Exhibit D.
B. CONTRACTOR, in connection with any proposal for an Agreement modification
pursuant to Article 14, shall furnish a price breakdown on an open-book basis, itemized as
required by AUTHORITY and/or COMMISSION, as applicable. Unless otherwise directed, the
breakdown shall be in sufficient detail to permit an analysis of all material, labor, equipment,
subcontract and overhead costs, as well as profit, and shall cover all work involved in the
modification, whether such work was deleted, added or changed. Any amount claimed for
subcontracts shall be supported by a similar price breakdown. The proposal, together with the
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price breakdown, shall be furnished by the date reasonably specified by AUTHORITY and/or
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COMMISSION, as applicable. Only books and records pertaining to this Agreement, the State •
Route 91 Express Lanes, any amount or charge for which compensation, reimbursement or
recovery is sought by CONTRACTOR under this Agreement, or any of the foregoing, shall be
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made available by CONTRACTOR.
ARTICLE 16. LIMITATION ON UNILATERAL DIRECTIONS
A. As used in this Agreement, the term "Emergency" shall be defined as: (i) any
unforeseen circumstance that poses an imminent risk or danger of serious injury, damage or harm
to persons or property, or a material risk to revenues generated by either or both Agency on its
portion of the 91 Express Lanes, as determined in CONTRACTOR's good faith judgment, and
(ii) may be further set forth in the Operating Procedure.
B. Except as specified below, CONTRACTOR shall have the right to take unilateral
direction from AUTHORITY on matters solely related to operation of the OCTA Portion.
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B. Except as specified below, CONTRACTOR shall have the right to take unilateral
26
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d i r e c t i o n f r o m C O M M I S S I O N 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 P o r t i o n .
C . C O N T R A C T O R s h a l l n o t t o t a k e d i r e c t i o n s o l e l y f r o m o n e o f t h e A g e n c i e s 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 C O N T R A C 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 , 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 A g e n c y m a y m a t e r i a l l y a n d a d v e r s e l y a f f e c t t h e o t h e r A g e n c 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 . I n s u c h c a s e , 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 , C O N T R A C T O R s h a l l i n f o r m
t h e o t h e r A g e n c 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 ,
u n l e s s t h e r e q u e s t i n g A g e n c y h a s a l r e a d y o b t a i n e d s u c h w r i t t e n a p p r o v a l a n d s u b m i t t e d i t t o
C O N T R A C T O R .
D . I n t h e c a s e o f a n E m e r g e n c y , i f C O N T R A C T O R a c c e p t s d i r e c t i o n f r o n i t h e
R e p r e s e n t a t i v e o f o n e A g e n c y r e g a r d i n g a m a t t e r w h i c h C O N T R A C 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 , C O N T R A C T O R
s h a l l b e a u t h o r i z e d t o 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 ,
i n a c c o r d a n c e w i t h C O N T R A C T O R ' s g o o d f a i t h j u d g m e n t a n d t h e O p e r a t i n g P r o c e d u r e . I n s u c h
c a s e , C O N T R A C T O R s h a l l n o t i f y , a s s o o n a s p o s s i b l e , t h e o t h e r A g e n c y ' s R e p r e s e n t a t i v e
c o n c e r n i n g s u c h d i r e c t i o n p r o v i d e d b y t h e o t h e r A g e n c y 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 .
E . N e i t h e r A U T H O R I T Y n o r 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 u n i l a t e r a l l y
m o d i f y a n y t e r m s o f t h i 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 ( a n d s u b j e c t t o t h e
t e r m s a n d l i m i t a t i o n s h e r e i n ) , t o u n i l a t e r a l l y d i r e c t a n y w o r k o r 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 t a t e m e n t o f W o r k .
F . I f C O N T R A C 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 A g e n c y
R e p r e s e n t a t i v e s , C O N T R A C T O R s h a l l i n f o r m t h e A g e n c y 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 , a t
w h i c h t i m e , t h e A g e n c i e s s h a l l j o i n t l y n o t i f y C O N T R A C T O R o f t h e r e s o l u t i o n t h e r e o f .
G . I f t h e A g e n c y 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 p r o v i d e d t o
P a g e 3 7 o f 5 3
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CONTRACTOR, the matter shall be referred to dispute resolution between the Agencies, as set
forth in the Cooperative Agreement, and, at the request of one or both of the Agencies,
CONTRACTOR shall participate in such dispute resolution.
H. During the pendency of a dispute between AUTHORITY and COMMISSION, and
except in the case of an Emergency, CONTRACTOR shall take no action regarding the disputed
matter until the dispute has been resolved. If an Emergency exists, CONTRACTOR shall take
the minimum action(s) necessary to address the Emergency prior to resolution of the dispute.
ARTICLE 17. DISPUTES
A. All disputes among AUTHORITY, COMMISSION and CONTRACTOR arising
under this Agreement shall be first be submitted for resolution to an authorized representative of
CONTRACTOR and each of the AUTHORITY and the COMMISSION. These parties shall
•
attempt to resolve the dispute in a mutually satisfactory manner within thirty (30) days after the
dispute is made known to the parties. If the parties cannot resolve the dispute in a mutually •
satisfactory manner within such time, then CONTRACTOR's Chief Executive, AUTHORITY's
Chief Executive and COMMISSION's Executive Director, or their designees, shall meet within
fifteen (15) days after the expiration of the initial period and attempt to resolve the dispute in a
mutually satisfactory manner.
B. If the persons identified under Article I 7 A cannot resolve the dispute in a mutually
satisfactory manner within the given time period, then any Party, on written demand to the other
Parties, may submit the dispute to arbitration. The arbitration shall be conducted in accordance
with the Commercial Arbitration Rules of the American Arbitration Association in effect on the
date that a Party gives notice of its demand for arbitration, except as may be modified herein.
The Parties shall jointly select an arbitrator who has substantial experience in the legal profession
and in the operation of toll roads or other large scale public facilities. The selected arbitrator shall
be deemed, and shall be subject to the duties of, a neutral arbitrator, and not a Party. The
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a r b i t r a t o r s h a l l g i v e e f f e c t t o a p p l i c a b l e s t a t u e s o f l i m i t a t i o n i n d e t e r m i n i n g a n y c l a i m . A n y
c o n t r o v e r s y c o n c e r n i n g w h e t h e r a n i s s u e i s a r b i t r a b ] e s h a l l b e d e t e r m i n e d b y t h e a r b i t r a t o r .
J u d g m e n t u p o n a r b i t r a t i o n a w a r d m a y b e e n t e r e d i n a n y c o u r t j u r i s d i c 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 p p e a l f r o m t h e a r b i t r a ] a w a r d o r a n y j u d g m e n t b a s e d t h e r e o n .
C . I f a d i s p u t e h e r e u n d e r i s o n l y b e t w e e n C O N T R A C T O R a n d e i t h e r , b u t n o t b o t h ,
A g e n c i e s , t h e n p r o c e d u r e s e t f o r t h i n A r t i c l e s 1 7 A a n d l 7 B s h a l l a p p l y e x c e p t a s t o t h e P a r t y n o t
s u b j e c t t o t h e d i s p u t e .
D . I f a d i s p u t e h e r e u n d e r i s o n l y b e t w e e n A U T H O R I T Y a n d C O M M I S S I O N a n d n o t
C O N T R A C T O R , t h e n t h e p r o c e d u r e i n A r t i c l e s 1 7 A a n d 1 7 B s h a l l n o t a p p l y a n d t h e d i s p u t 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 s h a l l i n s t e a d a p p l y .
E . I f a d i s p u t e i n q u e s t i o n h a s a n a m o u n t i n c o n t r o v e r s y i n e x c e s s o f $ 5 0 0 , 0 0 0 o r t h e
r e q u e s t e d r e l i e f i n c l u d e s i n j u n c t i v e r e l i e f o r s p e c i f i c p e r f o r m a n c e , t h e p r o c e d u r e i n A r t i c l e l 7 B
s h a l l n o t a p p l y .
F . S u b j e c t t o t h e o t h e r p r o v i s i o n s a n d l i m i t a 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 , p e n d i n g
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 , C O N T R A C T O R 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 n n a n c e o f t h i s A g r e e m e n t .
G . C O N T R A C T O R h e r e b y a g r e e s t o s u p p o r t t h e A g e n c i e s i n j o i n t r e s o l u t i o n o f
d i s p u t e s w i t h o t h e r c o n t r a c t o r s o f A U T H O R I T Y a n d / o r C O M M I S S I O N p r o v i d i n g w o r k o r
s e r v i c e s o n t h e 9 1 E x p r e s s L a n e s w h e r e t h e r e i s a d i s p u t e a s t o f a u l t .
A R T I C L E 1 8 . D E F A U L T
A . A U T H O R I T Y a n d / o r C O M M I S S I O N m a y e x e r c i s e i t s r i g h t s a n d r e m e d i e 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 , w i t h o u t l i m i t a t i o n , 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 f o r
C O N T R A C T O R ' s D e f a u l t :
B . " D e f a u l t " s h a l l m e a n a n y o f t h e f o l l o w i n g :
( 1 ) I f C O N T R A C T O R a n d / o r a n y o f i t s m e m b e r s , d i r e c t o r s , o r m a n a g i n g o f f i c e r s i s
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1 7 3 3 6 . 0 2 1 0 0 \ 7 0 1 5 6 2 7 . 2 0
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convicted of any felony;
(2) If any fraud or willful misconduct by CONTRACTOR and/or any of its members,
directors, officers, mangers, employees, subcontractors, agents and/or representatives occurs in
connection with the operation of this Agreement, provided, that if the acts or omissions
constituting such fraud or willful misconduct were committed by any employee(s) (other than
management) or subcontractor(s), and within fifteen (15) business days after receiving notice of
such acts or omissions CONTRACTOR removes the employee(s) and/or subcontractor(s) in
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question and pays in full restitution to AUTHORITY and COMMISSION, then such action shall
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not be deemed a CONTRACTOR event of default;
(3) If any material impairment of toll operations with respect to this Agreement for
twenty (20) days occurs (whether consecutive or nonconsecutive) in any six (6) calendar month
period occurs due to the act or omission of CONTRACTOR and/or any of its members, directors,
officers, employees, agents and/or subcontractors, unless the impairment shall have been •
expressly authorized or directed by AUTHORITY and COMMISSION in writing .
(4) If CONTRACTOR breaches any term(s) or violates any provision(s) of
this Agreement (other than breaches of those terms and provisions that are referenced in the other
paragraphs of this Article l 8(B)) and does not cure such breach or violation within thirty (30)
calendar days after receipt of written notice thereof by AUTHORITY or COMMISSION
specifying in reasonable detail such failure. If the default is not, in the exercise of reasonable
diligence, curable within the said thirty (30) day period, then CONTRACTOR shall promptly
commence such cure and diligently pursue to it to completion, provided that such cure is
completed in all events within ninety (90) days from the date of written notice.
(5) If CONTRACTOR makes or attempts to make or suffers a voluntary or
involuntary assignment or transfer of this Agreement or any right or interest herein, except as
expressly permitted under Article 20.
Page 40 of 53 •
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( 6 ) I f C O N T R A C T O R c o m m e n c e s a v o l u n t a r y c a s e s e e k i n g l i q u i d a t i o n ,
r e o r g a n i z a t i o n o r o t h e r r e l i e f w i t h r e s p e c t t o i t s e l f o r i t s d e b t s u n d e r a n y b a n k r u p t c y , i n s o l v e n c y
o r o t h e r s i m i l a r l a w n o w o r h e r e a f t e r i n e f f e c t ; s e e k s t h e a p p o i n t m e n t o f a t r u s t e e , r e c e i v e r ,
l i q u i d a t o r , c u s t o d i a n o r o t h e r s i m i l a r o f f i c i a l o f i t o r a n y s u b s t a n t i a l p a r t o f i t s a s s e t s ; b e c o m e s
i n s o l v e n t , o r g e n e r a l l y d o e s n o t p a y i t s d e b t s a s t h e y b e c o m e d u e ; a d m i t s i n w r i t i n g i t s i n a b i l i t y t o
p a y i t s d e b t s ; m a k e s a n a s s i g n m e n t f o r t h e b e n e f i t o f c r e d i t o r s ; o r t a k e s a n y a c t i o n t o a u t h o r i z e
a n y o f t h e f o r e g o i n g .
( 7 ) I f a n i n v o l u n t a r y c a s e i s c o m m e n c e d a g a i n s t C O N T R A C T O R s e e k i n g l i q u i d a t i o n ,
r e o r g a n i z a t i o n , d i s s o l u t i o n , w i n d i n g u p , a c o m p o s i t i o n o r a r r a n g e m e n t w i t h c r e d i t o r s , a
r e a d j u s t m e n t o f d e b t s o r o t h e r r e l i e f w i t h r e s p e c t t o C O N T R A C T O R o r C O N T R A C T O R d e b t s
u n d e r a n y b a n k r u p t c y , i n s o l v e n c y o r o t h e r s i m i l a r a p p l i c a b l e l a w n o w o r h e r e a f t e r i n e f f e c t ;
s e e k i n g t h e a p p o i n t m e n t o f a t r u s t e e , r e c e i v e r , l i q u i d a t o r , c u s t o d i a n o r o t h e r s i m i l a r o f f i c i a l o f
C O N T R A C T O R o r a n y s u b s t a n t i a l p a r t o f C O N T R A C T O R ' s a s s e t s ; s e e k i n g t h e i s s u a n c e o f a
w r i t o f a t t a c h m e n t , e x e c u t i o n , o r s i m i l a r p r o c e s s ; o r s e e k i n g l i k e r e l i e f , a n d s u c h i n v o l u n t a r y c a s e
s h a l l n o t b e c o n t e s t e d b y C O N T R A C T O R i n g o o d f a i t h o r s h a l l r e m a i n u n d i s m i s s e d a n d u n s t a y e d
f o r a p e r i o d o f 3 0 d a y s ; o r a n y s u c h i n v o l u n t a r y c a s e .
( 8 ) l f C O N T R A C T O R f a i l s t o o b t a i n , p r o v i d e a n d m a i n t a i n i n f u l l f o r c e a n d e f f e c t
a n y i n s u r a n c e , b o n d s , g u a r a n t e e s , o r o t h e r p e r f o r m a n c e s e c u r i t y a s a n d w h e n r e q u i r e d h e r e u n d e r
f o r t h e b e n e f i t o f r e l e v a n t p a r t i e s , o r f a i l s t o c o m p l y w i t h a n y r e q u i r e m e n t o f t h i s A g r e e m e n t
p e r t a i n i n g t o t h e a m o u n t , t e r m s o r c o v e r a g e o f t h e s a m e .
C . U p o n t h e o c c u r r e n c e o f a D e f a u l t a n d a f t e r t h e e x p i r a t i o n o f a n y c u r e p e r i o d s e t
f o r t h h e r e i n , e i t h e r o r b o t h o f A U T H O R I T Y a n d C O M M I S S I O N m a y p u r s u e a n y a n d 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 u n d e r t h i s A g r e e m e n t , a t l a w o r i n e q u i t y , 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 r i g h t t o s e e k d a m a g e s , t h e r i g h t t o 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 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 . I n c o n n e c t i o n w i t h a t e r m i n a t i o n , C O N T R A C T O R
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shaH be liable for all reasonable costs incurred by AUTHORITY and/or COMMISSION as a
result of such Default including, but not limited to, reprocurement costs of the same or similar
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services defaulted by CONTRACTOR under this Agreement. A unilateral termination affected
by either AUTHORITY or COMMISSION sha11 apply only as to the rights and obligations of the
terminating Agency, and CONTRACTOR shall continue providing services to the non-
terminating Agency.
D. The rights and remedies of AUTHORITY and COMMISSION provided in this
clause shall be cumulative and are in addition to any other rights and remedies provided by law or
under this Agreement.
E. The Parties agree that the obligations of the AUTHORITY and the COMMISSION
under this Agreement shall be several and not joint. Neither AUTHORITY nor COMMISSION,
respectively, shall be held liable for any acts, omissions, negligence, breach or default of the
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other, including any default in payment; provided, however, that CONTRACTOR shall be •
entitled to additional payments as set forth in Article 7(H). Regardless of any default of
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AUTHORITY or COMMISSION, respectively, including any default in payment,
CONTRACTOR shall continue to provide services to the non-defaulting Agency. In no event
sha11 CONTRACTOR be entitled to terminate this Agreement as a result of the default of any
Agency, but instead may pursue payment of such compensation as set forth in Article 17;
provided, however, that if nonpayment of any undisputed amounts continue for 60 days after
written notice of such nonpayment, CONTRACTOR may suspend the performance of its work
under this Agreement until such undisputed amounts have been paid.
ARTICLE 19. INDEMNIFICATION
A. CONTRACTOR shall indemnify, defend and hold harmless AUTHORITY,
COMMISSION and their respective boardmembers, officers, directors, employees,
representatives, agents, successors and assigns from and against any and all Jiability, claims
Page 42 of53 -:...:.17=33~6-=00~IOO=\~W=l=56~27~.2~0~~~~~~~~~~~~~~~~~~~~~~~~~~~~-I·
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( i n c l u d i n g a t t o r n e y ' s f e e s a n d r e a s o n a b l e e x p e n s e s f o r l i t i g a t i o n o r s e t t l e m e n t ) , s u i t s , j u d g m e n t s ,
a c t i o n s , p r o c e e d i n g s , l o s s e s , d a m a g e s , c o s t s , d e m a 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 , t h o s e f o r
b o d i l y i n j u r i e s , i n c l u d i n g d e a t h , d a m a g e t o o r l o s s o f u s e o f p r o p e r t y t o t h e e x t e n t c a u s e d b y t h e
n e g l i g e n t a c t s , o m i s s i o n s o r w i l l f u l m i s c o n d u c t o f C O N T R A C T O R , i t s o f f i c e r s , d i r e c t o r s ,
e m p l o y e e s , a g e n t s , s u b c o n t r a c t o r s o r s u p p l i e r s , i n c o n n e c t i o n w i t h o r a r i s i n g o u t o f 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 T R A C T O R s h a l l n o t b e r e s p o n s i b l e t o e i t h e r A g e n c y f o r
t h e n e g l i g e n t a c t s o r o m i s s i o n s o f t h e o t h e r A g e n c y u n d e r t h i s A g r e e m e n t .
B . A U T H O R I T Y 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 C O N T R A C T O R , i t s
o f f i c e r s , d i r e c t o r s , e m p l o y e e s a n d a g e n t s f r o m a n d a g a i n s t a n y a n d a l l l i a b i l i t y , c l a i m s ( i n c l u d i n g
a t t o r n e y ' s f e e s a n d r e a s o n a b l e e x p e n s e s f o r l i t i g a t i o n o r s e t t l e m e n t ) , s u i t s , j u d g m e n t s , a c t i o n s ,
p r o c e e d i n g s , l o s s e s , d a m a g e s , c o s t s ; d e m a 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 , t h o s e f o r a n y l o s s o r
d a m a g e s , b o d i l y i n j u r i e s , i n c l u d i n g d e a t h , d a m a g e t o o r l o s s o f u s e o f p r o p e r t y t o t h e e x t e n t
c a u s e d b y t h e n e g l i g e n t a c t s , o m i s s i o n s o r w i l l f u l m i s c o n d u c t o f A U T H O R I T Y , i t s o f f i c e r s ,
d i r e c t o r s , e m p l o y e e s , a n d a g e n t s , i n c o n n e c t i o n w i t h o r a r i s i n g o u t o f 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 U T H O R I T Y s h a l l n o t 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 n e g l i g e n t a c t s o r o m i s s i o n s
o f C O M M I S S I O N u n d e r t h i s A g r e e m e n t .
C . C O M M I S S I O N 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 C O N T R A C T O R , i t s
o f f i c e r s , d i r e c t o r s , e m p l o y e e s a n d a g e n t s f r o m a n d a g a i n s t a n y a n d a l l l i a b i l i t y , c l a i m s ( i n c l u d i n g
a t t o r n e y ' s f e e s a n d r e a s o n a b l e e x p e n s e s f o r l i t i g a t i o n o r s e t t l e m e n t ) , s u i t s , j u d g m e n t s , a c t i o n s ,
p r o c e e d i n g s , l o s s e s , d a m a g e s , c o s t s , d e m a 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 , t h o s e f o r a n y l o s s o r
d a m a g e s , b o d i l y i n j u r i e s , i n c l u d i n g d e a t h , d a m a g e t o o r l o s s o f u s e o f p r o p e r t y t o t h e e x t e n t
c a u s e d b y t h e n e g l i g e n t a c t s , o m i s s i o n s o r w i l l f u l m i s c o n d u c t o f C O M M I S S I O N , i t s o f f i c e r s ,
d i r e c t o r s , e m p l o y e e s , a n d a g e n t s , i n c o n n e c t i o n w i t h o r a r i s i n g o u t o f 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 h a l l n o t 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 n e g l i g e n t a c t s o r o m i s s i o n s
o f A U T H O R I T Y u n d e r t h i s A g r e e m e n t .
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D. Notwithstanding anything to the contrary contained in this Agreement, any claim,
action or proceeding between the Parties under this Agreement for monetary damages shall limit
each Party's aggregate monetary liability to each of the other Parties to an amount not to exceed
five million dollars ($5,000,000). The foregoing limitation shall apply only to the extent that
insurance proceeds are not available to cover a claim, action or proceeding hereunder, and shall in
no way be construed to limit the obligation of CONTRACTOR's insurer to cover, subject to
applicable policy limits set forth in this Agreement, the full amount of a claim, action or
proceeding hereunder.
E. The obligations under this Article 19 shall survive the termination or expiration of
this Agreement.
ARTICLE 20. ASSIGNMENTS AND SUBCONTRACTS
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A. Neither this Agreement nor any interest herein nor claim hereunder may be
assigned by CONTRACTOR either voluntarily or by operation of law, nor may any part of this •
Agreement be subcontracted by CONTRACTOR, without prior written consent of AUTHORITY
and COMMISSION. Provided that CONTRACTOR is in compliance with the terms of this
Agreement, prior written consent by AUTHORITY and COMMISSION shall not be
unreasonably withheld. Consent by AUTHORITY and COMMISSION shall not be deemed to
relieve CONTRACTOR of its obligation to comply fully with the requirements of this
Agreement, nor shall it release CONTRACTOR from such obligations or liability therefor.
B. AUTHORITY and COMMISSION hereby consent to CONTRACTOR's
subcontracting of portions of the Scope of Work to third parties however; AUTHORITY and
COMMISSION require prior written consent by each Agency prior to work being performed.
CONTRACTOR shall include in each subcontract agreement the stipulation that
CONTRACTOR, not AUTHORITY or COMMISSION, is solely responsible for payment to the
subcontractor for the amounts owing and that the subcontractor shall have no claim, and shall
Page 44of53
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t a k e n o a c t i o n , a g a i n s t A U T H O R I T Y o r C O M M I S S I O N , o r t h e i r r e s p e c t i v e b o a r d m e m b e r s ,
o f f i c e r s , d i r e c t o r s , e m p l o y e e s , a g e n t s , s u c c e s s o r s o r a s s i g n s f o r n o n p a y m e n t b y C O N T R A C T O R .
I n a d d i t i o n , s u b c o n t r a c t o r s w i l l b e r e q u i r e d t o c a r r y t h e a p p r o p r i a t e i n s u r a n c e c o v e r a g e s a s s t a t e d
i n A r t i c l e 1 2 , u n l e s s a w a i v e r o r m o d i f i c a t i o n i s g r a n t e d p u r s u a n t t o A r t i c l e 1 2 ( G ) , a n d p r o v i d e a
c o p y o f a c u r r e n t c e r t i f i c a t e o f i n s u r a n c e a n d p o l i c y e n d o r s e m e n t ( s ) n a m i n g A U T H O R I T Y a n d
C O M M I S S I O N a s a n a d d i t i o n a l i n s u r e d . E a c h s u b c o n t r a c t m u s t a l s o ( i ) n o t h a v e a n y p r o v i s i o n
i n c o n t r a v e n t i o n o f t h e t e n n s o f t h i s A g r e e m e n t ; ( i i ) m u s t p r o v i d e t h a t i t i s a u t o m a t i c a l l y
a s s i g n a b l e t o t h e A U T H O R I T Y a n d C O M M I S S I O N u p o n t h e i r w r i t t e n r e q u e s t u p o n ( x ) D e f a u l t
b y C O N T R A C T O R ; ( y ) a b a n k r u p t c y o f C O N T R A C T O R , i n w h i c h s u c h s u b c o n t r a c t h a s b e e n
r e j e c t e d i n b a n k r u p t c y o r o t h e r w i s e t e n n i n a t e d b y o r o n b e h a l f o f C O N T R A C T O R ; o r ( z )
t e n n i n a t i o n o f t h i s A g r e e m e n t ; a n d ( i i i ) m u s t p r o v i d e t h a t , i n t h e e v e n t o f a s s i g n m e n t t o t h e
A U T H O R I T Y a n d C O M M I S S I O N , s u c h s u b c o n t r a c t o r s h a l l i m m e d i a t e l y a t t o m t o A U T H O R I T Y
a n d C O M M I S S I O N a n d p r o v i d e s u c h s e r v i c e s s e t f o r t h i n t h e s u b c o n t r a c t t o t h e A U T H O R I T Y
a n d C O M M I S S I O N i m m e d i a t e l y u p o n t h e a s s i g n m e n t o f s u c h s u b c o n t r a c t .
C . C O N T R A C T O R 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 A U T H O R I T Y a n d C O M M I S S I O N
f o r a l l a c t s a n d o m i s s i o n s o f i t s o w n e m p l o y e e s , a n d o f s u b c o n t r a c t o r s a n d t h e i r e m p l o y e e s .
C O N T R A C T O R s h a l l c o o r d i n a t e t h e w o r k p e r f o r m e d b y s u b c o n t r a c t o r .
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ARTICLE 21. AUDIT AND INSPECTION OF RECORDS
A. CONTRACTOR shall provide AUTHORITY, COMMISSION or other agents of
the AUTHORITY and COMMISSION, such access to CONTRACTOR's accounting books,
records, and facilities of CONTRACTOR which are pertinent to this Agreement for the purposes
of examining, auditing and inspecting all accounting books, records, work data, documents and
activities related hereto. CONTRACTOR shall maintain such books, records, data and
documents in accordance with generally accepted accounting principles and shall clearly identify
and make such items readily accessible to such parties during CONTRACTOR's performance
hereunder and for a period of four ( 4) years from the later of the date of final payment or
termination of this Agreement by AUTHORITY and COMMISSION, except in the event of
litigation or settlement of claims arising from the performance of this Agreement, in which case
CONTRACTOR agrees to maintain same until AUTHORITY, COMMISSION or any of their
duly authorized representatives, have disposed of all such litigation, appeals, claims or exceptions
related thereto. The right of AUTHORITY and COMMISSION to audit books and records
directly related to this Agreement shall also extend to all first.tier subcontractors with a direct
contractual relationship with CONTRACTOR. CONTRACTOR shall permit any of the
foregoing parties to reproduce documents by any means whatsoever or to copy excerpts and
transcriptions as reasonably necessary.
B. In complying with any reporting requirements under this Agreement,
CONTRACTOR shall use the same performance measures and reporting format for both
Agencies, except as the same may be modified for compliance with either Agency's financing or
legal requirements. Any special reporting needs of either Agency shall be accommodated by
CONTRACTOR upon request of either Agency.
ARTICLE 22. FEDERAL. STATE AND LOCAL LAWS
CONTRACTOR covenants and warrants that in the performance of this Agreement it
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s h a l l c o m p l y w i t h a l l p e r m i t s a p p l y i n g t o t h e 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 a l l
a p p l i c a b l e f e d e r a l , s t a t e a n d l o c a l l a w s , s t a t u t e s a n d o r d i n a n c e s a n d a l l l a w f u l o r d e r s , 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 t h e r e u n d e r .
A R T I C L E 2 3 . 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
I n c o n n e c t i o n w i t h i t s p e r f o r m a n c e u n d e r t h i s A g r e e m e n t , C O N T R A C T O R a g r e e s t h a t 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 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 , s e x , a g e o r n a t i o n a l o r i g i n . C O N T R A C T O R s h a l l 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 t h e i r 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 , r e l i g i o n , c o l o r , s e x , a g e o r n a t i o n a l o r i g i n . S u c h a c t i o n 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 , 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 .
A R T I C L E 2 4 . F I N I S H E D A N D P R E L I M I N A R Y D A T A
A l l o f C O N T R A C T O R ' s f i n i s h e d t e c h n i c a l d a t a , i n c l u d i n g b u t n o t l i m i t e d t o d r a w i n g s ,
p h o t o g r a p h s , t a p e s , s o f t w a r e , s o f t w a r e d e s i g n d o c u m e n t 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 s o u r c e
c o d e , b i n a r y c o d e , a l l m e d i a , t e c h n i c a l d o c u m e n t a t i o n a n d u s e r d o c u m e n t a t i o n , p h o t o p r i n t s a n d
o t h e r g r a p h i c i n f o r m a t i o n r e q u i r e d t o b e f u r n i s h 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 t h e p r o p e r t y o f
A U T H O R I T Y a n d C O M M I S S I O N u p o n p a y m e n t o f a n y a m o u n t s d u e a n d p a y a b l e u n d e r t h i s
A g r e e m e n t a n d s h a l l b e f u r n i s h e d w i t h u n l i m i t e d r i g h t s a n d , a s s u c h , s h a l l b e f r e e f r o m
p r o p r i e t a r y r e s t r i c t i o n e x c e p t a s e l s e w h e r e a u t h o r i z e d i n t h i s A g r e e m e n t . C O N T R A C T O R
f u r t h e r a g r e e s t h a t i t s h a l l h a v e n o i n t e r e s t o r c l a i m t o s u c h f i n i s h e d , A U T H O R I T Y - o w n e d a n d / o r
C O M M I S S I O N - o w n e d , t e c h n i c a l d a t a ; f u r t h e r m o r e , s a i d d a t a i 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
F r e e d o m o f l n f o r m a t i o n A c t , 5 U S C 5 5 2 .
A R T I C L E 2 5 . P R I V A C Y A C T
C O N T R A C T O R s h a l l c o m p l y w i t h , a n d a s s u r e s t h e c o m p l i a n c e o f i t s e m p l o y e e s w i t h , t h e
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information restrictions and other applicable requirements of the Privacy Act of 1974, 5 U.S.C.
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§552a. Among other things, CONTRACTOR agrees to obtain the express consent of the Federal
Government before CONTRACTOR or its employees operate a system of records on behalf of
the Federal Government. CONTRACTOR understands the requirements of the Privacy Act,
including the civil and criminal penalties for violation of that Act, apply to those individuals
involved, and that failure to comply with the terms of the Privacy Act may result in termination of
the underlying Agreement.
ARTICLE 26. OWNERSHIP OF REPORTS AND DOCUMENTS
A. The originals of all letters, documents, reports and other products and data
produced under this Agreement shall be delivered to, and become the joint property of
AUTHORITY and COMMISSION. Copies may be made for CONTRACTOR'S records but
shall not be furnished to others without written authorization from AUTHORITY and
COMMISSION. Such deliverables shall be deemed works made for hire and all rights in
copyright therein shall be retained by AUTHORITY and COMMISSION.
B. All ideas, memoranda, specifications, plans, manufacturing, procedures, drawings,
descriptions, and all other written information submitted to CONTRACTOR in connection with
the performance of this Agreement shall not, without prior written approval of AUTHORITY and
COMMISSION, be used for any purposes other than the performance under this Agreement, nor
be disclosed to an entity not connected with the performance of the project. CONTRACTOR
shall comply with the policies of AUTHORITY and COMMISSION regarding such material.
Nothing furnished to CONTRACTOR, which is otherwise previously known to CONTRACTOR
from a source that was not bound to confidentiality or is or becomes generally known to the
related industry shall be deemed confidential. CONTRACTOR shall not use name of
AUTHORITY, COMMISSION or the 91 Express Lanes, photographs of the 91 Express Lanes, or
any other publicity pertaining to the 91 Express Lanes in any professional publication, magazine,
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t r a d e p a p e r , n e w s p a p e r , s e m i n a r o r o t h e r m e d i u m 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
A U T H O R I T Y a n d C O M M I S S I O N .
C . N o c o p i e s , s k e t c h e s , c o m p u t e r g r a p h i c s o r g r a p h s , i n c l u d i n g g r a p h i c a r t w o r k , a r e
t o b e r e l e a s e d b y C O N T R A C T O R t o a n y o t h e r p e r s o n o r a g e n c y e x c e p t a f t e r p r i o r w r i t t e n
a p p r o v a l b y A U T H O R I T Y a n d C O M M I S S I O N , e x c e p t a s n e c e s s a r y f o r t h e p e r f o r m a n c e o f
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 . A l l p r e s s r e l e a s e s , i n c l u d i n g g r a p h i c d i s p l a y i n f o r m a t i o n t o b e
p u b l i s h e d i n n e w s p a p e r s , m a g a z i n e s , e t c . , a r e t o b e h a n d l e d o n l y b y A U T H O R I T Y a n d
C O M M I S S I O N u n l e s s o t h e r w i s e a g r e e d t o b y C O N T R A C T O R , A U T H O R I T Y a n d
C O M M I S S I O N .
A R T I C L E 2 7 . N O T I C E O F L A B O R D I S P U T E
W h e n e v e r C O N T R A C T O R h a s k n o w l e d g e t h a t a n y a c t u a l o r p o t e n t i a l l a b o r d i s p u t e m a y
d e l a y i t s p e r f o r m a n c e u n d e r t h i s A g r e e m e n t , C O N T R A C T O R s h a l l i m m e d i a t e l y n o t i f y a n d
s u b m i t a l l r e l e v a n t i n f o r m a t i o n t o A U T H O R I T Y a n d C O M M I S S I O N i n w r i t i n g .
C O N T R A C T O R s h a l l i n s e r t t h e s u b s t a n c e o f t h i s e n t i r e c l a u s e i n a n y s u b c o n t r a c t h e r e u n d e r a s t o
w h i c h a l a b o r d i s p u t e m a y d e l a y p e r f o r m a n c e u n d e r t h i s A g r e e m e n t .
A R T I C L E 2 8 . C O O P E R A T I O N W I T H O T H E R C O N T R A C T S
D u r i n g t h e c o u r s e o f t h i s A g r e e m e n t , A U T H O R I T Y o r C O M M I S S I O N m a y u n d e r t a k e o r
a w a r d o t h e r a g r e e m e n t s f o r a d d i t i o n a l w o r k o r p r o f e s s i o n a l s e r v i c e s . C O N T R A C T O R s h a l l f u l l y
c o o p e r a t e w i t h A U T H O R I T Y , C O M M I S S I O N a n d t h e p a r t i e s t o a l l o t h e r c o n t r a c t s a n d c a r e f u l l y
i n t e g r a t e i t s o w n w o r k t o s u c h a d d i t i o n a l w o r k a s m a y b e r e a s o n a b l y d i r e c t e d b y A U T H O R I T Y
o r C O M M I S S I O N , a s a p p l i c a b l e . C O N T R A C T O R s h a l l n o t c o m m i t o r p e r m i t a n y a c t t h a t w i l l
i n t e r f e r e w i t h t h e p e r f o r m a n c e o f w o r k b y a n y o t h e r c o n t r a c t o r o r b y A U T H O R I T Y o r
C O M M I S S I O N .
A R T I C L E 2 9 . P R O H I B I T E D I N T E R E S T S
C O N T R A C T O R c o v e n a n t s t h a 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 d i r e c t o r , o f f i c e r o r
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employee of AUTHORITY or COMMISSION, during his/her tenure in office or for one (1) year
thereafter shall have any interest, direct or indirect, in this Agreement or the proceeds thereof.
ARTICLE 30. FORCE MAJEURE
Any Party hereto shall be excused from performing its obligations under this Agreement
during the time and to the extent that it is materially and directly prevented from performing by
an unforeseeable cause beyond its control, including but not limited to: any incidence of fire,
flood; acts of God; commandeering of material, products, plants or facilities by the federal, state
•
or local government; national fuel shortage; or a material default by any other Party; when
satisfactory evidence of such cause is presented to the other Party, and provided further that such
nonperformance is unforeseeable, beyond the control and is not due to the fault, act, omission or
negligence of the Party not performing. Only those obligations that are directly and materially
prevented from being performed shall be excused and only for the time period in which such
unforeseeable cause exists. All other obligations shall remain in full and effect and, as to those •
obligations that are temporarily excused, performance shall immediately resume once such
unforeseeable cause is cured or mitigated such that performance is capable of resumption.
ARTICLE 31. ORDER OF INTERPRETATION.
A. In the event of any conflict among this Agreement, the Joint Scope of Work, an
Agency Scope of Work, or the Operating Procedure to be developed pursuant to this Agreement,
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the order of precedence shall be as set forth below (the following shall be referred to for the
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purposes of this Article as the "Contract Documents").
(1) Change orders duly executed pursuant to this Agreement by all parties with
respect to the Joint Scope of Work, and amendments to this Agreement;
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(2) This Agreement;
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(3) The Joint Scope of Work;
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(4) Change orders duly executed pursuant to this Agreement by an Agency and
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t h e C o n t r a c t o r w i t h r e s p e c t t o s u c h A g e n c y ' s s e p a r a t e S c o p e o f W o r k ( w h i c h c h a n g e o r d e r s h a l l
n o t h a v e p r e c e d e n c e a s t o i t e m s b e l o w f o r m a t t e r s o t h e r t h a n t h e A g e n c y ' s s e p a r a t e S c o p e o f
W o r k ) ;
( 5 ) A n A g e n c y s e p a r a t e S c o p e o f W o r k ( w h i c h s e p a r a t e S c o p e o f W o r k s h a l l
n o t h a v e p r e c e d e n c e a s t o i t e m s b e l o w f o r m a t t e r s o t h e r t h a n t h e A g e n c y ' s s e p a r a t e S c o p e o f
W o r k ) ;
( 6 ) T h e O p e r a t i n g P r o c e d u r e .
B . A d d i t i o n a l d e t a i l s a n d m o r e s t r i n g e n t r e q u i r e m e n t s c o n t a i n e d i n a l o w e r p r i o r i t y
C o n t r a c t D o c u m e n t w i l l c o n t r o l e x c e p t t o t h e e x t e n t t h e y i r r e c o n c i l a b l y c o n f l i c t w i t h t h e
r e q u i r e m e n t s o f t h e h i g h e r l e v e l C o n t r a c t D o c u m e n t .
C . N o t w i t h s t a n d i n g t h e o r d e r o f p r e c e d e n c e a m o n g C o n t r a c t D o c u m e n t s s e t f o r t h i n
t h i s A r t i c l e 3 1 , i f a C o n t r a c t D o c u m e n t c o n t a i n s d i f f e r i n g p r o v i s i o n s o n t h e s a m e s u b j e c t m a t t e r
t h a n a n o t h e r C o n t r a c t D o c u m e n t , t h e p r o v i s i o n s t h a t e s t a b l i s h t h e h i g h e r q u a l i t y , m a n n e r o r
m e t h o d o f p e r f o r m i n g t h e w o r k o r u s e m o r e s t r i n g e n t s t a n d a r d s w i l l p r e v a i l . I f a n y P a r t y
b e c o m e s a w a r e o f a n y s u c h c o n f l i c t , i t s h a l l p r o m p t l y n o t i f y t h e o t h e r P a r t i e s i n w r i t i n g o f t h e
c o n f l i c t . T h e A g e n c i e s s h a l l i s s u e a w r i t t e n d e t e r m i n a t i o n r e s p e c t i n g w h i c h o f t h e c o n f l i c t i n g
i t e m s i s t o a p p l y p r o m p t l y a f t e r i t b e c o m e s a w a r e o f a n y s u c h c o n f l i c t .
A R T I C L E 3 2 . S O F T W A R E I N S T A L L A T I O N A N D L I C E N S E A G R E E M E N T ;
S O F T W A R E M A I N T E N A N C E A G R E E M E N T
T h e P a r t i e s a g r e e t h a t t h e y w i l l e i t h e r a m e n d t h e S o f t w a r e I n s t a l l a t i o n a n d L i c e n s e
A g r e e m e n t a n d S o f t w a r e M a i n t e n a n c e A g r e e m e n t o r e n t e r i n t o n e w s o f t w a r e l i c e n s i n g ,
m a i n t e n a n c e , a n d e s c r o w a g r e e m e n t s p r i o r t o t h e E f f e c t i v e D a t e t o a d d r e s s t h e a d d i t i o n o f R C T C
a s a P a r t y , l i c e n s e , m a i n t e n a n c e a n d e s c r o w f e e s a n d c o s t s , a n d o t h e r a p p l i c a b l e c h a n g e s .
A R T I C L E 3 3 . C O U N T E R P A R T S
T h i s i n s t r u m e n t m a y b e e x e c u t e d i n t w o o r m o r e 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
P a g e 5 1 o f 5 3
1 7 3 3 6 . 0 2 1 0 0 \ 7 0 1 5 6 2 7 . 2 0
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deemed an original, but all of which together shall constitute one and the same instrument.
ARTICLE 34. TIME OF THE ESSENCE
Time is of the essence in the performance of this Agreement.
ARTICLE 35. GOVERNING LAW; VENUE
This Agreement shall be governed by and construed in accordance with the laws of the
State of California without regard to conflict of law principles. The parties agree that exclusive
original jurisdiction and venue for any legal action or proceeding, at law or in equity, that is
permitted to be brought by a party in court arising out of this Agreement shall be in the Superior
Court for the County of Riverside, California or the Superior Court for the County or Orange,
California.
[Signatures on following page]
Page 52of53
I 7336.021Cl0\7015627.20
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1 1
1 2 " 1 3
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1 9
2 0
2 1
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2 3
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2 5
2 6 "
S I G N A T U R E P A G E T O
O C T A A G R E E M E N T N O . C - 3 - 1 5 2 9
R C T C A G R E E M E N T N O . 1 3 - 3 1 - 1 0 5 - 0 0
A M O N G
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 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
C O F I R O U T E U S A , L L C .
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 .
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
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
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 F I R O U T E U S A , L L C
B y :
G a r y L . H a u s d o r f e r
C h a i r m a n a n d C h i e f E x e c u t i v e O f f i c e r
1 7 3 3 6 . 0 2 1 0 0 \ 7 0 1 5 6 2 7 . 2 0
5 3
P a g e l o f 5 3
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
A u t h o r i t y
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHIBIT A
EXHIBIT A
ORCOA
OCTA RCTC CUSA Operating Agreement
JOINT
STATEMENT OF WORK
FOR
91 EXPRESS LANES
A1
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O C T A A g r e e m e n t N u m b e r : C - 3 - 1 5 2 9
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHIBIT A
DESCRIPTION OF 91 EXPRESS LANES OPERATION
The 91 Express Lanes is made up of two segments located in Orange and Riverside
Counties. The existing segment is a four-lane, 10-mile toll facility extending from State
Route 55 on the west to the Orange/Riverside County line on the east; and a new four-
lane, 8-mile segment extending east from the Orange/Riverside County line to the 1-15
interchange with a 2-mile direct-connect flyover to the southbound 1-15. Authorized as
one of four public-private toll road projects by the State of California legislature in 1989
under Assembly Bill 680, the initial facility was built at a cost of $135 million and opened
in 1995 by the California Private Transportation Company (CPTC).
Included in the original franchise agreement
between CPTC and the State of California
Department of Transportation (Caltrans) was a
"non-compete" clause. This provision created a
zone of absolute protection extending 1.5 miles
either side of the centerline of the Riverside
Freeway/State Route 91 (SR-91). In this zone,
capacity improvements were restricted for 30 years in order to satisfy bondholder
requirements for a secure revenue stream. This created mobility problems as the region
and corresponding transportation demands continued to grow. The non-compete
became a roadblock to making improvements. To eliminate this roadblock, the Orange
County Transportation Authority (OCTA) purchased the 91 Express Lanes from CPTC in
2003 for $207.5 million using $72.5 million in cash from internal reserves and by
assuming $135 million in taxable bonds.
In May 2003, the OCTA Board of Directors underscored its commitment to mobility by
endorsing a policy allowing 91 Express Lanes users with three or more persons per
vehicle to ride free, except for "super-peak" hours, Monday through Friday, eastbound
between 4 p.m. to 6 p.m. where they pay 50 percent of the posted toll rate.
The OCTA Board of Directors also approved a "congestion management" toll pricing
policy in July 2003. The objective was to use pricing to optimize the number of vehicles
that can safely travel on the toll road at free-flow speeds during all hours, including peak
hours. The offer to customers was a safe, fast, reliable commute.
In November 2003, the OCTA refinanced the 91 Express Lanes taxable bonds. With the
refinancing, OCTA became the only single-asset toll road agency in the country to
receive a single "A" bond rating.
A3
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O C T A A g r e e m e n t N u m b e r : C - 3 - 1 5 2 9
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
I N - L A N E T E C H N O L O G Y A N D O P E R A T I O N S
I n 2 0 1 0 , t h e O C T A c o m p l e t e d a n u p g r a d e o f t h e i n - l a n e s o f t w a r e a n d h a r d w a r e s y s t e m s
w h i c h c o u n t s a n d r e c o g n i z e s v e h i c l e s t r a v e l i n g t h r o u g h t h e O r a n g e C o u n t y p o r t i o n o f
t h e E x p r e s s L a n e s . T h e E l e c t r o n i c T o l l 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 i n p l a c e t o d a y
i n c l u d e s s t a t e o f t h e a r t c o l o r a n d i n f r a r e d c a m e r a s t o i d e n t i f y v e h i c l e s i n a w i d e r a n g e
o f c l i m a t i c a n d l i g h t i n g c o n d i t i o n s . T h e c a m e r a s a l s o s u p p o r t o p t i c a l c h a r a c t e r r e a d i n g o f
l i c e n s e p l a t e s . V e h i c l e s a n d m o t o r c y c l e s , w h i c h w e r e p r e v i o u s l y u n d e t e c t a b l e , a r e n o w
c a p t u r e d i n d i g i t a l i m a g e s . O v e r 9 9 p e r c e n t o f a l l v e h i c l e s g o i n g t h r o u g h t h e E x p r e s s
L a n e s a r e r e c o g n i z e d , r e s u l t i n g i n e n f o r c e m e n t a c t i v i t i e s b e i n g s i g n i f i c a n t l y m o r e
a c c u r a t e a n d e f f i c i e n t . R C T C i n t e n d s t o i n s t a l l a s y s t e m t h a t m e e t s t h e s a m e
f u n c t i o n a l i t y f o r 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 t h e E x p r e s s L a n e s .
T h e r e a r e a p p r o x i m a t e l y 9 , 0 0 0 c h a n n e l i z e r s o n t h e O r a n g e C o u n t 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 s e p a r a t e t h e t o l l l a n e s f r o m t h e 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 .
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 t h e 9 1 E x p r e s s L a n e s w i l l i n c l u d e a p p r o x i m a t e l y 9 , 0 0 0
a d d i t i o n a l c h a n n e l i z e r s u s e d f o r t h e s a m e l a n e - s e p a r a t i o n p u r p o s e . E v e r y t h i r d S u n d a y ,
C a l t r a n s p e r f o r m s r o u t i n e m a i n t e n a n c e , c o n s i s t i n g o f s w e e p i n g , r e p l a c e m e n t o f
c h a n n e l i z e r s a n d o t h e r r e p a i r s o n t h e 9 1 E x p r e s s L a n e s . T h i s s c h e d u l e w i l l c o n t i n u e f o r
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 n g o i n g o p e r a t i o n s i n c l u d e t h e C u s t o m e r
A s s i s t a n c e S p e c i a l i s t ( C A S ) . T h e s e s p e c i a l i s t s a s s i s t
s t r a n d e d 9 1 E x p r e s s L a n e s c u s t o m e r s b y c h a n g i n g
t i r e s , p r o v i d i n g g a s a n d g e t t i n g s t a l l e d c a r s
m o v i n g o r s a f e l y o f f t h e r o a d . C A S h i s t o r i c a l l y
r e s p o n d s t o a n a v e r a g e o f 1 0 0 c a l l s p e r m o n t h . I t
i s a n t i c i p a t e d t h a t s e r v i c e c a l l s w i l l i n c r e a s e w h e n
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 a r e i n f u l l
o p e r a t i o n . T h e C A S i s a k e y p a r t o f i n c i d e n t
m a n a g e m e n t t o k e e p t h e t r a f f i c f l o w i n g a n d i m p r o v e c u s t o m e r s a f e t y .
A N A H E I M A N D C O R O N A F A C I L I T I E S
T h e c u r r e n t A n a h e i m a n d C o r o n a f a c i l i t i e s a r e d e s c r i b e d i n t h e O p e r a t i o n S t a t i s t i c s
A t t a c h m e n t ( 3 ) .
A 4
INTRODUCTION
1-1 GENERAL -OVERVIEW OF SCOPE
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHIBIT A
The Agreement, including this Statement of Work, describes OCT A and RCTC
requirements for the 91 Express lanes joint operation. The services described herein are
intended to ensure efficient toll collection operation; sound financial accounting of
revenues and resources; good stewardship and management of each AGENCY'S assets;
promotion of a safe environment for motorists; responsive and courteous customer
service; and other relative services that are in the best interest of the AGENCIES.
The· AGENCIES will provide direct staffing to the 91 Express Lanes. In addition, the
AGENCIES provide indirect resources from diverse areas such as telecommunications,
customer relations, marketing, accounting, media relations, legal, procurement,
planning, and engineering. THe AGENCIES also have existing contracts with the following
firms and will continue to hold such contracts:
• California Highway Patrol -conducts enforcement and direct response service for
incident management
• State of California, Department of Transportation {Caltrans) -provides monthly,
routine roadway maintenance such as replacement of channelizers, sweeping,
debris removal, general clean up
• 3M-electronic toll collection {ETC) system integrator; provides ongoing ETC
systems maintenance support
• Stantec Associates -provides traffic and revenue forecasting and analysis
• Delcan Corporation -provides maintenance/support and software license
renewals of the video surveillance system
• Brentwood Corporation -currently provides maintenance support for on-road
information and price signs. This contractor may change in the future with a new
sign contract.
Effective July 1, 2011, CONTRACTOR implemented a new back-office Revenue and
Account Management System (RAMS) for the Orange County portion of the 91 Express
Lanes. The new system will be modified separately to accommodate the Riverside
County portion of the 91 Express Lanes in accordance with the requirements of this
Statement of Work.
The purpose of this Statement of Work is to set forth the requirements for the
CONTRACTOR to provide the services required to manage and operate each AGENCY'S
AS
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O C T A A g r e e m e n t N u m b e r : C - 3 - 1 5 2 9
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
e x i s t i n g a n d f u t u r e 9 1 E x p r e s s L a n e s . T h e c o n t r a c t s c o p e i s s e g m e n t e d i n t o t h r e e
f u n c t i o n a l a r e a s i n c l u d i n g :
A ) P r o g r a m M a n a g e m e n t a n d A d m i n i s t r a t i o n i n c l u d i n g I n f o r m a t i o n S y s t e m s
T e c h n o l o g y a n d T e l e c o m m u n i c a t i o n s ;
B ) C u s t o m e r S e r v i c e , V i o l a t i o n s E n f o r c e m e n t , P r o c e s s i n g ; a n d
C ) T o l l P l a z a O p e r a t i o n s , I n - L a n e E q u i p m e n t M a i n t e n a n c e M o n i t o r i n g a n d T r a f f i c
O p e r a t i o n s C e n t e r .
1 - 2 P E R F O R M A N C E A N D Q U A L I T Y C R I T E R I A
1 - 2 . 1 P e r f o r m a n c e M e a s u r e m e n t R e q u i r e m e n t s
T h e l e v e l o f p e r f o r m a n c e r e q u i r e d b y t h e A G E N C I E S a n d p r o v i d e d b y t h e C O N T R A C T O R
s h a l l c o n f o r m t o t h e P e r f o r m a n c e S t a n d a r d s , i n A t t a c h m e n t ( 1 ) .
T h e A G E N C I E S a n d C O N T R A C T O R s h a l l j o i n t l y e s t a b l i s h p e r f o r m a n c e m e a s u r e m e n t s .
C O N T R A C T O R s h a l l r e p o r t a c t u a l p e r f o r m a n c e c o m p a r e d t o p e r f o r m a n c e
m e a s u r e m e n t s o n a m o n t h l y , q u a r t e r l y a n d a n n u a l b a s i s . D e v i a t i o n s f r o m p e r f o r m a n c e
s t a n d a r d s s h a l l b e e x p l a i n e d a n d j u s t i f i e d .
T h e A G E N C I E S a n d C O N T R A C T O R m a y m u t u a l l y a g r e e t o p e r i o d i c a l l y c h a n g e s u c h
p e r f o r m a n c e m e a s u r e m e n t s .
1 - 2 . 2 Q u a l i t y C r i t e r i a
T h e C O N T R A C T O R s h a l l , a t a l l t i m e s t h r o u g h o u t t h e t e r m o f t h e c o n t r a c t , p r o v i d e
q u a l i f i e d m a n a g e m e n t , t e c h n i c a l , p r o f e s s i o n a l a n d c l e r 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
d u t i e s a n d r e s p o n s i b i l i t i e s a s s i g n e d u n d e r t h e t e r m s o f t h e c o n t r a c t a n d t h i s S t a t e m e n t
o f W o r k .
S u 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 n d 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 a l l a p p l i c a b l e l a w s ,
r u l e s , r e g u l a t i o n s , o r d i n a n c e s a n d p o l i c i e s o f b o t h A G E N C I E S a n d 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 , p l a n s a n d p r o c e d u r e s p r e p a r e d b y t h e C O N T R A C T O R a n d a p p r o v e d b y t h e
A G E N C I E S i n a c c o r d a n c e w i t h t h i s S t a t e m e n t o f W o r k 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 .
1 - 3 K E Y C O N T R A C T O R S T A F F
T h e A G E N C I E S r e q u i r e t h e C O N T R A C T O R t o p r o v i d e f u l l - t i m e , d e d i c a t e d s t a f f t o m a n a g e
t h e p r o j e c t . T h e C O N T R A C T O R s h a l l i d e n t i f y b a c k u p p e r s o n n e l i n t h e a b s e n c e o f t h e k e y
s t a f f . T h e f o l l o w i n g p o s i t i o n s a r e i d e n t i f i e d a s r e q u i r e d k e y s t a f f :
A 6
" 1 P r o g r a m M a n a g e r
" 1 A c c o u n t i n g M a n a g e r
O C T A A g r e e m e n t N u m b e r : C - 3 - 1 5 2 9
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
" 1 M a n a g e r o f I n f o r m a t i o n S y s t e m s a n d T e l e c o m m u n i c a t i o n s
" 1 M a n a g e r o f C u s t o m e r S e r v i c e C e n t e r a n d P r o c e s s i n g
" 1 C u s t o m e r S e r v i c e C e n t e r M a n a g e r
" 1 P r o c e s s i n g M a n a g e r
" 1 O p e r a t i o n s M a n a g e r
T h e C O N T R A C T O R m u s t o b t a i n t h e A G E N C I E S ' w r i t t e n a p p r o v a l ( v i a e l e c t r o n i c m a i l o r
m e m o ) o f a n y p r o p o s e d c h a n g e s t o a s s i g n e d k e y s t a f f a s f u r t h e r s e t f o r t h i n A r t i c l e 6 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 e A g r e e m e n t . A n y v a c a n c y i n a k e y s t a f f p o s i t i o n s h a l l b e
f i l l e d w i t h i n 3 0 c a l e n d a r d a y s u n l e s s a l o n g e r p e r i o d i s a p p r o v e d b y t h e A G E N C I E S , a n d
s u s p e n s i o n o f a n y p e r f o r m a n c e m e a s u r e s r e l a t e d t o t h e f i l l i n g o f p o s i t i o n s s h a l l n o t
e x c e e d 3 0 d a y s , u n l e s s a l o n g e r p e r i o d i s a p p r o v e d b y t h e A G E N C I E S .
1 - 4 O P E R A T I O N S R E Q U I R E M E N T S
T h e C O N T R A C T O R w i l l o p e r a t e o n e b a c k o f f i c e s y s t e m f o r m a n a g i n g t h e a d d i t i o n o f
c u s t o m e r a c c o u n t s , m a i n t e n a n c e o f t h o s e a c c o u n t s a n d p r o c e s s i n g f i n a n c i a l
t r a n s a c t i o n s o n b e h a l f o f t h e A G E N C I E S . F u r t h e r , o n e v i o l a t i o n s p r o c e s s w i l l b e i n e f f e c t
u n l e s s l e g a l j u r i s d i c t i o n a l r e q u i r e m e n t s d i c t a t e t h a t e a c h A G E N C Y b e r e p r e s e n t e d i n
t h e i r r e s p e c t i v e j u d i c i a l d i s t r i c t s . O C T A a n d R C T C w i l l e n d e a v o r t o o p e r a t e u n d e r
b u s i n e s s r u l e s a n d p r o c e s s e s t h a t a r e a s s i m i l a r a s p o s s i b l e i n t h e i n t e r e s t o f e f f i c i e n c y o f
o p e r a t i o n s , a n d t o m i n i m i z e o p e r a t i o n a l c o s t s a n d c u s t o m e r c o n f u s i o n . 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 , i f r e q u i r 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 , t h e A G E N C I E S s h a l l u s e t h e
s a m e b u s i n e s s r u l e s a n d o p e r a t i n g r u l e s .
T h e e x i s t i n g c u s t o m e r s e r v i c e c e n t e r w i l l c o n t i n u e t o s e r v e t h e c u s t o m e r s o f t h e 9 1
E x p r e s s L a n e s .
T h e C O N T R A C T O R s h a l l p e r f o r m a l l a s p e c t s o f t h e c o r e s e r v i c e s i n t h e t h r e e f u n c t i o n a l
a r e a s a s o u t l i n e d b e l o w a n d f u r t h e r d e f i n e d h e r e i n .
A ) P r o g r a m M a n a g e m e n t a n d A d m i n i s t r a t i o n , I n f o r m a t i o n S y s t e m s
T e c h n o l o g y a n d T e l e c o m m u n i c a t i o n s
A - 1 O v e r v i e w
o S t a f f Q u a l i f i c a t i o n s
o W o r k f o r c e M a n a g e m e n t
o O f f i c e S p a c e & E q u i p m e n t
o R e q u i r e d K e y P e r s o n n e l
A 7
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" O C T A A g r e e m e n t N u m b e r : C - 3 - 1 5 2 9
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
0 P r o g r a m M a n a g e m e n t P l a n
A - 2 G e n e r a l B u s i n e s s A d m i n i s t r a t i o n
o A n n u a l B u d g e t a n d W o r k P l a n
o H u m a n R e s o u r c e s M a n a g e m e n t
o P o l i c i e s a n d P r o c e d u r e s
o T r a i n i n g
o O f f i c e I I n v e n t o r y M a n a g e m e n t
o F a c i l i t i e s M a i n t e n a n c e C o o r d i n a t i o n
o O v e r s i g h t o f C a p i t a l F i x e d A s s e t s a n d C a p i t a l I m p r o v e m e n t s
o C o n t r a c t A d m i n i s t r a t i o n
o T h i r d P a r t y S u p p l i e r s a n d V e n d o r s
o I n s u r a n c e I R i s k M a n a g e m e n t A c t i v i t i e s
o S a f e g u a r d i n g o f A s s e t s
o D o c u m e n t a t i o n
o F A S T R A K S e r v i c e s I n c l u d i n g T i t l e 2 1 I n t e r o p e r a b i l i t y
o V a l i d a t i n g I n t e r o p e r a b i l i t y T r a n s a c t i o n s
o T r a f f i c a n d R e v e n u e a n d O p e r a t i o n s A n a l y s i s a n d R e p o r t i n g I
R e c o n c i l i a t i o n
o T o l l A d j u s t m e n t I m p l e m e n t a t i o n
o C o o r d i n a t i o n w i t h t h e A G E N C I E S
o M e e t i n g s , T o u r s , M e d i a B r i e f i n g s
o E x t e r n a l A g e n c i e s C o m p l i a n c e
A - 3 Q u a l i t y C o n t r o l - D e v e l o p m e n t , A s s u r a n c e , R e p o r t i n g
o Q u a l i t y C o n t r o l
o D i s a s t e r R e c o v e r y / E m e r g e n c y P r e p a r e d n e s s
o S a f e t y
o S e c u r i t y a n d I n v e s t i g a t i o n s
o D i s c r e p a n c y R e p o r t i n g
o R e p o r t i n g a n d D o c u m e n t a t i o n
A - 4 I n f o r m a t i o n S y s t e m s T e c h n o l o g y & T e l e c o m m u n i c a t i o n s
o D e s c r i p t i o n o f I n f o r m a t i o n T e c h n o l o g y E n v i r o n m e n t
o M a j o r I n f o r m a t i o n S y s t e m s
o A G E N C I E S ' P r o v i s i o n s
o C O N T R A C T O R ' s R e s p o n s i b i l i t i e s
A - 5 A c c o u n t i n g a n d F i n a n c i a l R e p o r t i n g
o A c c o u n t s P a y a b l e
o I n t e r o p e r a b i l i t y
A B
o General Ledger
o Reconciliation
o Fixed Assets
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHIBIT A
o Reporting Requirements
·A-6 Other
o Photographers
o Other Duties as Requested
B) Customer Service, Violations Enforcement and Processing
B-1 Overview
o Administration
o Locations
o Hours of Operation
o Ownership of Systems and Data
o Document Control
o Customer Information
o Public Communications
B-2 Staffing
o Required Key Personnel
o Staffing Requirements
B-3 Customer Service Center Requirements I Responsibilities
o Daily Functional Requirements/ Responsibilities
o Account Management
B-4 Revenue Management I Revenue Collection
o Money Handling, Counting and Storage
o Credit Card Processing
B-5 Customer Communications
o Customer Walk-ins
o Call Center and Voice Response System
o Voice Broadcast
B-6 Mail Processing
o Incoming Mail
o Scanning
o Workflow Process
o Outgoing Mail
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B - 7
O C T A A g r e e m e n t N u m b e r : C - 3 - 1 5 2 9
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
V i o l a t i o n s E n f o r c e m e n t I P r o c e s s i n g I C o l l e c t i o n s
o O v e r v i e w
o T o l l E v a s i o n L e g i s l a t i o n
o I m a g e P r o c e s s i n g
o O M V L o o k - u p
o V i o l a t i o n N o t i c e P r o c e s s i n g
o A d m i n i s t r a t i v e R e v i e w
o P a y m e n t P r o c e s s i n g
o C o l l e c t i o n s a n d O M V R e g i s t r a t i o n H o l d s
B - 8 T r a n s p o n d e r M a n a g e m e n t
o T r a n s p o n d e r O r d e r i n g
o R e c e i p t , I d e n t i f i c a t i o n a n d I n v e n t o r y
o T r a n s p o n d e r F u l f i l l m e n t
o T r a n s p o n d e r S t a t u s U p d a t e
o T r a n s p o n d e r R e t u r n s
o T r a n s p o n d e r S e c u r i t y
o T r a n s p o n d e r W a r r a n t y M a n a g e m e n t
C ) T o l l P l a z a , I n - L a n e a n d T r a f f i c O p e r a t i o n s C e n t e r
C - 1 S t a f f i n g
o R e q u i r e d K e y P e r s o n n e l
C - 2 T o l l O p e r a t i o n s
o T o l l C o l l e c t i o n O p e r a t i o n s
o T o l l L a n e O p e r a t i o n s
o T o l l S y s t e m P e r f o r m a n c e M o n i t o r i n g
C - 3 R o u t i n 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 v e r v i e w
o R o u t i n 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 A s s e t M a i n t e n a n c e , S c h e d u l e s , D o c u m e n t a t i o n a n d R e c o r d
K e e p i n g
o S p a r e C o m p o n e n t s a n d P a r t s
o M a i n t e n a n c e E q u i p m e n t
o A c c i d e n t I I n c i d e n t R e p o r t i n g
o C o o r d i n a t i o n W i t h C a l i f o r n i a H i g h w a y P a t r o l , D M V , C a l t r a n s
a n d O t h e r S t a t e / L o c a l A g e n c i e s
o F a c i l i t i e s M a i n t e n a n c e a n d R e p o r t i n g
C - 4 T r a f f i c O p e r a t i o n s
A 1 0
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHIBIT A
o Emergency Services Coordination
o Traffic Incident Management
o Traffic Control
C-5 Customer Assistance Specialist {CAS)
o Uniforms
o Transportation and Vehicles
1-5 CHANGE ORDERS
The AGENCIES either individually or collectively may from time to time request that
CONTRACTOR perform services other than those specified in the Agreement. Such
request, including any required notice to the other AGENCY, shall be made in
accordance with Article 14 of the Terms and Conditions of the Agreement.
CONTRACTOR shall submit a change order for such extra services specifying staff
assigned, estimated hours, cost and anticipated schedule. The relevant AGENCY, or both
AGENCIES, as applicable, shall review and if accepted, approve such change orders.
Except as otherwise provided in Article 14(0) or Article 14{F) of the Terms and
Conditions of the Agreement, CONTRACTOR shall begin work upon issuance by
AGENCIES or AGENCY of Notice to Proceed.
1-6 END OF CONTRACT TRANSITION
The CONTRACTOR acknowledges that the service provided under the terms of the
Agreement and this Statement of Work is vital to the AGENCIES and must be continued
without interruption. Upon expiration of the Agreement, a successor {the AGENCIES or a
new Operations CONTRACTOR) may be responsible for providing these services. The
CONTRACTOR agrees to exercise its best efforts and cooperation to affect an orderly
and efficient transition to a successor.
Upon the AGENCIES written notice, the CONTRACTOR shall furnish transition services
during the last 180 days of the Term of the Agreement. The CONTRACTOR shall develop
with the successor CONTRACTOR or the AGENCIES staff, a Agreement Transition Plan
describing the nature and extent of transition services required for each facility. This
Agreement Transition Plan and dates for transferring responsibilities for each division of
Work shall be submitted within 30 days of such Notice. Upon completion of AGENCIES'
review, all parties will meet and resolve any additional requirements/differences. The
CONTRACTOR shall provide sufficient 91 Express Lanes experienced personnel in each
division of Work during the entire transition period to ensure that the services are
maintained at the level of proficiency required by the Agreement.
The CONTRACTOR shall provide sufficient staff to help the successor maintain the
continuity and consistency of the services required by this Statement of Work. The
A11
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" O C T A A g r e e m e n t N u m b e r : C - 3 - 1 5 2 9
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
C O N T R A C T O R s h a l l a l l o w t h e s u c c e s s o r t o c o n d u c t o n - s i t e i n t e r v i e w s w i t h t h e
e m p l o y e e s .
1 - 7 A U D I T S
T h e A G E N C I E S w i l l r e q u i r e a v a r i e t y o f a u d i t s d u r i n g t h e A g r e e m e n t T e r m . T h e
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 c o o p e r a t e f u l l y a n d i n a t i m e l y m a n n e r w i t h a u d i t s .
T h e C O N T R A C T O R w i l l b e a r t h e c o s t o f i t s o w n a u d i t s ( c o n d u c t e d b y t h e C O N T R A C T O R ' s
i n d e p e n d e n t a u d i t o r s f o r t h e p u r p o s e s o f i s s u i n g p e r i o d i c a n d a n n u a l f i n a n c i a l
s t a t e m e n t s f o r t h e C O N T R A C T O R ) . T h e A G E N C I E S r e s e r v e t h e r i g h t t o c o n d u c t
a n n o u n c e d a n d u n a n n o u n c e d a u d i t s o f s e l e c t e d a s p e c t s o f t h e C O N T R A C T O R ' s
o p e r a t i o n s i n s u p p o r t o f t h e 9 1 E x p r e s s L a n e s . T h e s e a u d i t s m a y i n c l u d e t h e f o l l o w i n g
a c t i v i t i e s :
" R e v i e w s o f i n t e r n a l c o n t r o l s a n d o t h e r p r o c e s s e s
" V e r i f i c a t i o n o f r e v e n u e a n d c o s t d a t a
" V e r i f i c a t i o n o f i n t e r o p e r a b i l i t y d a t a a n d r e p o r t s
" I n f o r m a t i o n T e c h n o l o g y
" F a c i l i t y i n s p e c t i o n s
" R e v i e w s o f c u s t o m e r a c c o u n t s
" S e c u r i t y r e v i e w s
" F i x e d A s s e t s a u d i t s
" P C l / D S S c o m p l i a n c e
" A n y o t h e r a c t i v i t y w h i c h s h a l l r e a s o n a b l y b e r e q u i r e d t o p r o t e c t t h e
A G E N C I E S ' a s s e t s , t h e 9 1 E x p r e s s L a n e s a n d t h e i n t e r e s t o f 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 s .
T h e A G E N C I E S w i l l n o t m a k e u n r e a s o n a b l e d e m a n d s o n t h e C O N T R A C T O R i n r e s p e c t t o
t h e a b o v e a n d w i l l g i v e a m p l e n o t i c e w h e n p r a c t i c a b l e .
T o t h e e x t e n t f e a s i b l e a u d i t s w i l l b e c o m m i s s i o n e d j o i n t l y b y t h e A G E N C I E S t o m i n i m i z e
t h e c o s t s a n d o p e r a t o r i m p a c t o f s e p a r a t e a u d i t s a n d a u d i t p e r s o n n e l .
1 - 7 . 1 F i n a n c i a l A u d i t s
S e p a r a t e a n n u a l f i n a n c i a l a u d i t s w i l l b e p e r f o r m e d b y e a c h A G E N C Y . T h e A G E N C I E S w i l l
a t t e m p t t o c o o r d i n a t e o p e r a t i o n a l a u d i t s t o m i n i m i z e r e p e t i t i o n .
1 - 7 . 2 P r o c e s s i n g C o n t r o l A u d i t s
I n o r d e r f o r t h e A G E N C I E S ' a u d i t o r s t o p e r f o r m r i s k a s s e s s m e n t p r o c e d u r e s a n d t o
a s s e s s t h e r i s k o f m a t e r i a l m i s s t a t e m e n t o f f i n a n c i a l s t a t e m e n t a s s e r t i o n s a f f e c t e d b y
A 1 2
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHIBIT A
the CONTRACTOR's system, the CONTRACTOR shall engage an independent accounting
firm to prepare a Service Organizational Control (SOC) 1, Type 2 report.
The SOC 1, Type 2 report shall examine and report on the CONTRACTOR's controls that
are likely to be relevant to an audit of the AGENCIES' financial statements. The SOC 1,
Type 2 report shall be provided to the AGENCIES one year after Actual Opening Date
and an update shall be prepared and provided to the AGENCIES every 2 years
thereafter. If there is a material change to the CONTRACTOR'S operations, the
CONTRACTOR shall update the initial SOC 1, Type 2 to and include it on the update to
ensure the CONTRACTOR is in compliance with the Statement of Standards for
Attestation Engagements (SSAE) No. 16 attestation standards.
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O C T A A g r e e m e n t N u m b e r : C - 3 - 1 5 2 9
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00 •
EXHIBIT A
Area A
Program Management, Administration, Information Systems
Technology and Telecommunications Services
A15
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A - 1 O V E R V I E W
A - 1 . 1 S t a f f Q u a l i f i c a t i o n s
O C T A A g r e e m e n t N u m b e r : C - 3 - 1 5 2 9
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
T h e C O N T R A C T O R ' s s t a f f i s r e q u i r e d t o p e r f o r m t h e d u t i e s a s s t a t e d i n t h e i r i n d i v i d u a l
j o b d e s c r i p t i o n s a n d c o n d u c t t h e m s e l v e s i n a c o u r t e o u s , o r d e r l y a n d p r o f e s s i o n a l
m a n n e r w h i l e i n t e r a c t i n g w i t h t h e A G E N C I E S a n d t h e p u b l i c . T h e C O N T R A C T O R ' s
e m p l o y e e s s h a l l n o t b e h a v e o r a c t i n a n y w a y t h a t i s p r e j u d i c i a l t o g o o d o r d e r , m o r a l e ,
o r d i s c i p l i n e , w h i c h w i l l r e f l e c t n e g a t i v e l y u p o n t h e A G E N C I E S ; o r w h i c h w i l l a d v e r s e l y
a f f e c t e a c h A G E N C Y ' S i n t e r e s t o r t h o s e o f t h e p u b l i c .
A - 1 . 2 W o r k f o r c e M a n a g e m e n t
T h e C O N T R A C T O R s h a l l e x e r c i s e a n d i m p l e m e n t a l l f e a s i b l e a n d b u s i n e s s - l i k e e f f o r t s t o
r e t a i n q u a l i t y p e r s o n n e l t o m a i n t a i n m a x i m u m c o n t i n u i t y o f s t a f f i n g t h r o u g h o u t t h e
A g r e e m e n t T e r m . T h e A G E N C I E S e x p e c t t h e C O N T R A C T O R t o e m p l o y b e s t b u s i n e s s
p r a c t i c e s i n r e c r u i t i n g , t r a i n i n g , s u p e r v i s i n g a n d e v a l u a t i n g s t a f f t o m a i n t a i n h i g h m o r a l
a n d p r o d u c t i v i t y o f i t s w o r k f o r c e . A n y c h a n g e s t o t h e s e r v i c e s p r o v i d e d w h i c h m a y
a f f e c t t h e s t a f f i n g l e v e l s a s s i g n e d w i l l b e d i s c u s s e d b y b o t h p a r t i e s p r i o r t o
i m p l e m e n t a t i o n a n d m u s t b e a p p r o v e d b y t h e A G E N C I E S .
A - 1 . 3 O f f i c e S p a c e & E q u i p m e n t
T h e A G E N C I E S w i l l p r o v i d e t h e C O N T R A C T O R w i t h o f f i c e s p a c e a n d e q u i p m e n t f o r t h e
A d m i n i s t r a t i v e H e a d q u a r t e r s F a c i l i t y ( A H F ) i n A n a h e i m . T h e C O N T R A C T O R s h a l l b e
r e s p o n s i b l e f o r f u r n i s h i n g g e n e r a l o f f i c e s u p p l i e s , p o s t a g e , i n c i d e n t a l s a n d d a y - t o - d a y
o p e r a t i n g e x p e n s e s t o e f f i c i e n t l y m a n a g e a n d p e r f o r m a l l t a s k s a n d a c t i v i t i e s a s s o c i a t e d
w i t h t h e A g r e e m e n t . O n l y t h e A g e n c i e s ' b u s i n e s s w i l l b e c o n d u c t e d a t t h e s e f a c i l i t i e s
u n l e s s s p e c i f i c a l l y a p p r o v e d i n w r i t i n g b y t h e G e n e r a l M a n a g e r o f e a c h A G E N C Y 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 . F o r e q u i p m e n t , u p o n A G E N C I E S a p p r o v a l , C O N T R A C T O R
s h a l l i s s u e a P u r c h a s e O r d e r t o v e n d o r a n d r e m i t i n v o i c e t o t h e A G E N C I E S a s d e s c r i b e d
i n S e c t i o n A S - 1 , A c c o u n t s P a y a b l e .
T h e C O N T R A C T O R s h a l l i n s t a l l a n d c o n f i g u r e a l l P C - b a s e d w o r k s t a t i o n s a t t h e A n a h e i m
o f f i c e , C o r o n a S e r v i c e C e n t e r , T r a f f i c O p e r a t i o n s C e n t e r , i n t h e T o l l P l a z a a n d a l l P C -
b a s e d w o r k s t a t i o n s d e d i c a t e d t o 9 1 E x p r e s s L a n e s o p e r a t i o n s . T h e P C W o r k s t a t i o n
p r o c e s s i n g e n v i r o n m e n t s h a l l p r o v i d e f o r b r o a d - b a s e d s o f t w a r e s u p p o r t .
I n a d d i t i o n , t h e C O N T R A C T O R s h a l l h a v e l i m i t e d a c c e s s t o e a c h A G E N C Y ' S e n t e r p r i s e
a c c o u n t i n g s y s t e m ; O C T A ' s I n t e g r a t e d F i n a n c i a l a n d A d m i n i s t r a t i v e S o l u t i o n ( I F A S )
a c c o u n t i n g s y s t e m , a n d R C T C ' s E D E N f i n a n c i a l a c c o u n t i n g s y s t e m .
A 1 6
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHIBIT A
The CONTRACTOR shall maintain the software licensing and an inventory of the
software licenses for the 91 Express lanes on behalf of the AGENCIES.
All reports and documentation shall be developed, processed, maintained, and
distributed via this PC processing environment and/or network, and shall be subject to
review and approval by the AGENCIES. CONTRACTOR shall grant access privileges only to
personnel authorized to make updates to sensitive data as a part of their regular duties.
A-1.4 Required Key Personnel
The AGENCIES view the program management, administration and information systems
technology functions of the 91 Express Lanes as critical, and, as such, requires, at a
minimum, the following fully dedicated, full time, on-site personnel for the project:
A Program Manager -project lead, responsible for overall operations, controls and
coordination with AGENCIES. The Program Manager shall have the authority and
responsibility to direct all activities conducted by the CONTRACTOR.
An Accounting Manager -responsible for reconciling cash and credit card
accounts, preparing monthly journal entries, preparing and reviewing exception
reports, preparing and entering accounts payable transactions, validation of
transponder inventory counts, developing and implementing internal control
procedures, and coordinating all fiscally related issues with each AGENCY'S
designated accounting staff.
A Information Systems and Telecommunications Manager -responsible for all
information technology and telecommunications functions including data center
management, database management, network administration, compliance with
PCl/DSS and AGENCIES' security requirements and coordination with other
agencies' interoperability, IT vendors and the AGENCIES.
Replacement of any required key personnel identified in this Statement of Work shall be
approved by the AGENCIES. Such approval shall not be unreasonably withheld.
A-1.5 Program Management Plan
The CONTRACTOR shall manage its operations in accordance with a Program
Management Plan, to be approved by the AGENCIES. The Program Management Plan
shall include:
• A description of the management and organization of the program, an
organization chart, identification of key personnel and their responsibilities
A17
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O C T A A g r e e m e n t N u m b e r : C - 3 - 1 5 2 9
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
a n d i d e n t i f i c a t i o n o f t h e r e s o u r c e s t o b e u s e d i n f u l f i l l i n g t h e r e q u i r e m e n t s o f
t h e A g r e e m e n t .
" A d e s c r i p t i o n o f t h e p l a n n i n g a n d r e p o r t i n g m e t h o d s t o b e u t i l i z e d , b o t h f o r
u s e w i t h i n t h e C O N T R A C T O R ' s s t a f f a n d e x t e r n a l l y t o t h e A G E N C I E S . T h i s
i n c l u d e s a P e r f o r m a n c e M e a s u r e m e n t P l a n .
" H o w d a y - t o - d a y o p e r a t i o n s , g e n e r a l i s s u e s , a n d p r o b l e m s w i l l b e
c o m m u n i c a t e d t o t h e A G E N C I E S .
" H o w t h e p r o j e c t s c h e d u l e a n d p e r f o r m a n c e w i l l b e r e p o r t e d a n d t r a c k e d f o r
t r a n s i t i o n a n d d e v e l o p m e n t a c t i v i t i e s .
T h e P r o g r a m M a n a g e m e n t P l a n a n d i t s c o m p o n e n t s s h a l l b e u p d a t e d a n d s u b m i t t e d
w h e n i t s c o n t e n t i s r e v i s e d o r a d d i t i o n a l d e t a i l b e c o m e s a v a i l a b l e . T h e C O N T R A C T O R
s h a l l p e r i o d i c a l l y p r o v i d e a n u p d a t e d o r g a n i z a t i o n c h a r t d e t a i l i n g t h e c u r r e n t n u m b e r o f
f u l l - t i m e e q u i v a l e n t s ( F T E ) r e s o u r c e s u s e d b y t h e v a r i o u s f u n c t i o n a l a r e a s .
A - 2 G E N E R A L B U S I N E S S A D M I N I S T R A T I O N
A - 2 . 1 A n n u a l B u d g e t a n d W o r k P l a n
T h e C O N T R A C T O R s h a l l s u b m i t a n A n n u a l O p e r a t i o n s B u d g e t a n d C a p i t a l R e q u e s t t o t h e
A G E N C I E S . T h e A G E N C I E S ' O p e r a t i o n s B u d g e t s s h o u l d r e f l e c t a n y m o d i f i c a t i o n s o r
i n d i v i d u a l A G E N C Y b u d g e t i t e m s t h a t C O N T R A C T O R b e l i e v e s a r e p o s s i b l e a n d n e c e s s a r y
t o e n s u r e a p p r o p r i a t 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 . T h e C a p i t a l B u d g e t s h o u l d
i n c l u d e a s s e t a c q u i s i t i o n s / i m p r o v e m e n t s , w h i c h t h e C O N T R A C T O R b e l i e v e s a r e
n e c e s s a r y a n d p r o d u c t i v e f o r t h e c o n t i n u e d 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
a d d i t i o n , a n y s e p a r a t e a g e n c y b u d g e t i t e m s s h o u l d b e i d e n t i f i e d .
B u d g e t s s h a l l b e s u b m i t t e d t o t h e A G E N C I E S b y D e c e m b e r 3 1 o f e a c h y e a r f o r t h e
f o l l o w i n g f i s c a l y e a r ' s b u d g e t . F i n a l B u d g e t a p p r o v a l w i l l b e 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 A G E N C I E S a s s o o n a s p o s s i b l e a f t e r e a c h A G E N C Y ' S B o a r d
a p p r o v a l , b u t n o l a t e r t h a n J u l y 1 r e p r e s e n t i n g t h e b e g i n n i n g o f t h e f i s c a l y e a r . T h e
A G E N C I E S r e t a i n f u l l a u t h o r i t y t o a c t i n p a r t o r i n t o t a l i t y o n t h e s e r e q u e s t s a s a p p r o v e d
b y t h e i r r e s p e c t i v e B o a r d s . A n y i t e m s a p p r o v e d b y o n e A G E N C Y , a n d n o t a p p r o v e d b y
t h e o t h e r w i l l b e d e e m e d u n a p p r o v e d f o r b o t h f o r s y s t e m s a n d i n f r a s t r u c t u r e t h a t i s
c o m m o n f o r b o t h A G E N C I E S .
A - 2 . 2 H u m a n R e s o u r c e s M a n a g e m e n t
T h e C O N T R A C T O R s h a l l 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 t h e H u m a n R e s o u r c e s P o l i c i e s
a n d P r o c e d u r e s . T h e H u m a n R e s o u r c e s P o l i c i e s a n d P r o c e d u r e s s h a l l i n c l u d e a s c r e e n i n g
p r o c e s s f o r a l l p o t e n t i a l e m p l o y e e s a s s i g n e d t o t h e p r o j e c t . T h i s p r o c e s s s h a l l i n c l u d e
A 1 8
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHIBIT A
any drug testing program consistent with any such program adopted by the AGENCIES,
and a background check conducted for and in each state of residence during the past
five (5) years to exclude individuals with criminal records or backgrounds that could
jeopardize the CONTRACTOR' s ability to properly provide the specified services and the
safety of the public. Drivers license record checks will be conducted annually for
CONTRACTOR employees who operate a vehicle covered by the Agreement. The safe
and proper handling of AGENCIES revenues by the CONTRACTOR's personnel shall be
the focus of the screening process.
A-2.3 Policies and Procedures
The CONTRACTOR shall maintain a hard copy and electronic version of Policies and
Procedures, which shall include and cover all processes of every kind and nature
necessary for the performance of the Work as specified in the Agreement. The Policies
and Procedures shall contain methods for coordination among the CONTRACTOR, the
AGENCIES, and any other parties with whom the AGENCIES have a business relationship
or to whom the AGENCIES have awarded a contract. The CONTRACTOR shall reflect in
the Policies and Procedures the processes, plans and other forms of reports, all as are
required by this Agreement, unless otherwise directed by the AGENCIES. The
CONTRACTOR shall also prepare and submit to the AGENCIES for approval, material
modifications and updates to the Policies and Procedures for all work associated with
future services.
Policies and Procedures identified for each functional area include:
• Administration
• Human Resources Management
• Training
• Quality Control
• Disaster Recovery I Business Resumption Plan
• Toll Operations
• Violation Processing
• Interoperability
• Customer Service
• Accounting
• Security and Investigations
• Customer Assistance Specialist (CAS)
• Incident Management
• Safety Program
• Customer Account Management
• Information Technology
• Traffic Operations Center
A19
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" L a n e M a i n t e n a n c e
" V a r i a b l e M e s s a g e S i g n M a n a g e m e n t
" C o o r d i n a t i o n w i t h C H P a n d C a l t r a n s
A - 2 . 4 T r a i n i n g
O C T A A g r e e m e n t N u m b e r : C - 3 - 1 5 2 9
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
T h e C O N T R A C T O R s h a l l d e f i n e t h e t r a i n i n g n e c e s s a r y s o t h a t p e r s o n n e l a r e
k n o w l e d g e a b l e a n d c o m p e t e n t i n a l l a s p e c t s o f t h e i r j o b s . T h e C O N T R A C T O R s h a l l
i n c o r p o r a t e i n t o t h e s e m a t e r i a l s e m p l o y e e o r i e n t a t i o n p r o g r a m s ; t r a i n i n g p r o c e d u r e s
f o r a l l p e r s o n n e l i n p e r f o r m a n c e o f t h e i r d u t i e s ; s p e c i a l i z e d t r a i n i n g , s u c h a s s a f e t y ,
c u s t o m e r s e r v i c e , c o m p u t e r s y s t e m s , e t c . ; a n d o t h e r t r a i n i n g r e q u i r e d f o r c o m p l i 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 g r e e m e n t .
A l l t r a i n i n g m a t e r i a l s / r e c o r d s a c q u i r e d o r d e v e l o p e d b y t h e C O N T R A C T O R s h a l l b e t h e
p r o p e r t y o f t h e A G E N C I E S . T h e C O N T R A C T O R s h a l l o b t a i n a n y l i c e n s e s o r r i g h t s a c q u i r e d
f o r t r a i n i n g m a t e r i a l s e x c l u s i v e l y i n t h e n a m e o f t h e A G E N C I E S .
A - 2 . 5 O f f i c e / I n v e n t o r y M a n a g e m e n t
T h e C O N T R A C T O R s h a l l m a n a g e a l l f i x t u r e s , f u r n i t u r e , e q u i p m e n t a n d s u p p l i e s a n d o t h e r
p e r s o n a l p r o p e r t y c o m p r i s i n g t h e p r o j e c t . I n a d d i t i o n , t h e C O N T R A C T O R s h a l l p r o v i d e
f o r t h e o f f i c e s u p p l i e s , p o s t a g e a n d i n c i d e n t a l s , a s w e l l a s c u s t o m e r
c o r r e s p o n d e n c e / l e t t e r h e a d a n d o p e r a t i o n s m a t e r i a l s r e q u i r e d f o r t h e o p e r a t i o n . T h e
C O N T R A C T O R w i l l a s s i s t t h e A G E N C I E S i n m a i n t a i n i n g a n a n n u a l i n v e n t o r y o f a l l
A G E N C Y - o w n e d a s s e t s a n d w i l l s e r v e a s t h e 9 1 E x p r e s s L a n e s f i x e d a s s e t c u s t o d i a n .
A - 2 . 6 F a c i l i t i e s M a i n t e n a n c e C o o r d i n a t i o n
T h e C O N T R A C T O R s h a l l c o o r d i n a t e t h e m a i n t e n a n c e o f t h e f a c i l i t i e s , i n c l u d i n g t h e
O r a n g e C o u n t 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 , 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 t h e 9 1
E x p r e s s l a n e s , t h e A n a h e i m H e a d q u a r t e r s , t h e C o r o n a C u s t o m e r S e r v i c e C e n t e r ( C S C ) ,
d a t a c e n t e r s , a i r c o n d i t i o n i n g s y s t e m , U P S , g e n e r a t o r s , l n e r g e n f i r e s u p p r e s s i o n s y s t e m
a n d t o l l p l a z a s l o c a t e d w i t h i n t h e j o i n t f a c i l i t y . T h e A G E N C I E S w i l l m a i n t a i n t h e C o r o n a
C S C g e n e r a t o r , t h e N C f o r t h e d a t a c e n t e r a n d T r a f f i c O p e r a t i o n s C e n t e r ( T O C ) a n d t h e
l n e r g e n f i r e s u p p r e s s i o n s y s t e m f o r t h e T O C , E x p e n s e s R e s p o n s i b i l i t i e s .
A - 2 . 7 O v e r s i g h t o f C a p i t a l F i x e d A s s e t 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 C O N T R A C T O R s h a l l a n a l y z e , r e c o m m e n d a n d m o n i t o r s c h e d u l e d m a j o r m a i n t e n a n c e
p r o g r a m i t e m s . I n a d d i t i o n , t h e C O N T R A C T O R s h a l l m a n a g e t h e m a i n t e n a n c e a n d
A 2 0
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHIBIT A
replacement of all fixed assets, including vehicles, building and office equipment,
computers and related equipment.
A-2.8 Contract Administration
The CONTRACTOR shall administer contracts in accordance with guidelines provided to
them by the AGENCIES.
A-2.9 Third Party Suppliers and Vendors
The CONTRACTOR shall assist and advise on the selection of third-party suppliers and
vendors, the preparation of requests for proposals and evaluation of proposals received
as requested by the AGENCIES
A-2.10 Insurance I Risk Management Activities
The CONTRACTOR shall assist the AGENCIES by cooperating with the respective AGENCY
management of insurance recoveries for property damage or loss of business income
from incidents on the 91 Express Lanes or adjacent general-purpose lanes, which result
in lane closures on the 91 Express Lanes. In addition, the CONTRACTOR will assist with
general risk management activities including gathering the information to fill the
subrogation claims, supplying information for accident investigations and responding to
subpoenas and insurance claims as requested by the AGENCIES.
A-2.11 Safeguarding of Assets
The CONTRACTOR shall be responsible for the safeguarding of all assets purchased by
the AGENCIES for the CONTRACTOR's use. These activities include tracking and securely
storing all business and financial equipment and FASTRAK transponders.
A-2.12 Documentation
The CONTRACTOR shall be responsible for the development and the maintenance of
documentation(s) throughout the term of the Agreement. As government agencies, the
AGENCIES are subject to the Freedom of Information Act and/or The Public Records Act.
Any requests for records made by the public must be submitted to the respective
AGENCIES' 91 Express Lanes General Manager for review. Regarding documentation the
CONTRACTOR develops for the AGENCIES in the course of this agreement which is
deemed to be of a confidential and/or proprietary nature by the CONTRACTOR; it is the
CONTRACTOR's responsibility to visibly mark each and every page of such
documentation as "Confidential".
A-2.12.1 Documentation Format Requirements
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O C T A A g r e e m e n t N u m b e r : C - 3 - 1 5 2 9
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
T h e C O N T R A C T O R s h a l l p r o v i d e a l l d o c u m e n t s t o t h e A G E N C I E S i n a n e l e c t r o n i c f o r m a t
( M i c r o s o f t O f f i c e o r A d o b e A c r o b a t ) c o m p a t i b l e w i t h t h e A G E N C I E S ' i n f o r m a t i o n
s y s t e m s a s p u b l i s h e d i n t h e A G E N C I E S ' I n f o r m a t i o n S y s t e m s S t a n d a r d s .
A - 2 . 1 2 . 2 D o c u m e n t C o n t r o l
T h e C O N T R A C T O R s h a l l d e v e l o p a c o m p r e h e n s i v e e l e c t r o n i c d o c u m e n t c o n t r o l p l a n a n d
s y s t e m t o m e e t t h e r e q u i r e m e n t s o f t h e A g r e e m e n t a n d t h e P o l i c i e s a n d P r o c e d u r e s . A l l
d o c u m e n t a t i o n , e l e c t r o n i c a n d o t h e r w i s e , d e v e l o p e d b y t h e C O N T R A C T O R t o s u p p o r t
r o u t i n e o p e r a t i o n s s h a l l b e t h e p r o p e r t y o f t h e A G E N C I E S . 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 a n i n v e n t o r y o f s u c h d o c u m e n t a t i o n a n d s h a l l b e s u b j e c t t o p e r i o d i c a u d i t b y
t h e A G E N C I E S . T h e A G E N C I E S 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 a p p r o v e t h e d o c u m e n t
c o n t r o l p l a n a n d s y s t e m .
A - 2 . 1 2 . 3 D o c u m e n t S u b m i t t a l S c h e d u l e , A p p r o v a l a n d M a i n t e n a n c e
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 a d e t a i l e d s c h e d u l e f o r a l l d o c u m e n t s u b m i t t a l s . T h e
s c h e d u l e s h a l l i d e n t i f y a l l A g r e e m e n t d o c u m e n t d e l i v e r a b l e s w i t h a s s o c i a t e d s u b m i t t a l
d a t e s r e q u i r e d b y t h e A G E N C I E S f o r e a c h A G E N C I E S r e v i e w .
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 a c o m p l e t e l i b r a r y f o r t h e A G E N C I E S ( P o l i c i e s a n d
P r o c e d u r e s , c o n t r a c t s , b u d g e t s , i n v o i c e s , e t c . ) o f a l l a p p r o v e d p r o j e c t d o c u m e n t a t i o n .
A l l d o c u m e n t s w i l l b e t h e p r o p e r t y o f t h e A G E N C I E S .
T h e C O N T R A C T O R s h a l l p r o v i d e c o m p l e t e s e c u r i t y a n d c o n f i d e n t i a l i t y f o r a l l d a t a a n d
i n f o r m a t i o n .
A - 2 . 1 3 F A S T R A K S e r v i c e s i n c l u d i n g T i t l e 2 1 I n t e r o p e r a b i l i t y A c t i v i t i e s
T h e C O N T R A C T O R s h a l l a d m i n i s t e r t o l l c o l l e c t i o n f r o m t h e C a l i f o r n i a T o l l O p e r a t o r s
C o m m i t t e e ( C T O C ) a g e n c i e s u s i n g t r a n s p o n d e r , l i c e n s e p l a t e r e a d s , e l e c t r o n i c f i l e
e x c h a n g e a n d t r a n s f e r o r o t h e r a p p r o v e d m e t h o d s . T h e C O N T R A C T O R s h a l l a n a l y z e ,
r e c o m m e n d a n d a s d i r e c t e d , i m p l e m e n t i n t e r o p e r a b i l i t y i m p r o v e m e n t s .
A - 2 . 1 4 V a l i d a t i n g I n t e r o p e r a b i l i t y T r a n s a c t i o n s
T h e C O N T R A C T O R s h a l l p r o v i d e f o r t h e t i m e l y , r e l i a b l e a n d a c c o u n t a b l e e x c h a n g e o f
i n f o r m a t i o n a m o n g p a r t i c i p a t i n g C T O C a g e n c i e s .
A t a m i n i m u m , t h e C O N T R A C T O R s h a l l p r o c e s s t h e s e t t l e m e n t o f r e c i p r o c a l t r a n s a c t i o n s
a s f o l l o w s :
A 2 2
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHIBIT A
• Reconcile files transmitted from CTOC agencies to the 91 Express Lanes' back
office/account management system reports to validate the transactions. All
discrepancies shall be reviewed.
• Notify AGENCIES' respective Accounting Departments of the amounts due
from the Issuing Agencies on a regularly scheduled basis.
A-2.15 Traffic and Revenue and Operations Analysis and Reporting I Reconciliation
The CONTRACTOR shall generate routine and ad hoc management reports and
supporting data showing trends in traffic, revenue and operations analysis, as well as
anomalies and explanations of such anomalies and other analysis as directed by the
AGENCIES. Such report shall, at a minimum, include weekly, monthly and annual reports
of trip and revenue statistics, weekday peak-hour global demand, weekday peak-hour
traffic and weekday peak volumes for determining toll adjustments.
The CONTRACTOR shall accurately process all vehicles and transactions in all lanes in the
system subject to the capability of the system. The CONTRACTOR shall take all steps
necessary to avoid and eliminate unverified and unrecognized transactions. The
CONTRACTOR shall provide the AGENCIES with daily deposit and audit reports, or other
reports as requested by the AGENCIES.
The CONTRACTOR shall, to the extent reasonably possible, provide, on a weekly basis
unless otherwise required by the AGENCIES, the financial reports necessary for traffic
and revenue reconciliation, including, without limitation, the following documented
reconciliation activities and data:
• Reconciliation of vehicle count to toll revenue
• Reconciliation of potential toll revenue to actual toll revenue collected and
recorded
Toll Revenue Allocations to the AGENCIES will be as specified in Attachment {2),
Revenue Allocations
A-2.16 Toll Adjustment Implementation
The CONTRACTOR shall produce a weekday peak and non-peak volumes report for
determining toll adjustments and review the toll adjustments for accuracy as requested
by the AGENCIES.
The CONTRACTOR shall implement toll schedule adjustments as directed by the
AGENCIES. The administrative work required to implement the adjustments shall be the
CONTRACTOR's responsibility. These responsibilities include making the appropriate
A23
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O C T A A g r e e m e n t N u m b e r : C - 3 - 1 5 2 9
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
c h a n g e s t o t h e b a c k o f f i c e / a c c o u n t m a n a g e m e n t s y s t e m , p o s t i n g n o t i c e s o f t h e t o l l
a d j u s t m e n t s o n t h e v a r i a b l e m e s s a g e s i g n s , s e n d i n g e - m a i l b l a s t s o f t h e n e w s l e t t e r s
a n d / o r b a n n e r a d s p r o v i d e d b y t h e A G E N C I E S t o t h e c u s t o m e r s , a n d c o o r d i n a t i n g w i t h
t h e A G E N C I E S t o p o s t u p d a t e s o n t h e 9 1 E x p r e s s L a n e s ' w e b s i t e .
A - 2 . 1 7 C o o r d i n a t i o n w i t h t h e A G E N C I E S
T h e C O N T R A C T O R s h a l l :
" P r e p a r e w e e k l y o p e r a t i n g r e s u l t s r e p o r t s
" M a i n t a i n c o m p u t e r n e t w o r k c o n n e c t i v i t y w i t h t h e A G E N C I E S , w i t h
t e c h n o l o g y a n d e q u i p m e n t p r o v i d e d b y t h e A G E N C I E S p r o v i d i n g s u c h
n e t w o r k c o n n e c t i v i t y i s a d e q u a t e . R e s p o n d t o a d h o c i n f o r m a t i o n r e q u e s t s
t h a t t h e A G E N C I E S m a y p r e s e n t
" A t t e n d a s c h e d u l e d w e e k l y o p e r a t i o n s m e e t i n g w i t h t h e A G E N C I E S
" A d v i s e t h e d e s i g n a t e d A G E N C I E S s t a f f i m m e d i a t e l y i n t h e e v e n t o f a n y
s i g n i f i c a n t i n c i d e n t o r c o n t a c t b y t h e p r e s s o r p u b l i c o f f i c i a l
" A l l o w t h e A G E N C I E S t o v i s i t a n d o b s e r v e o p e r a t i o n s a t a n y t i m e , w i t h o u t
p r i o r n o t i c e .
A - 2 . 1 8 M e e t i n g s , T o u r s , M e d i a B r i e f i n g s
T h e C O N T R A C T O R s h a l l a t t e n d a n d p a r t i c i p a t e i n a t e c h n i c a l s u p p o r t r o l e , a s r e q u e s t e d ,
b y t h e A G E N C I E S r e s p e c t i v e G e n e r a l M a n a g e r o f t h e 9 1 E x p r e s s L a n e s , o r o t h e r
p e r s o n n e l a s d e s i g n a t e d b y t h e A G E N C I E S a t :
" A G E N C Y B o a r d o f D i r e c t o r s M e e t i n g s a n d C o m m i t t e e M e e t i n g s
" S t a t e R o u t e 9 1 A d v i s o r y C o m m i t t e e M e e t i n g s
" I n t e r o p e r a b i l i t y I C a l i f o r n i a T o l l O p e r a t o r s C o m m i t t e e m e e t i n g s
" T o u r s f o r P u b l i c a n d P r i v a t e E n t e r p r i s e s a s r e q u e s t e d b y t h e A G E N C I E S
" M e d i a B r i e f i n g s
" A t t e n d o t h e r m e e t i n g s w i t h o r f o r t h e A G E N C I E S a s r e q u e s t e d .
A - 2 . 1 9 E x t e r n a l A g e n c i e s C o m p l i a n c e
T h e C O N T R A C T O R s h a l l a d m i n i s t e r d a y - t o - d a y c o m p l i a n c e o n b e h a l f o f O C T A w i t h 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 ( C a l t r a n s ) F r a n c h i s e A g r e e m e n t .
I n c l u d e d i n s u c h r e s p o n s i b i l i t i e s i s s u b m i t t i n g t h e a v e r a g e v e h i c l e o c c u p a n c y c o u n t s p e r
t h e C a l t r a n s F r a n c h i s e A g r e e m e n t , a s w e l l a s 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 M e m o r a n d u m o f U n d e r s t a n d i n g . I n a d d i t i o n , t h e C O N T R A C T O R s h a l l a s s i s t
O C T A i n p r e p a r i n g o t h e r r e p o r t s r e q u i r e d u n d e r t h e C a l t r a n s F r a n c h i s e A g r e e m e n t .
A 2 4
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHIBIT A
A-3 QUALITY CONTROL -DEVELOPMENT, ASSURANCE, REPORTING
A-3.1 Quality Control
The CONTRACTOR shall develop, implement, and maintain a Quality Control Policies and
Procedures that the CONTRACTOR shall utilize to maintain quality Work and to adhere
to the Agreement and performance criteria throughout the term of the Agreement. The
Quality Control Policies and Procedures shall cover all documentation, including without
limitation budgets and reports as required by this Agreement.
A-3.2 Disaster Recovery / Emergency Preparedness
The CONTRACTOR shall develop a Disaster Recovery / Business Resumption Plan to
maintain operations and Facilities in the event of disasters or emergencies, which shall
be coordinated with emergency plans of the AGENCIES. If approved and budgeted for
implementation by AGENCIES, CONTRACTOR shall implement and maintain the
approved plan.
The CONTRACTOR shall develop and maintain an incident response plan that includes
annual testing, assigned personnel available on a 24/7 basis to respond to critical
incidents and security breach response training for key personnel.
The CONTRACTOR shall maintain Toll operations at the AGENCIES' discretion during all
emergencies including fire, accident, and rescue operations, strike, civil disturbances,
natural disasters, and military contingency operations unless the personal safety of
CONTRACTOR personnel is at risk.
A-3.3 Safety
The CONTRACTOR shall coordinate with the AGENCIES' Safety personnel to develop and
maintain a Safety Policies and Procedures in accordance with all applicable federal, state
and local laws, codes and regulations, industry standards and manufacturer's
recommendations, and that all employees, Subcontractors and Vendors comply with the
Safety Plan. The CONTRACTOR shall conduct periodic inspections of all Facilities to
determine items needing repair and/or replacement, safety hazards, fire & accident
possibilities, security conditions, and other possible hazards in conjunction with each
AGENCY'S staff, and will immediately report any safety hazard to the respective
AGENCY.
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A-3.4 Security and Investigations
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHIBIT A
The CONTRACTOR shall maintain a Security and Investigations Policies and Procedures.
The CONTRACTOR shall provide full time security monitoring for all Express Lane
facilities including the safety and security of staff, physical structures and equipments.
The CONTRACTOR shall provide and maintain complete and strict security for all
operating funds, collected cash, checks, and credit card receipts from the point of
collection through transfer of funds to the AGENCIES' armored carrier services. The
CONTRACTOR shall advise each Agency of security issues as they are identified.
The CONTRACTOR shall be responsible for all combination changes of safes. All
combinations will be given to the AGENCIES in a sealed envelope for storage in the
AGENCIES' safe, and used only for emergency purposes. Re-keying of any lock will be
accomplished by a Work Request to the AGENCIES. Locks shall be re-keyed and
combinations changed as directed by the AGENCIES or when the CONTRACTOR has
reason to believe there may be a security issue. If re-keying is made necessary by the
acts of CONTRACTOR personnel, CONTRACTOR will pay for the cost of re-keying.
The CONTRACTOR shall develop, implement and maintain a security policy that
addresses all PCl/DSS requirements and operational security procedures including daily
review of all logs from servers, routers, firewalls, intrusion detection system, and
security appliances. In instances where CONTRACTOR's recommendations are n.ot
approved by the AGENCIES, the CONTRACTOR will implement best-effort compensating
controls.
The CONTRACTOR shall conduct and document investigations into incidents of theft,
fraud, and activities of a suspicious nature by its staff, Subcontractors, consultants or
agents. All reports of investigations shall be promptly forwarded to the AGENCIES for
review.
The CONTRACTOR shall cause its investigators to cooperate with AGENCIES'
representatives and all law enforcement personnel during any investigation.
A-3.5 Discrepancy Reporting
The CONTRACTOR shall be responsible for the timely reporting to the AGENCIES of any
discrepancies and/or unusual circumstances involving loss of revenue within the
CONTRACTOR's area of responsibility. The CONTRACTOR shall investigate and provide a
report to the AGENCIES. The discrepancy reports shall include estimates of revenue lost
due to such occurrences.
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A-3.6 Reporting and Documentation
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHIBIT A
All audits, including inventory audits, vault audits, etc., will be maintained in a shared
drive that can be accessed as needed. Daily, monthly and periodic audits will be
provided to the AGENCIES.
A-4 INFORMATION SYSTEMS TECHNOLOGY & TELECOMMUNICATIONS
The CONTRACTOR shall be responsible for providing and managing the work force to
effectively and competently operate and maintain the information technology, data,
and telecommunication assets provided to the CONTRACTOR by the AGENCIES as
required to support the 91 Express Lanes joint operations, management and
administration functions described within this Statement of Work. The CONTRACTOR
shall be capable and responsible for adapting to evolutions in the technology and
telecommunications assets. The CONTRACTOR is responsible for all training and
certifications required to effectively and competently operate and maintain such assets.
The CONTRACTOR shall further be responsible for strategic planning to meet future
needs. The CONTRACTOR shall include appropriate AGENCIES' representatives in the
planning process. The CONTRACTOR shall coordinate , with the AGENCIES in the
completion of the self-assessment questionnaire which will be one report signed by the
CONTRACTOR to be used by both AGENCIES and will provide other related
documentation in order to achieve PCl/DSS compliance for the 91 Express Lanes joint
operations.
A-4.lDescription of Information Technology Environment
With the exception of the Revenue and Account Management System (RAMS), the
Information Technology (IT) hardware and software assets that currently form the
computing and telecommunications environment are the property of the AGENCIES and
shall be part of the joint operation of the 91 Express Lanes to be managed, operated and
maintained by the CONTRACTOR.
The current operation is characterized as a predominantly Microsoft Windows
environment. Two Windows network domains exist. One services the back and front
office, while the second services the in-lane Electronic Toll and Traffic Management
(ETIM) System. The CONTRACTOR provides a back-office system in the Microsoft
Windows, or other appropriate environment, specifically designed for the 91 Express
Lanes, that is compatible with and integrates with the existing telephone and ITTM
systems. Such back-office system will be modified by CONTRACTOR to accommodate
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O C T A A g r e e m e n t N u m b e r : C - 3 - 1 5 2 9
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
b u s i n e s s r u l e o r o t h e r c h a n g e s n e c e s s a r y t o s u p p o r t t h e R i v e r s i d e 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 p e r a t i o n .
T h e e x i s t i n g i n f r a s t r u c t u r e s u p p o r t s a p r i m a r y d a t a c e n t e r i n t h e A n a h e i m l o c a t i o n , a
s e c o n d a r y c o m p u t i n g c e n t e r a t t h e C o r o n a C u s t o m e r S e r v i c e C e n t e r , a n d s m a l l c e n t e r s
l o c a t e d i n e a c h o f t h e t w o t o l l p l a z a b o o t h s o n t h e O r a n g e C o u n t y p o r t i o n o f t h e E x p r e s s
L a n e s . T h e e x i s t i n g i n f r a s t r u c t u r e w i l l b e m o d i f i e d t o i n c l u d e t w o t o l l p l a z a b o o t h s o 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 t h e E x p r e s s L a n e s a n d a t o l l e q u i p m e n t u t i l i t y b u i l d i n g
l o c a t e d o n t h e 1 - 1 5 r a m p s c o n n e c t i n g t o a n d f r o m t h e s o u t h b o u n d 1 - 1 5 .
W i d e a r e a n e t w o r k c o n n e c t i o n s i n c l u d e t h o s e t o t h e s i t e s o p e r a t e d u n d e r t h e s c o p e o f
t h e A g r e e m e n t a s w e l l a s c o n n e c t i o n s t o e a c h A G E N C Y ' S h e a d q u a r t e r 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 M o t o r V e h i c l e s , a n d t h e I n t e r n e t .
A - 4 . 2 M a j o r I n f o r m a t i o n S y s t e m s
A m o n g o t h e r s y s t e m s , t h e r e a r e t h r e e m a j o r s y s t e m s s u p p o r t i n g t h e 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 b y t h e C O N T R A C T O R . T h e C O N T R A C T O R s h a l l b e r e s p o n s i b l e f o r
o r c h e s t r a t i n g s u p p o r t f o r t h e s e s y s t e m s v i a i t s s t a f f a n d t h e r e s o u r c e s p r o v i d e d b y t h e
A G E N C I E S .
A - 4 . 2 . 1 B a c k O f f i c e / A c c o u n t M a n a g e m e n t S y s t e m
T h e C O N T R A C T O R s h a l l p r o v i d e t h e p r i m a r y b a c k - o f f i c e s y s t e m t h a t s u p p o r t s t h e
f o l l o w i n g c o r e f u n c t i o n s : C u s t o m e r S e r v i c e C e n t e r , V i o l a t i o n P r o c e s s i n g , A c c o u n t i n g ,
i n t e r o p e r a b i l i t y w i t h o t h e r a g e n c i e s i n a c c o r d a n c e w i t h R e v . G a n d A G E N C I E S p o l i c y ,
t r a n s a c t i o n i n t e r f a c e w i t h t h e I V R a n d W e b , a n d t r a n s a c t i o n i n t e r f a c e w i t h t h e i n - l a n e
t o l l i n g s y s t e m . T h e b a c k - o f f i c e s y s t e m w i l l i n t e r f a c e w i t h a v a r i e t y o f e x t e r n a l s y s t e m s
( r e a l - t i m e a n d b a t c h ) , a n d p r o v i d e r o b u s t s e c u r i t y ( i n c l u d i n g c o m p l i a n c e w i t h P C l / D S S
r e q u i r e m e n t s ) , r e p o r t i n g , a n d d a t a e x t r a c t c a p a b i l i t y . T h e s y s t e m w i l l b e o n a M i c r o s o f t
p l a t f o r m ( W i n d o w s 2 0 0 8 O S o r l a t e r , S Q L S e r v e r ) .
U s e r d o c u m e n t a t i o n ( U s e r G u i d e , C o n f i g u r a t i o n G u i d e , O p e r a t i o n s G u i d e , a n d t e c h n i c a l
a s - b u i l t d o c u m e n t a t i o n ) w i l l b e p r o v i d e d t o t h e A G E N C I E S . T h e b a c k - o f f i c e s y s t e m c o d e
w i l l b e p l a c e d i n e s c r o w i n a c c o r d a n c e w i t h w r i t t e n a g r e e m e n t s b e t w e e n t h e A G E N C I E S
a n d C O N T R A C T O R .
T h e C O N T R A C T O R w i l l m a i n t a i n a n d s u p p o r t t h e s o f t w a r e p u r s u a n t t o t h e S o f t w a r e
M a i n t e n a n c e A g r e e m e n t , a s s u c h a g r e e m e n t w i l l b e a m e n d e d t o i n c l u d e t h e
C O M M I S S I O N . J o i n t p a y m e n t f o r t h e f u l l a m o u n t d u e t o C O N T R A C T O R f o r s o f t w a r e
m a i n t e n a n c e s e r v i c e s t o b e p r o v i d e d u n d e r t h e S o f t w a r e M a i n t e n a n c e A g r e e m e n t , a s
s u c h a g r e e m e n t s h a l l b e a m e n d e d , i s i n c l u d e d i n t h e M o n t h l y L u m p S u m P r i c e b a s e d o n
A 2 8
OCT A Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHIBIT A
an estimated annual cost of $731,315 FY 2012/2013 dollars. The Parties acknowledge
that this estimate is subject to final agreement on the amendment to the Software
Maintenance Agreement, and may require an adjustment to the baselines established in
Article 7(K) for the Monthly Lump Sum Price, and/or to COMMISSION's separate
Statement of Work. In such case, the AGENCIES agree that OCTA's annual cost for the
Software Maintenance Agreement shall not exceed $371,315 FY 2012/2013 dollars. The
dollar figures specified in this paragraph are subject to escalation in accordance with
Article 7(F) of the Agreement.
Each AGENCY shall pay the annual license fee due under the Software License
Agreement, as such agreement shall be amended to include the COMMISSION, under
the respective AGENCY'S separate Statement of Work and in the amount set forth
therein. AGENCY requested changes to the back-office system will be subject to change
order provisions.
A-4.2.2 Electronic Toll and Traffic Management System -ETTM
The ETIM is comprised of the in-lane electronics, computer hardware, and computer
software platforms and custom applications responsible for capturing and constructing
transactions to be processed by the RAMS back-office system.
A-4.2.3 Traffic Operations Center -TOC
The TOC is comprised of the following sub-systems: Traffic Management System
Variable Message Signs (VMS), Video Surveillance System (VSS -video camera network),
and Vehicle Detection System (VOS -ground loop network).
A-4.3 AGENCIES' Provisions
The AGENCIES shall make provisions for annual maintenance agreements for IT,
Telecommunication and on-road cameras and other assets that will be at the disposal of
the AGENCIES and CONTRACTOR to facilitate systems' support, operation and
maintenance. These agreements are identified during the AGENCIES' annual budget
process for the 91 Express Lanes and executed annually. The CONTRACTOR shall work
with the AGENCIES to identify the terms of such agreements with the vendor. The
CONTRACTOR shall be identified as an agent of the AGENCIES, authorized to leverage
these agreements in operating the 91 Express Lanes.
A-4.3.1 ETTM System
Each AGENCY shall provide for a maintenance agreement with the firm that designed,
developed and deployed the ETIM system(s) and licenses its software to the AGENCIES.
The agreement shall provide on-site support for the system: 24x7x365 telephone
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OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHIBIT A
support; system documentation; on-site and remote technical and troubleshooting
support; system monitoring; and modification and enhancement work (with fixed
parameters).
A-4.3.2 Telecommunications System (Phone System, IVR, Voice Mail}
The AGENCIES shall provide for a maintenance agreement with the 91 Express Lanes
telecommunications system provider to supply hardware and software support for the
telecommunications system operated in the 91 Express Lanes operation. In its current
form, the AGENCIES and other third-party provide for extended 24x7x365 telephone
support; software and hardware support; on-site hardware repair; advanced parts
replacement; remote troubleshooting and emergency loaner service.
Any "800" telephone number, telephone numbers with a suffix of " 9191", or other
telephone numbers designated by the AGENCIES which are currently assigned to the
AGENCIES, shall be the exclusive property of the AGENCIES. At the termination of the
Agreement, such telephone numbers shall revert to the AGENCIES or transition to the
Successor Operator.
A-4.3.3 Video Surveillance System
Each AGENCY shall provide for a maintenance agreement with the firm(s) that
developed and implemented the video surveillance system. to provide on-site
troubleshooting and fault isolation of system failures for equipment located in the
Traffic Operations Center, in addition to software support services.
A-4.3.4 91 Express Lanes Web-Site
The CONTRACTOR shall be responsible for hosting the website as well as providing
support and coordination for content updates of the website with the AGENCIES. The
CONTRACTOR shall be responsible for the renewals of all domains registered under the
91 Express Lanes, in addition to the renewals of the secured access certification. The
CONTRACTOR shall be responsible for integrating the primary back-office system with
the 91 Express Lanes website.
A link will be provided to ensure RCTC toll facility customers may access the 91 Express
Lanes website. The CONTRACTOR shall be responsible for integrating relevant RCTC and
OCTA toll pricing and specific customer information into the 91 Express Lanes website.
A-4.3.5 Future Systems
The AGENCIES, as a practice, provide for annual software maintenance agreements with
the appropriate firms for new systems that are deployed during the Agreement terms.
A30
A-4.4 CONTRACTOR's Responsibilities
A-4.4.1 Server Computer Hardware
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHIBIT A
The CONTRACTOR shall negotiate server maintenance agreements that offer break, fix
and technical support on the AGENCIES' server assets used in the operation of the 91
Express Lanes joint facility. The CONTRACTOR shall be responsible for the renewal
process of the maintenance agreements. The CONTRACTOR shall have oversight over
and be responsible for monitoring vendor compliance with maintenance agreements.
AGENCIES shall have final approval over terms, conditions and price of such respective
agreements.
A-4.4.2 Back Office/Account Management System
The CONTRACTOR shall provide maintenance and license agreements for the primary
back-office software system. The agreements shall, at a minimum, provide for one on-
site, 100% full-time equivalent support for the system; plus 24x7x365 remote
monitoring for preventative and corrective maintenance. Additionally, the
CONTRACTOR shall provide telephone support; system documentation; on-site and
remote technical and troubleshooting support and modification and enhancement work
(within fixed parameters). The AGENCIES shall be responsible for the costs of such
maintenance and license agreements.
A-4.4.3 Camera System
The CONTRACTOR shall be responsible for the physical maintenance of the on-road
camera system including camera cleaning and parts replacement for the 91 Express
Lanes joint facility. The CONTRACTOR shall provide the initial response to troubleshoot
any camera or parts malfunction relating to the video surveillance system equipment
located outside the Traffic Operations Center.
A-4.4.4 Telecommunications
The CONTRACTOR shall also negotiate a contract with a report writing company to
develop telecommunications reports capable of monitoring system and operator
performance. The AGENCIES shall have final approval over terms, conditions and price
of the agreement.
The CONTRACTOR is also responsible for, but not limited to, the following functions.
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O C T A A g r e e m e n t N u m b e r : C - 3 - 1 5 2 9
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
A - 4 . 4 . 4 . 1 D a t a C e n t e r O p e r a t i o n s ( A n a h e i m , T O C , C S C a n d T o l l P l a z a )
" S y s t e m s M a n a g e m e n t
" B a c k u p a n d R e c o v e r y
" U P S a n d G e n e r a t o r M a n a g e m e n t
" H V A C M a n a g e m e n t
" F i r e S u p p r e s s i o n S y s t e m
A - 4 . 4 . 4 . 2 N e t w o r k O p e r a t i o n s
" C a b l e P l a n t
" N e t w o r k T r a f f i c M a n a g e m e n t
" S e c u r i t y - F i r e w a l l , V P N S e c u r i t y , P C l / D S S C o m p l i a n c e
" A n t i - V i r u s P r o t e c t i o n
A - 4 . 4 . 4 . 3 D i s a s t e r R e c o v e r y
" R e c o v e r y p l a n m a i n t e n a n c e
" A n n u a l p l a n t e s t i n g
A - 4 . 4 . 4 . 4 S y s t e m s A d m i n i s t r a t i o n
" S e r v e r A d m i n i s t r a t i o n
" D a t a b a s e A d m i n i s t r a t i o n
" O p e r a t i n g S y s t e m A d m i n i s t r a t i o n
" A p p l i c a t i o n A d m i n i s t r a t i o n ( B a c k - o f f i c e S o f t w a r e , T O C , e t c . )
" S o f t w a r e p a t c h m a n a g e m e n t
" S y s t e m s m o n i t o r i n g a n d l o g a d m i n i s t r a t i o n
" H o s t W e b - S i t e S e r v e r
A - 4 . 4 . 4 . 5 S e c u r i t y
" D a t a s e c u r i t y - c o n t r o l a c c e s s t o / t r a n s p o r t o f c u s t o m e r d a t a
" O f f - S i t e d a t a b a c k u p s t o r a g e
" D a t a c e n t e r a n d t e c h n o l o g y c l o s e t a c c e s s ( m a i n a n d s e c o n d a r y s i t e s )
" C o m p l i a n c e w i t h P C l / D S S a s a p p r o v e d b y t h e A G E N C I E S
A - 4 . 4 . 4 . 6 D o c u m e n t a t i o n
" M a j o r s y s t e m c h a n g e l o g s
T h e C O N T R A C T O R w i l l m a i n t a i n l o g s o f a l l c h a n g e s m a d e t o I T a s s e t s
p r o v i d e d b y t h e A G E N C I E S a n d o p e r a t e d a n d m a n a g e d b y t h e
A 3 2
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHIBIT A
CONTRACTOR. Audit trails for all critical systems shall be implemented
and audit logs reviewed daily.
• Server-side software revision and patch level history
The CONTRACTOR will maintain logs of all software and patch revision
levels on all server based software for those server assets provided by the
AGENCIES and operated and managed by the CONTRACTOR. Security
patches shall be tested and distributed.
• Operating procedures
The CONTRACTOR will maintain documentation for critical processing
functions, such as Interoperability File Exchange processes.
• Server configuration
The CONTRACTOR will maintain detailed server configuration
documentation for all server assets provided by the AGENCIES and
operated and managed by the CONTRACTOR including system access logs
and monitoring of PCl/DSS security.
A-4.4.4.7 Systems Analysis
• Ad-hoc reporting
• Data management and archival
A-4.4.4.8 Project Management
• Planning, budget and schedule control, and communication with each
AGENCY's liaison
A-4.4.4.9 Help Desk, End-User and Personal Computing Support
• Personal computer hardware and software support
• Peripheral support (printers, etc.)
• Support request tracking and fulfillment as approved by the AGENCIES
• Personal computer security, including anti-virus, patching, and data security
A-4.4.4.10 Redundancy and Fault Tolerance
The CONTRACTOR shall consider, propose, design for and implement redundancy and
fault tolerance in future system implementations that are deemed necessary as part of
the on-going joint operations of the 91 Express Lanes.
A-4.4.4.11 Interoperability File Exchange
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O C T A A g r e e m e n t N u m b e r : C - 3 - 1 5 2 9
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
T h e C O N T R A C T O R s h a l l p r o v i d e f o r t h e d a i l y e l e c t r o n i c f i l e t r a n s f e r o f t o l l t r a n s a c t i o n s
w i t h o t h e r i n t e r o p e r a b i l i t y a g e n c i e s i n a c c o r d a n c e w i t h t h e C T O C t e c h n i c a l
s p e c i f i c a t i o n s , o r o t h e r a g r e e d u p o n f o r m a t , f o r e l e c t r o n i c d a t a e x c h a n g e t r a n s f e r a s o f
t h e o p e n i n g d a t e o f t h e R C T C 9 1 E x p r e s s L a n e s .
A - 4 . 4 . 4 . 1 2 S t a t e m e n t P r e p a r a t i o n / O t h e r F i l e E x c h a n g e
T h e C O N T R A C T O R s h a l l g e n e r a t e e l e c t r o n i c f i l e s t o p r o d u c e a n d d i s t r i b u t e m o n t h l y a n d
q u a r t e r l y c u s t o m e r s t a t e m e n t s .
O n a w e e k l y b a s i s , t h e C O N T R A C T O R s h a l l g e n e r a t e a f i l e o f d e l i n q u e n t t o l l v i o l a t i o n s
a n d a f i l e o f n e g a t i v e b a l a n c e c u s t o m e r s t o b e s u b m i t t e d t o t h e C O N T R A C T O R ' s
c o l l e c t i o n s a g e n c y f o r c o l l e c t i o n s i n a c c o r d a n c e w i t h t h e A G E N C I E S ' p o l i c y .
A - 4 . 4 . 4 . 1 3 C o o r d i n a t i o n w i t h O p e r a t i o n s S o f t w a r e a n d H a r d w a r e V e n d o r s
T h e C O N T R A C T O R s h a l l c o o r d i n a t e w i t h t h e A G E N C I E S d e s i g n a t e d o p e r a t i o n s s o f t w a r e
a n d h a r d w a r e v e n d o r s i n c l u d i n g f i r m s t h a t p r o v i d e t h e :
" E T T M s y s t e m
" V i d e o S u r v e i l l a n c e s y s t e m
" V a r i a b l e M e s s a g e S i g n s
" T e l e c o m m u n i c a t i o n s s y s t e m s
A - 5 . A C C O U N T I N G A N D F I N A N C I A L R E P O R T I N G
E a c l i A G E N C Y ' S f i s c a l y e a r e n d s J u n e 3 0 f o r a c c o u n t i n g a n d f i n a n c i a l r e p o r t i n g p u r p o s e s .
W i t h i n s i x m o n t h s o f t h e c l o s e o f t h e f i s c a l y e a r , S t a t e l a w r e q u i r e s e a c h A G E N C Y t o
p u b l i s h a c o m p l e t e s e t o f a u d i t e d f i n a n c i a l s t a t e m e n t s p r e s e n t e d i n c o n f o r m i t y 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 ( G A A P ) . A s a p u b l i c s e c t o r e n t i t y , t h e
s t a t e m e n t s a r e p r e s e n t e d i n t h e f o r m o f a C o m p r e h e n s i v e A n n u a l F i n a n c i a l R e p o r t
( C A F R ) t h a t c o m p l i e s w i t h s t a t e m e n t s i s s u e d b y G o v e r n m e n t a l A c c o u n t i n g S t a n d a r d s
B o a r d ( G A S B ) . T h e a u d i t m u s t b e i n a c c o r d a n c e w i t h a u d i t i n g s t a n d a r d s g e n e r a l l y
a c c e p t e d i n t h e U n i t e d S t a t e s a n d t h e s t a n d a r d s a p p l i c a b l e t o f i n a n c i a l a u d i t s c o n t a i n e d
i n t h e G o v e r n m e n t A u d i t i n g S t a n d a r d s , i s s u e d b y t h e C o m p t r o l l e r G e n e r a l o f t h e U n i t e d
S t a t e s . F o r C A F R p u r p o s e s , t h e T o l l R o a d F u n d i s c l a s s i f i e d a s a " M a j o r E n t e r p r i s e F u n d "
a n d i s r e p o r t e d i n a s e p a r a t e c o l u m n i n t h e r e q u i r e d f i n a n c i a l s t a t e m e n t s p u r s u a n t t o
G A S B S t a t e m e n t 3 4 . A d d i t i o n a l l y , p e r t h e F r a n c h i s e A g r e e m e n t , O C T A i s r e q u i r e d t o
s u b m i t a s t a n d - a l o n e f i n a n c i a l s t a t 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 .
A 3 4
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHIBIT A
The AGENCIES will retain responsibility for preparing the CAFR and the stand-alone 91
Express Lanes financial statements.
As accountant for the 91 Express Lanes, the CONTRACTOR shall supply internal and
external auditors with information and schedules as requested and provide unlimited
access to internal and external auditors in order for them to conduct audits in
accordance with Governmental Auditing Standards.
The Toll Road Enterprise Fund is classified as a "Major" fund for purposes of GASS 34.
For the annual audit, the CONTRACTOR shall provide all information requested by
auditors that may be necessary to comply with the GASB 34 reporting requirements.
i.e.: Management Discussion and Analysis, Statements, Schedules Notes, Required
Supplementary Information, Schedules, and Statistical Information.
The CONTRACTOR's accounting function includes the following:
• Receive, process and submit to each AGENCY for payment, 91 Express Lanes
vendor invoices that are not covered by this Statement of Work and the
Contractors Expense Responsibilities Attachment (4).
• Generate and distribute billings related to interoperability agreements
• Monthly reconciliations
• Track and report all Fixed Assets
• Provide daily and monthly journal entries for each AGENCY in a format
determined by the AGENCY.
• Provide all information requested by internal and external auditors in
accordance with the audit schedule.
• Provide ad hoc information to management upon request
• Maintain internal controls at a level acceptable to the AGENCIES internal and
external auditors
A-5.1 Accounts Payable
The CONTRACTOR shall receive, process and submit vendor payments related to the 91
Express Lanes to the respective AGENCY for payment. The CONTRACTOR shall provide
all information to the AGENCIES necessary to file Forms 1099, to be in compliance with
IRS rules and regulations. It shall be the CONTRACTOR's responsibility to resolve vendor
and/or AGENCIES' questions/issues regarding vendor payments for the 91 Express
Lanes, as well as to provide documentation and analysis to support Form 1099
corrections that must be issued. The CONTRACTOR shall maintain documentation
supporting all journal entries provided to the AGENCIES.
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R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
T h e C O N T R A C T O R s h a l l u s e t h e R e v o l v i n g F u n d A c c o u n t f o r c u s t o m e r a n d v i o l a t o r
r e f u n d c h e c k s a s d e t e r m i n e d b y t h e A G E N C I E S ' p o l i c y o r B u s i n e s s R u l e s , ; a n d f o r p a t r o n s
w h o h a v e c l o s e d t h e i r a c c o u n t f o r r e a s o n s a s s p e c i f i e d a l s o i n t h e B u s i n e s s R u l e s .
A - 5 . 2 I n t e r o p e r a b i l i t y
T h e C O N T R A C T O R s h a l l g e n e r a t e a n d d i s t r i b u t e m o n t h l y i n t e r o p e r a b i l i t y i n v o i c e s b a s e d
o n t r a f f i c a n d r e v e n u e a c t i v i t y .
T h e C O N T R A C T O R s h a l l b e r e s p o n s i b l e f o r t h e w e e k l y n e t t i n g o f 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 ) I 9 1 E x p r e s s L a n e s i n t e r o p e r a b i l i t y t r a n s a c t i o n s a g a i n s t t r a f f i c a n d
r e v e n u e a c t i v i t y a n d p r o v i d e s u c h n e t t i n g s c h e d u l e s t o T C A a n d e a c h A G E N C Y i n a t i m e l y
m a n n e r . T C A / 9 1 E x p r e s s L a n e s n e t t i n g s c h e d u l e s w i l l d e l i n e a t e t h e r e q u i r e d t r a n s f e r o f
f u n d s b e t w e e n t h e T C A .
O t h e r a g e n c i e s t h a t a r e i n t e r o p e r a b l e w i t h t h e A G E N C I E S ' 9 1 E x p r e s s L a n e s w i l l h a v e a
s i m i l a r p r o c e s s i n s t i t u t e d .
A - 5 . 3 G e n e r a l l e d g e r
U s i n g e l e c t r o n i c i n t e r f a c e s o r e l e c t r o n i c f i l e s , t h e C O N T R A C T O R s h a l l s u b m i t j o u r n a l
e n t r i e s t o r e c o r d t h e r e v e n u e s , e x p e n s e s , d e p o s i t s , r e c o n c i l i a t i o n a d j u s t m e n t s , a n d
o t h e r m i s c e l l a n e o u s f i n a n c i a l t r a n s a c t i o n s w i t h i n t i m e s p e c i f i e d i n t h e P e r f o r m a n c e
S t a n d a r d s i n A t t a c h m e n t ( 1 ) . A l l j o u r n a l e n t r i e s m u s t b e a d e q u a t e l y d o c u m e n t e d i n
a c c o r d a n c e w i t h e a c h A G E N C Y ' S p o l i c y . A l l f o r m a t s o f i n t e r f a c e s a n d f i l e s m u s t b e p r e -
a p p r o v e d b y t h e r e s p e c t i v e A G E N C Y t o e n s u r e c o m p a t i b i l i t y w i t h I F A S a n d / o r E D E N . T h e
j o u r n a l e n t r i e s m u s t b e s u b m i t t e d u s i n g t h e r e s p e c t i v e I F A S a n d E D E N c h a r t o f a c c o u n t s .
T h e C O N T R A C T O R s h a l l b e r e s p o n s i b l e f o r t h e f o l l o w i n g :
" P r e p a r e m o n t h l y r e v e n u e a n d e x p e n d i t u r e a c c r u a l s / r e v e r s a l s f o r s o f t m o n t h -
e n d c l o s e s i n c o m p l i a n c e w i t h e a c h A G E N C Y ' S p o l i c y .
I t i s t h e C O N T R A C T O R ' S r e s p o n s i b i l i t y t o e n s u r e t h a t t h e p r e p a r a t i o n o f a l l f i n a n c i a l
t r a n s a c t i o n s f o r w h i c h t h e C O N T R A C T O R i s r e s p o n s i b l e a r e p r e p a r e d i n a c c o r d a n c e w i t h
A G E N C I E S ' p o l i c y .
A - 5 . 4 R e c o n c i l i a t i o n
T h e C O N T R A C T O R s h a l l p e r f o r m t h e f o l l o w i n g r e c o n c i l i a t i o n s :
" R e c o n c i l e d a i l y c a s h , c h e c k , c r e d i t c a r d b a n k d e p o s i t s t o t h e b a c k - o f f i c e
s y s t e m . T h e r e c o n c i l i a t i o n s h a l l b e p r o v i d e d o n a w e e k l y b a s i s .
A 3 6
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHIBIT A
• Reconcile credit card payments against credit card payments posted in
PayPal I VeriSign.
• Reconcile the following RAMS trial balance accounts to applicable subsidiary
ledgers or independent source documents on a monthly basis:
o Prepaid Tolls -Customer
o Deposit -Transponders
o Gift Certificates
The CONTRACTOR shall identify, investigate and resolve all reconciling items within 15
business days of month-end. The CONTRACTOR shall provide agencies with supporting
documentation for each of the above reconciliations. When adjustments are necessary,
CONTRACTOR will update the appropriate subsidiary ledger when applicable.
A-5.5 Fixed Assets
It is the AGENCIES policy to capitalize assets with a value greater or equal to $5,000 and
a useful life in excess of one year.
It shall be the CONTRACTOR's responsibility to track, update and report fixed assets in
compliance with AGENCIES' policies. Furthermore, the AGENCIES require that a biennial
fixed asset inventory be conducted as of April 30th in accordance with the audit
schedule. Upon AGENCIES request, the CONTRACTOR shall assist the Internal Audit and
Asset Management staff in conducting such audits.
A listing of all fixed assets, currently maintained in the AGENCIES fixed asset system, will
be provided to the vendor prior to the effective date of the contract.
A-5.6 Reporting Requirements
Reporting requirements that CONTRACTOR shall provide, are defined in Attachment (5)
and this Statement of Work.
A-6 OTHER
A-6.1 Photographers
• Schedule and guide photographers and other AGENCY Marketing
subcontractors or personnel with work on Express Lanes as directed by
AGENCIES
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A - 6 . 1 O t h e r D u t i e s a s R e q u e s t e d
O C T A A g r e e m e n t N u m b e r : C - 3 - 1 5 2 9
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
" A s s i s t A G E N C I E S i n g a t h e r i n g d a t a f o r m a r k e t i n g o r o t h e r p u r p o s e s
" R e v i e w c u s t o m e r e m a i l n e w s l e t t e r a n d o t h e r c u s t o m e r n o t i f i c a t i o n s a s
r e q u e s t e d
A 3 8
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00 •
EXHIBIT A
Area B
Customer Service, Violations Enforcement and
Processing
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B - 1 O V E R V I E W
O C T A A g r e e m e n t N u m b e r : C - 3 - 1 5 2 9
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
T h e C O N T R A C T O R s h a l l s t a f f a n d o p e r a t e 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 S e r v i c e C e n t e r
a n d P r o c e s s i n g C e n t e r , r e f e r r e d c o l l e c t i v e l y a s " C S C " t o p r o v i d e t h e f u n c t i o n s d e s c r i b e
u n d e r t h i s S e c t i o n ( A r e a B - C u s t o m e r S e r v i c e / V i o l a t i o n s E n f o r c e m e n t I P r o c e s s i n g ) ,
w h i c h a r e s u p p o r t e d b y t h e c u r r e n t s y s t e m s . T h e r u l e s c o v e r i n g t h e c u s t o m e r s e r v i c e
c e n t e r a r e o u t l i n e i n t h e B u s i n e s s R u l e s .
B - 1 . 1 A d m i n i s t r a t i o n
T h e C O N T R A C T O R 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 d m i n i s t r 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 9 1 E x p r e s s l a n e s C u s t o m e r S e r v i c e C e n t e r a c t i v i t i e s l o c a t e d i n C o r o n a
a n d A n a h e i m , o r f u t u r e s i t e s , a s i n d i c a t e d i n t h e f o l l o w i n g s e c t i o n s . T h e C O N T R A C T O R
s h a l l h a v e i n t i m a t e k n o w l e d g e o f t h e r e g u l a t i o n s a n d l a w s r e l a t i v e t o t h e p r o j e c t . T h e
C O N T R A C T O R ' s s t a f f s h a l l s e r v e t h e p u b l i c a n d t h e b e s t i n t e r e s t s o f t h e A G E N C I E S a n d
s h a l l n o t e n g a g e i n a n y o t h e r b u s i n e s s a c t i v i t i e s w h i l e a c t i n g i n t h i s c a p a c i t y . T h e
C O N T R A C T O R s h a l l p r o v i d e a s i n g l e p o i n t o f c o n t a c t t o t h e A G E N C I E S f o r a l l m a t t e r s
r e l a t e d t o t h e C O N T R A C T O R ' s p e r f o r m a n c e .
T h e C o r o n a C u s t o m e r S e r v i c e C e n t e r p r o v i d e s a p o i n t o f a c c e s s f o r 9 1 E x p r e s s l a n e s
c u s t o m e r s a n d t h e g e n e r a l p u b l i c . T h e C o r o n a C u s t o m e r S e r v i c e C e n t e r s h a l l b e o p e n t o
t h e p u b l i c t o p r o v i d e w a l k i n , m a i l i n , I n t e r n e t , f a x - i n a n d c a l l - i n s e r v i c e s s u c h a s a c c o u n t
e s t a b l i s h m e n t , a c c o u n t r e p l e n i s h m e n t , a n d a c c o u n t m a n a g e m e n t .
T h e C O N T R A C T O R s h a l l s u b m i t w e e k l y a n d m o n t h l y r e p o r t s p e r t a i n i n g t o o n g o i n g
s t a t u s , p e r f o r m a n c e m a n a g e m e n t , d e v i a t i o n s a n d e x c e p t i o n s a n d o t h e r m a n a g e m e n t
r e p o r t i n g a s r e q u e s t e d b y t h e A G E N C I E S .
T h e A G E N C I E S s h a l l h a v e t h e r i g h t t o i n s p e c t t h e f a c i l i t i e s a t a n y t i m e a n d r e q u i r e t h e
C O N T R A C T O R t o c o r r e c t a n y c o n d i t i o n t h a t , i n t h e o p i n i o n o f t h e A G E N C I E S , i s n o t i n
k e e p i n g w i t h t h e A G E N C I E S ' p u b l i c i m a g e .
B - 1 . 2 L o c a t i o n s
F o l l o w i n g a r e t h e l o c a t i o n s o f t h e c u r r e n t C S C f a c i l i t i e s :
C u s t o m e r S e r v i c e C e n t e r
2 2 7 5 S a m p s o n S t r e e t , S u i t e 1 0 0
C o r o n a , C A
V i o l a t i o n s E n f o r c e m e n t / P r o c e s s i n g C e n t e r
1 8 0 N . R i v e r v i e w D r i v e , S u i t e 2 0 0
A n a h e i m , C A
A 4 0
OCTA Store (Operated by OCTA)
550 S. Main Street
Orange, CA
8-1.3 Hours of Operation
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHl81TA
The Customer Service Centers currently operate under the following schedule:
Corona Customer Service Center
Phone: 8 A.M. to 5 P.M., Monday through Friday
Walk Up: 9 A.M. to 6 P.M., Monday through Friday
Violations I Processing Center
8 A.M. to 5 P.M., Monday through Friday
The Corona Customer Service Center shall be opened daily, Monday through Friday,
except for holidays. The CONTRACTOR agrees both the Anaheim and Corona offices will
observe the same holiday schedule as OCTA. As soon as available but at any rate not
later than December 31, OCTA will provide the CONTRACTOR with the approved holiday
schedule for the subsequent calendar year.
8-1.4 Ownership of Systems and Data
The existing CSC systems, including all hardware, telephone, software and all data, are
owned or licensed by the AGENCIES. The CONTRACTOR shall provide and license the
back office/account management software to the AGENCIES. Use of software is
governed by contractual agreements with software providers. The system will be
modified separately to accommodate the Riverside County portion of the 91 Express
lanes in accordance with the requirements of this Statement of Work.
All policies and procedures as well as all CSC operations forms, utility programs,
documents, correspondence and Standard Operating Procedures (SOP) developed by
the CONTRACTOR for the Agreement are considered Work Products and as such, shall
be delivered to and become the property of the AGENCIES. The CONTRACTOR will
ensure that the AGENCIES have access to the Policies and Procedures.
The AGENCIES shall provide the operational equipment to be used for CSC operations
throughout the term of the Agreement. The CONTRACTOR shall be responsible for
furnishing general office supplies and incidentals, as well as customer
correspondence/letterhead and operations materials to efficiently manage and perform
all tasks and activities associated with the Agreement. Upon completion of the Project,
all documents pertaining to the 91 Express lanes shall be turned over to the AGENCIES.
The AGENCIES shall own all data (e.g. customer information, transactions, etc.) acquired
during the operation of the CSC. This data is to be provided to the AGENCIES upon
A41
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O C T A A g r e e m e n t N u m b e r : C - 3 - 1 5 2 9
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
r e q u e s t a n d w i t h i n f i v e b u s i n e s s d a y s , i n a f o r m a t a n d o n a m e d i a , s t i p u l a t e d b y t h e
A G E N C I E S . I n a d d i t i o n , t h e A G E N C I E S s h a l l b e p r o v i d e d w i t h f u l l a c c e s s t o a n y f u n c t i o n
o f t h e C S C s y s t e m a t a l l t i m e s . I t i s u n d e r s t o o d t h a t a c c e s s m a y b e r e s t r i c t e d t o a l l u s e r s
d u r i n g b a c k u p , r e s t o r e o r c e r t a i n s y s t e m a d m i n i s t r a t i o n f u n c t i o n s .
T h e A G E N C I E S o w n t h e e q u i p m e n t a n d h a r d w a r e a t t h e C S C . T h i s e q u i p m e n t a n d
h a r d w a r e w i l l b e m a d e a v a i l a b l e t o t h e C O N T R A C T O R f o r u s e i n o p e r a t i n g t h e C S C s . T h e
C O N T R A C T O R i s r e s p o n s i b l e f o r p r o p e r u s e o f t h e e q u i p m e n t . T h e C O N T R A C T O R i s
o b l i g a t e d t o m e e t a l l o f t h e A g r e e m e n t p r o v i s i o n s i n c l u d i n g t h e p e r f o r m a n c e
m e a s u r e m e n t r e q u i r e m e n t s , w h i l e u s i n g t h i s e q u i p m e n t . T h e C O N T R A C T O R m a y
r e c o m m e n d u p g r a d e s o r r e p l a c e m e n t o f e q u i p m e n t f o r t h e C S C o p e r a t i o n s , w i t h t h e
p u r c h a s e s u b j e c t t o t h e a p p r o v a l b y t h e A G E N C I E S .
B - 1 . 5 D o c u m e n t C o n t r o l
T h e C O N T R A C T O R s h a l l c o n t r o l a n d k e e p c u r r e n t a l l m a n u a l s a n d d o c u m e n t s r e l a t e d t o
t h o s e a r e a s o f C S C o p e r a t i o n s u n d e r t h e i r c o n t r o l . U p o n r e q u e s t , t h e C O N T R A C T O R
s h a l l p r o v i d e u p d a t e d s o f t c o p y a n d h a r d c o p y v e r s i o n s t o t h e A G E N C I E S .
B - 1 . 6 C u s t o m e r I n f o r m a t i o n
T h e p r o t e c t i o n o f c u s t o m e r p r i v a c y s h a l l b e t h e r e s p o n s i b i l i t y o f t h e C O N T R A C T O R .
C u s t o m e r d a t a s h a l l b e s e c u r e d a n d p r o t e c t e d i n a c c o r d a n c e w i t h P C l / D S S r e q u i r e m e n t s
a s a p p r o v e d b y t h e A G E N C I E S . T h e C O N T R A C T O R s h a l l n o t r e l e a s e c u s t o m e r
i n f o r m a t i o n t o a n y o n e o t h e r t h a n t h e A G E N C I E S , a n d s h a l l r e f e r a n y r e q u e s t s , i n q u i r i e s ,
s u b p o e n a s , e t c . t o t h e A G E N C I E S . H o w e v e r , t h e A G E N C I E S m a y r e q u e s t t h e
C O N T R A C T O R c o m p i l e d a t a f o r s u b p o e n a s o r o t h e r d a t a a s r e q u e s t e d .
T h e C O N T R A C T O R s h a l l e s t a b l i s h r e a s o n a b l e m e t h o d s t o v e r i f y t h e i d e n t i t y o f c u s t o m e r s
p r i o r t o r e l e a s e o f i n f o r m a t i o n . C u s t o m e r S e r v i c e R e p r e s e n t a t i v e s ( C S R s ) m u s t h a v e a l l
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 i m m e d i a t e l y a c c e s s i b l e t o d i s c u s s s u c h i s s u e s a s
v i o l a t i o n s , d i s p u t e d t o l l s , a c c o u n t i n f o r m a t i o n i n q u i r e s a n d r e l a t e d i s s u e s . U s i n g t h e
s y s t e m f u n c t i o n s , t h e C S C w i l l m a i n t a i n a l o g o f a l l c u s t o m e r i n q u i r i e s , c o m p l a i n t s , a n d
r e l a t e d a c c o u n t m a n a g e m e n t a c t i v i t y f o r e a c h a c c o u n t .
T h e A G E N C I E S s h a l l o w n a n d h a v e f u l l a c c e s s t o a l l d a t a a n d i n f o r m a t i o n c o l l e c t e d b y o r
p r o d u c e d d u r i n g t h e o p e r a t i o n o f t h e C S C .
B - 1 . 7 P u b l i c C o m m u n i c a t i o n s
T h e C O N T R A C T O R s h a l l a n s w e r a l l i n q u i r i e s f r o m t h e g e n e r a l p u b l i c p r o v i d e d t h e s u b j e c t
i s c o n s i s t e n t w i t h g e n e r a l i n f o r m a t i o n 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 a n d t h e o p e r a t i o n
o f t h e C S C a s i t r e l a t e s t o c u s t o m e r s a n d p a t r o n s , a s a u t h o r i z e d b y e a c h A G E N C Y ' S
G e n e r a l M a n a g e r o f t h e 9 1 E x p r e s s L a n e s , o r a s o t h e r w i s e d e s i g n a t e d b y t h e A G E N C I E S .
A 4 2
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHIBIT A
All other inquiries and communications will be the responsibility of the AGENCIES. This
includes inquiries from or communications with the media, government agents and
individuals that are representing organizations other than businesses interested in or
using Electronic Toll Collection (ETC). The CONTRACTOR shall inform the AGENCIES of
inquiries from these entities and direct any inquiries from them to the AGENCIES.
The CSC may occasionally be required to communicate information to customers or
others on behalf of and as directed by the AGENCIES. This communication may be via
direct mailing, statement inserts, statement messages or Integrated Voice Response
System, (IVR). The CONTRACTOR will be required, at its own expense, to communicate
to customers or the general public any information related to issues or problems caused
by the CONTRACTOR that affect users of the system. All promotions and
announcements made by the CONTRACTOR shall be subject to advance approval of the
AGENCIES.
B-2 STAFFING
8-2.1 Required Key Personnel
The AGENCIES require the following full-time customer service center and processing
employees to be dedicated to the project in a full time capacity:
• A Customer Service Center and Processing Manager -responsible for
operations of the Customer Service Center and Anaheim Processing functions
including customer correspondence, violation processing, judgment
processing, management of collection contract and efforts, mail room,
customer email and administrative reviews and hearings.
• A Customer Service Center Manager -responsible for managing all the
Customer Service activities including developing training, and developing and
implementing performance requirements and incentive programs for the CSC
representatives, assisting customers resolving special problems and/or
complaints, and monitors CSC representatives training and performance,
provides floor supervision at CSC.
• A Processing Manager -responsible for managing all the Processing
activities. This position needs a full understanding of the California Vehicle
Code as it relates to toll road violations and Department of Motor Vehicle
registration "hold" process, etc
B-2.1 Staffing Requirements
The CONTRACTOR shall be responsible for all staffing requirements necessary to support
the full operation of the CSC. Staffing levels shall be adequate to process each day's
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R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
a p p l i c a t i o n s , t r a n s a c t i o n s , v i o l a t i o n i m a g e s ( a s r e q u i r e d ) , i n - c o m i n g / o u t - g o i n g m a i l ,
a c c o u n t r e p l e n i s h m e n t a n d o t h e r d a i l y r e q u i r e m e n t s w i t h i n a s p e c i f i e d t i m e p e r i o d .
F o r t h e C o r o n a C u s t o m e r S e r v i c e C e n t e r t h e C O N T R A C T O R s h a l l m o n i t o r a n d p r o v i d e
s t a f f i n g b a s e d o n a c t u a l v o l u m e s a n d l e v e l o f s e r v i c e r e q u i r e m e n t s . T h e s t a f f i n g p l a n
s h a l l i d e n t i f y a l l r e q u i r e d p o s i t i o n s , b o t h t e m p o r a r y a n d p e r m a n e n t . A l l s t a f f m e m b e r s
m u s t b e a b l e t o c o m m u n i c a t e c l e a r l y i n t h e E n g l i s h l a n g u a g e , a n d b e a U . S . c i t i z e n o r
p o s s e s s a n A l i e n R e g i s t r a t i o n C a r d . T h e C O N T R A C T O 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 w a g e s
a n d p a y r o l l e x p e n s e s a s s o c i a t e d w i t h s t a f f i n g t h e C S C . A d d i t i o n a l f u n c t i o n s a d d e d b y
A G E N C I E S n o t s p e c i f i c a l l y l i s t e d i n t h i s S t a t e m e n t o f W o r k t h a t r e s u l t i n a d d i t i o n a l
C O N T R A C T O R S s t a f f i n g c o s t s s h a l l b e s u b j e c t t o p r o v i s i o n s o f C h a n g e O r d e r s a s s p e c i f i e d
i n S e c t i o n 1 - 5 .
T h e C S C s s h a l l b e s t a f f e d t o m e e t t h e r e q u i r e m e n t s d e s c r i b e d h e r e i n a n d t o m e e t t h e
p e r f o r m a n c e r e q u i r e m e n t s f o r a l l a c t i v i t i 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 :
" T r a n s a c t i o n s
" A c c o u n t s
" P h o n e c a l l s
" S e n t m a i l
" R e c e i v e d m a i l
" A p p l i c a t i o n s
" S t a t e m e n t s
" N o t i c e s
" V i o l a t i o n s
" T r a n s p o n d e r A c t i v i t i e s
" F i n a n c i a l A c t i v i t i e s
" C u s t o m e r C o m m e n t s
T h e C O N T R A C T O R s h a l l o p e r a t e t h e C u s t o m e r S e r v i c e C e n t e r s i n s u c h a m a n n e r a s t o
p r o v i d e c u s t o m e r s e r v i c e t h a t m e e t s o r e x c e e d s p e r f o r m a n c e r e q u i r e m e n t s a n d
s t a n d a r d s . T h e C O N T R A C T O R s t a f f w i l l b e e q u i p p e d w i t h t e r m i n a l s , c a s h d r a w e r s ,
r e c e i p t p r i n t e r s , a n d a n y o t h e r e q u i p m e n t n e c e s s a r y t o f a c i l i t a t e e f f i c i e n t p r o c e s s i n g o f
c u s t o m e r a c c o u n t s i n t h e c e n t e r s .
B - 3 C U S T O M E R S E R V I C E C E N T E R R E Q U I R E M E N T / R E S P O N S I B I L I T I E S
B - 3 . 1 D a i l y F u n c t i o n a l R e q u i r e m e n t s I R e s p o n s i b i l i t i e s
O p e r a t i o n o f t h e C S C w i l l r e q u i r e t h e C O N T R A C T O R t o p e r f o r m d a i l y a n d o t h e r p e r i o d i c
t a s k s t o e n s u r e t h a t a l l f u n c t i o n s a r e p e r f o r m e d c o r r e c t l y . T h e d a i l y a n d p e r i o d i c
A 4 4
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHIBIT A
activities for the 91 Express Lanes service centers to be provided by the CONTRACTOR
include, but are not limited to the activities listed below.
• Receipt, distribution and processing of incoming mail
• Account openings, changes and closings
• Payment and replenishment processing
• Customer and Violation communications
• Dispute processing and resolution
• CSR reconciliation of daily transactions
• Customer comments
• General account maintenance
• Transponder fulfillment
• Banking activity
• Generation and analysis of performance reports
The CONTRACTOR shall be responsible for overseeing revenue collection and
management for all Toll collection via transponders, license plate reads or other
approved methods in accordance with the AGENCIES policies as of the Agreement
effective-date. The CONTRACTOR shall develop, implement, and maintain effective
Policies and Procedures and controls for handling of funds, and clear definition of
duties and responsibilities for those involved in the handling and transfer of money.
Such procedures and controls shall be subject to review and approval by the AGENCIES.
The CONTRACTOR shall effectively monitor and enforce the established and approved
controls.
B-3.2 Account Management
In order to use the FasTrak™ system, customers must establish an account. This may be
done in person, via fax, via website, via telephone, or by mailing in an application.
Applications are available at the CSC's, via mail from the CSCs or Processing, and on line
via the Internet. Account openings may be processed at the CSCs or at .Processing.
Customers may open and replenish accounts by cash, check or credit card. If a credit
card is used, the account is replenished automatically. Otherwise, accounts must be
replenished by mail, telephone, IVR, Internet or in person. Automatic replenishment
will occur when the account balance reaches a minimum amount (threshold). The
replenishment amount is periodically and automatically recalculated based on average
usage per month. Cash or check customers are responsible for replenishing their
accounts to prevent violations. The CONTRACTOR notifies these customers, by mail
and/or by voice mail broadcast, when the account is in need of replenishment.
All customer accounts, private and commercial, shall be pre-paid accounts and
automatic credit card replenishment shall be encouraged. Customers who do not
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R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
m a i n t a i n a p o s i t i v e a c c o u n t b a l a n c e s h a l l b e s u b j e c t t o a d m i n i s t r a t i v e a n d / o r v i o l a t i o n
p e n a l t i e s i f t h e i r t r a n s p o n d e r o r v e h i c l e i s u s e d o n t h e 9 1 E x p r e s s L a n e s . A c c o u n t
p r o c e s s i n g s h a l l i n c o r p o r a t e a d e g r e e o f f l e x i b i l i t y s u c h t h a t c u s t o m e r s a r e n o t
p e n a l i z e d f o r d e l a y s i n c r e d i t s a n d d e b i t s b e y o n d t h e i r c o n t r o l .
T h e C O N T R A C T O R s h a l l p r o c e s s :
" C h a n g e s i n a d d r e s s , p h o n e n u m b e r , v e h i c l e a s s i g n m e n t s , p a y m e n t m e t h o d ,
r e p l e n i s h m e n t a m o u n t , t r a n s p o n d e r n u m b e r s , p a s s w o r d a n d o t h e r n o n -
f i n a n c i a l i n f o r m a t i o n .
" R e q u e s t s f o r a d d i t i o n a l t a g s , a c t i v a t i o n o f t a g s , r e t u r n e d t a g s , l o s t o r s t o l e n
t a g s , r e p l a c e m e n t t a g s , a n d a s s o c i a t e d a d j u s t m e n t s t o t h e t a g d e p o s i t
a c c o u n t b a l a n c e .
" D e b i t s a n d c r e d i t s f r o m t h e p r e p a i d t o l l a c c o u n t b a l a n c e s d u e t o p a y m e n t s ,
t r a n s a c t i o n s , f e e s , a n d a d j u s t m e n t s .
" M a n u a l a d j u s t m e n t s i n a c c o u n t b a l a n c e , d e p o s i t a m o u n t , a n d o t h e r f i n a n c i a l
i n f o r m a t i o n r e l a t e d t o t h e a c c o u n t .
" S u s p e n s i o n , r e i n s t a t e m e n t o r r e v o c a t i o n o f a c c o u n t s .
" C u s t o m e r n o t i c e s - T h e C O N T R A C T O R s h a l l b e r e q u i r e d t o s e n d v a r i o u s
n o t i c e s t o a c c o u n t h o l d e r s a s p a r t o f n o r m a l a c c o u n t m a i n t e n a n c e . T h e
C O N T R A C T O R s h a l l p r e p a r e a n d m a i l t h e s e n o t i c e s . I n g e n e r a l , t h e c u s t o m e r
s h a l l b e n o t i f i e d i n w r i t i n g o f a l l c h a n g e s i n a c c o u n t s t a t u s o r r e p l e n i s h m e n t
l e v e l s . C u s t o m e r n o t i c e s i n c l u d e , b u t a r e n o t n e c e s s a r i l y l i m i t e d t o , t h e
f o l l o w i n g :
o V i o l a t i o n n o t i c e s
o A c c o u n t l o w b a l a n c e t h r e s h o l d ( c a s h a c c o u n t s )
o P e n d i n g c r e d i t c a r d e x p i r a t i o n
o C r e d i t c a r d d e c l i n e d n o t i c e
o A c c o u n t n e g a t i v e b a l a n c e
o A c c o u n t f i n a l n o t i c e o r c l o s u r e
o C u s t o m e r c o m m e n t s / c o m p l a i n t s
o N S F N o t i c e s
o A c c o u n t n o t i c e o f p a y b y p l a t e f e e s
B - 3 . 2 . 1 T e r m s a n d C o n d i t i o n s
T h e t e r m s a n d c o n d i t i o n s f o r 9 1 E x p r e s s L a n e s a c c o u n t e s t a b l i s h m e n t a n d o w n e r s h i p
m a y b e f o u n d o n t h e 9 1 E x p r e s s L a n e s a p p l i c a t i o n .
B - 3 . 2 . 2 A c c o u n t T y p e s
T h e C u s t o m e r S e r v i c e C e n t e r c u r r e n t l y s u p p o r t s t h e f o l l o w i n g a c c o u n t t y p e s :
A 4 6
Account Type
Express Club
Standard
Convenience
Special Access
Non-Revenue
Method of Payment
Credit Card
Cash, Check, Credit Card
Cash, Check, Credit Card
Cash, Check, Credit Card
None
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHIBIT A
The CONTRACTOR shall implement changes to account types as requested by the
AGENCIES.
B-3.2.3Account Establishment
The CSCs shall support the establishment of accounts via walk-in, mail-in, Internet,
telephone and fax-in applications. Accounts opened with a credit card (except for one-
time credit card charges) will be automatically replenished. Customers use a four-digit
· pin number, via the Interactive Voice Response {IVR) automated phone system, for
future account changes or requests for information. A deposit for each transponder will
be required for accounts opened with cash. Please reference Section B-8 for
transponder management functional responsibilities. The AGENCIES will be responsible
for producing and distributing applications in their current form or in a revised form
approved by AGENCIES.
Customers may:
• Request an application for program participation in person, or via mail, e-
mail, phone, or fax
• Submit an application for program participation in person; via mail, email or
fax
• Select a payment of cash, check, or credit card;
• Replenish their accounts at any time using any method of payment;
• Inquire of their account balance by contacting the CSC, via Internet, or IVR
automated phone system
B-3.2.4 Welcome Kits
The materials sent or given to a customer when an account is established is referred to
as a "Welcome Kit". All Welcome Kits shall include a tag and the following materials:
• Guidebook (FAQ's)
• Copy of the Agreement
• Contact Information Card
• Tag Mounting Instructions
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O C T A A g r e e m e n t N u m b e r : C - 3 - 1 5 2 9
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
T h e A G E N C I E S a r e r e s p o n s i b l e f o r s u p p l y i n g t h e C O N T R A C T O R w i t h t h e g u i d e b o o k
( F A Q ' s ) f o r i n c l u s i o n i n t h e W e l c o m e K i t s . A l l o t h e r m a t e r i a l 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 : b u b b l e e n v e l o p e s , p a p e r , l a b e l s , V e l c r o s t r i p s , e t c . w i l l b e s u p p l i e d b y C O N T R A C T O R .
B - 3 . 2 . 5 A c c o u n t A c c e s s / U p d a t e
P e r i o d i c a l l y , 9 1 E x p r e s s L a n e s a c c o u n t r e c o r d s r e q u i r e u p d a t i n g o f s u c h d a t a a s
r e p l e n i s h m e n t a m o u n t s , v e h i c l e i n f o r m a t i o n , a n d t a g i n f o r m a t i o n . I t i s t h e r e s p o n s i b i l i t y
o f t h e C O N T R A C T O R t o r e q u e s t u p d a t e s f r o m c u s t o m e r s w h e n i t b e c o m e s a p p a r e n t t h a t
t h e c u s t o m e r i n f o r m a t i o n i s n o t c u r r e n t . I n a d d i t i o n , i t i s t h e r e s p o n s i b i l i t y o f t h e
C O N T R A C T O R t o i n p u t t h e s e a n d o t h e r a c c o u n t c h a n g e s i n t o t h e C S C s y s t e m i n a t i m e l y
m a n n e r . C S R ' s a r e r e q u i r e d t o e n t e r n o t e s i n t o t h e s y s t e m t h a t r e l a t e t o c h a n g e s o r
u p d a t e s t o a c c o u n t i n f o r m a t i o n .
B - 3 . 2 . 6 A c c o u n t F i n a n c i a l R e q u i r e m e n t s
B - 3 . 2 . 6 . 1 P a y m e n t s
I t i s t h e C O N T R A C T O R ' s r e s p o n s i b i l i t y t o a c c u r a t e l y t r a c k i n c o m i n g p a y m e n t s a n d a p p l y
p a y m e n t s c o r r e c t l y t o 9 1 E x p r e s s L a n e s a c c o u n t s . A l l i n c o m i n g p a y m e n t s b y m a i l a r e
b a t c h e d t o g e t h e r a s t h e y a r r i v e a n d t h e s e b a t c h e s a r e t r a c k e d t o e n s u r e t h a t a l l
p a y m e n t s a r e p r o c e s s e d . T y p i c a l l y , p a y m e n t s a r e b a t c h e d i n t o c a t e g o r i e s s u c h a s :
" N e w A p p l i c a t i o n s - C r e d i t C a r d
" N e w A p p l i c a t i o n s - C a s h / C h e c k
" A c c o u n t R e p l e n i s h m e n t s - C r e d i t C a r d
" A c c o u n t R e p l e n i s h m e n t s - C a s h / C h e c k
" U n i d e n t i f i e d P a y m e n t s
" V i o l a t i o n s - C r e d i t C a r d , C a s h , C h e c k
T h e C S R p r o c e s s e s e a c h p a y m e n t b a s e d u p o n i t s u n i q u e r e q u i r e m e n t s . P a y m e n t s a r e
e n t e r e d o n e a t a t i m e a g a i n s t t h e s p e c i f i c a c c o u n t o r v i o l a t i o n n o t i c e . E l e c t r o n i c f i l e s a r e
r e q u i r e d o f a l l i n c o m i n g c h e c k s . I t i s t h e C S R ' s r e s p o n s i b i l i t y t o e n s u r e t h a t p a t r o n
p a y m e n t m a t e r i a l s a r e p r o p e r l y f i l l e d o u t . F o r e x a m p l e , c h e c k s m u s t b e c o m p l e t e l y a n d
a c c u r a t e l y f i l l e d o u t a n d c h e c k s w i t h i n c o m p l e t e i n f o r m a t i o n t h a t w o u l d p r e v e n t t h e
c h e c k f r o m b e i n g p r o c e s s e d b y t h e b a n k m u s t b e m a i l e d b a c k t o t h e p a t r o n .
T h e f r o n t - c o u n t e r C S R s h a n d l e w a l k - i n p a y m e n t s . U n l i k e t h e b a c k - o f f i c e , t h e f r o n t
c o u n t e r p a y m e n t s a r e r e c e i v e d d i r e c t l y f r o m c u s t o m e r s i n t h e f o r m o f c a s h , c h e c k , a n d
c r e d i t c a r d a n d a r e e n t e r e d d i r e c t l y i n t o t h e s y s t e m . R e c e i p t s m u s t b e p r o v i d e d t o t h e
c u s t o m e r f o r e a c h p a y m e n t t r a n s a c t i o n .
A d j u s t m e n t s a n d r e v e r s a l s a r e s o m e t i m e s i n a d v e r t e n t l y a p p l i e d t o t h e w r o n g a c c o u n t
a n d i t i s t h e r e s p o n s i b i l i t y o f t h e C O N T R A C T O R t o m a k e a n a d j u s t m e n t , a n d p o s s i b l y a
A 4 8
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHIBIT A
reversal, in order to correct a patron's 91 Express Lanes account. An example of a
payment reversal might be that the bank returned a check due to insufficient funds. For
such a case, the patron would be notified, the payment reversed out of the account, and
an additional insufficient funds fee be charged to the account. The CONTRACTOR is
responsible for entering this and other payment adjustments or reversals into the
system.
B-3.2.6.2 Replenishment
Processing of account replenishments is a fundamental function of the Customer Service
Center. The CONTRACTOR shall ensure that all replenishments are processed promptly
and correctly. It is imperative that customers are not charged or billed incorrectly. ETC
accounts are replenished in accordance with the terms and conditions of the AGENCIES.
Automatic (credit card) replenishments and walk-in/mail-in replenishments shall be
processed and applied under the specified Performance Standards in Attachment (1).
The CONTRACTOR shall ensure that account replenishments are processed correctly and
in a timely manner.
B-3.2.6.3 Refunds
Occasionally, the CONTRACTOR must refund money to a patron because an account is
closed with a positive remaining balance, because a credit card overcharged, or for
other reasons listed in section B 3.2.6.7 Account Closure. The CONTRACTOR Accounting
Department's personnel shall issue refund checks via a revolving fund account and enter
those amounts into the back office system. The check stub will indicate the reason for
refund. The AGENCIES will define the refund amount limit that the CONTRACTOR may
approve. Periodically as agreed by the AGENCIES, the CONTRACTOR will prepare journal
entries for each AGENCY for amounts refunded and other information necessary for
proper recording into each AGENCY'S accounting system.
B-3.2.6.4 User Fees
When required, the CONTRACTOR shall enter user fees as specified in Attachment (3)
into the system.
The user fee may be amended as designated by the AGENCIES.
B-3.2.6.5 Customer Statements
On a quarterly basis, the CONTRACTOR shall issue customers a 91 Express Lanes account
statement that specifies beginning and ending account balances, detailed ETC toll
transactional information, and/or other transaction details. 91 Express Lanes account
statements are issued monthly to Express Club members, and quarterly to all other
account members. The CONTRACTOR is responsible for ensuring that statements are
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d i s t r i b u t e d i n a t i m e l y m a n n e r a n d t h a t e a c h s t a t e m e n t c o r r e c t l y r e f l e c t s t h e p a t r o n ' s
E T C t o l l t r a n s a c t i o n s .
T h e s y s t e m i s c u r r e n t l y p r o g r a m m e d t o g e n e r a t e q u a r t e r l y c u s t o m e r s t a t e m e n t s i n
e l e c t r o n i c f i l e f o r m a t f o r F T P t r a n s f e r t o a n o u t s i d e m a i l h o u s e . T h e C O N T R A C T O R i s
r e q u i r e d t o s p o t c h e c k s t a t e m e n t s , t o e n s u r e t h a t a l l s t a t e m e n t s w e r e g e n e r a t e d , a n d t o
p e r i o d i c a l l y v i s i t t h e m a i l h o u s e . C u s t o m e r s m a y r e q u e s t a n e - s t a t e m e n t i n l i e u o f a
m a i l e d s t a t e m e n t . T h e C O N T R A C T O R i s r e s p o n s i b l e f o r g e n e r a t i n g a n d m a i l i n g t h e s e
s p e c i a l l y r e q u e s t e d s t a t e m e n t s . T h e p a t r o n m a y b e c h a r g e d a u s e r f e e f o r a l l s p e c i a l l y
g e n e r a t e d m a i l e d s t a t e m e n t s . T h e A G E N C I E S s h a l l s p e c i f y f e e l e v e l w h i c h m a y , f r o m
t i m e t o t i m e , b e c h a n g e d . T h e f r e q u e n c y o f a c c o u n t s t a t e m e n t d i s t r i b u t i o n a n d t h e
m e t h o d o f s e n d i n g t h e s t a t e m e n t s a r e p r e s e n t e d i n t h e B u s i n e s s R u l e s . C h a n g e s t o t h e
f r e q u e n c y a n d / o r m e t h o d c o u l d r e s u l t i n a d d i t i o n a l a s s o c i a t e d c o s t s r e l a t e d t o R A M S
c h a n g e s a n d a d m i n i s t r a t i o n c o s t s .
B - 3 . 2 . 6 . 6 A c c o u n t D e a c t i v a t i o n
A 9 1 E x p r e s s L a n e s a c c o u n t m a y b e d e a c t i v a t e d ( o r t e m p o r a r i l y c l o s e d ) d u e t o a
n e g a t i v e b a l a n c e . W h e n a n a c c o u n t i s d e a c t i v a t e d , a l l t a g s a s s o c i a t e d w i t h t h a t a c c o u n t
a r e c h a n g e d t o a t a g s t a t u s o f " i n v a l i d " a n d v e h i c l e s w i t h t h e s e t a g s a r e s u b j e c t t o a
v i o l a t i o n i f t h e y p a s s t h r o u g h a d e d i c a t e d E T C t o l l l a n e . M u c h o f t h i s p r o c e s s i s
a u t o m a t i c , b u t t h e C O N T R A C T O R i s r e q u i r e d t o m o n i t o r a c c o u n t s t h a t b e c o m e
s u s p e n d e d a n d i n i t i a t e c o r r e s p o n d e n c e w i t h p a t r o n s i n a n a t t e m p t t o o b t a i n
r e p l e n i s h m e n t p a y m e n t s v i a c a s h , c h e c k o r b y u p d a t e d c r e d i t c a r d i n f o r m a t i o n .
B - 3 . 2 . 6 . 7 A c c o u n t C l o s u r e
A c c o u n t s m a y b e p e r m a n e n t l y c l o s e d b y :
" T h e r e q u e s t o f t h e a c c o u n t h o l d e r .
" T h e a c c o u n t b a l a n c e r e m a i n i n g n e g a t i v e f o r a p r e d e t e r m i n e d p e r i o d o f t i m e .
I n g e n e r a l , w h e n a n a c c o u n t i s c l o s e d i t i s p l a c e d i n " p e n d i n g c l o s e d " s t a t u s f o r a p e r i o d
o f t i m e t o e n s u r e t h a t E T C t r a n s a c t i o n s f r o m o t h e r f a c i l i t i e s h a v e b e e n p r o c e s s e d a n d
p o s t e d . I t i s t h e r e s p o n s i b i l i t y o f t h e C O N T R A C T O R t o a t t e m p t t o r e c o v e r t a g s o r t a g
d e p o s i t s , t o c o l l e c t t o l l t r a n s a c t i o n a m o u n t s d u e , a n d t o s u b m i t p a y m e n t r e q u e s t s t o
i s s u e r e f u n d s , a s t h e c a s e m a y b e .
B - 3 . 2 . 6 . 8 A c c o u n t M o n i t o r i n g
T h e C O N T R A C T O R s h a l l m o n i t o r a l l 9 1 E x p r e s s L a n e s a c c o u n t s f o r u n u s u a l o r
u n d e s i r a b l e a c t i v i t y , r e p o r t t h e s e a c c o u n t s t o t h e A G E N C I E S a n d t a k e a c t i o n t o r e m e d y
t h e s i t u a t i o n . T h i s i n c l u d e s :
A S O
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHIBIT A
• Sending written, email notices, and/or voicemail broadcasts to holders of
negative and inactive accounts of account status and the intent to collect and
close.
• Sending written and/or email notices to holders of accounts with frequent
plate-based transactions with the intent to minimize such transactions.
• Establishing a process for converting a negative customer account into an
accounts receivable for collection purposes and write-off, as needed.
B-3.2.6.9 Account Records/History
It is the CONTRACTOR's responsibility to ensure that all CSR entries and activities are
properly documented within the system where applicable.
8.4 REVENUE MANAGEMENT/ REVENUE COLLECTION
The CONTRACTOR shall process all cash, check, and credit card payments received in the
mail or at walk-in service centers on the day received, if possible, but in no case later
than the following business day. The CONTRACTOR shall manage the processing of
automatic credit card debiting for account replenishment on a daily basis. Credit card
funds are processed through PayPal to a merchant clearing house bank, , and then
transferred directly to the AGENCIES' custodial account. Credit card transactions are
also processed for one time only replenishments and for account openings.
Payment processing includes:
• Account opening pre-paid tolls
• Account opening tag deposit
• Account pre-paid toll replenishments
• Cash/check
• Violation Payments
• Account Payments
• Adjustments
• Refunds
• NSF
• Write-off
B-4.1 Money Handling, Counting and Storage
The CONTRACTOR shall be responsible for the proper collection, counting, handling,
storage, transferring to the AGENCIES armored car service, and verification of the
disposition of all collected funds. This includes cash payments, payments by credit card,
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c h e c k , o r o t h e r s o u r c e s a s s o c i a t e d w i t h 9 1 E x p r e s s L a n e s a c c o u n t s a n d c o l l e c t i o n s f r o m
v i o l a t i o n s a n d / o r f i n e s . T h e C O N T R A C T O R s h a l l e n s u r e t h a t a l l f u n d s a r e p r o p e r l y
h a n d l e d a n d s t o r e d i n a v a u l t p r i o r t o t r a n s f e r t o t h e A G E N C I E S a r m o r e d c a r s e r v i c e . T h e
C O N T R A C T O R s h a l l p r e p a r e t h e d a i l y d e p o s i t s f o r a r m o r e d p i c k u p a n d s h a l l e n s u r e t h a t
a l l c a s h a n d c h e c k r e m i t t a n c e s a r e k e p t i n t a c t w i t h t h e d e p o s i t s l i p . D a i l y d e p o s i t
r e c o r d s f o r b a n k d e p o s i t s h a l l b e d i s t i n g u i s h e d b y :
" T y p e ( C a s h I C r e d i t C a r d I C h e c k )
" L o c a t i o n
" P a y m e n t T y p e ( T o l l s , V i o l a t i o n s , F e e s , D e p o s i t s , e t c . , )
F u n d s s h a l l b e t r a n s f e r r e d b y a r m o r e d c a r s e r v i c e t o t h e b a n k d e s i g n a t e d b y t h e
A G E N C I E S a n d d e p o s i t e d i n t o t h e c u s t o d i a l a c c o u n t e s t a b l i s h e d b y t h e A G E N C I E S .
C o n t r o l s s h o u l d b e e s t a b l i s h e d o v e r a l l c a s h a n d c h e c k s r e c e i v e d a t a l l t i m e s .
B - 4 . 1 . l A r m o r e d C a r S e r v i c e
T h e A G E N C I E S w i l l c o n t r a c t w i t h a n a r m o r e d c a r s e r v i c e t o t r a n s f e r f u n d s f r o m t h e
a d m � 1 n i s t r a t i v e o f f i c e s i n A n a h e i m a n d t h e c u s t o m e r s e r v i c e c e n t e r i n C o r o n a t o t h e b a n k
s e l e c t e d b y t h e A G E N C I E S .
B - 4 . 2 C r e d i t C a r d P r o c e s s i n g
T h e C O N T R A C T O R s h a l l e n s u r e t h a t a l l d a i l y c r e d i t c a r d p r o c e s s i n g ( e . g . r e p l e n i s h m e n t s )
a r e c o m p l e t e d a s s c h e d u l e d . I t s h a l l b e t h e r e s p o n s i b i l i t y o f t h e C O N T R A C T O R t o n o t i f y
c u s t o m e r s w h o r e p l e n i s h v i a c r e d i t c a r d s o f p e n d i n g e x p i r a t i o n a n d c r e d i t c a r d c h a r g e s
d e c l i n e d a s s p e c i f i e d i n t h e o p e r a t o r d o c u m e n t s .
8 - 5 C U S T O M E R C O M M U N I C A T I O N S
A l l a s p e c t s o f m a n a g i n g c u s t o m e r i n q u i r i e s , c o m p l a i n t s , a n d d i s c r e p a n c i e s s h a l l b e
c o n d u c t e d b y t h e C O N T R A C T O R . C u s t o m e r s m a y w i s h t o c o m m u n i c a t e w i t h t h e C S C b y
v a r i o u s m e a n s s u c h a s w a l k i n g i n t o t h e s e r v i c e c e n t e r , p h o n i n g , f a x i n g , m a i l i n g , o r
c o n t a c t i n g b y e - m a i l . D u r i n g c u s t o m e r i n t e r a c t i o n , i t i s t h e C O N T R A C T O R ' s r e s p o n s i b i l i t y .
t o r e c o r d h i s t o r i c a l a c c o u n t i n f o r m a t i o n i n t o t h e s y s t e m w h e r e a p p l i c a b l e a n d t o
g e n e r a t e a n d d i s t r i b u t e v a r i o u s f o r m s o f c u s t o m e r c o r r e s p o n d e n c e .
T h e C O N T R A C T O R w i l l t r a c k a l l c u s t o m e r c o m m e n t s a n d c o m p l a i n t s r e g a r d i n g t h e 9 1
E x p r e s s L a n e s . T h e c a p a b i l i t y o f p r o v i d i n g a d h o c r e p o r t s o n c u s t o m e r c o m m e n t s a n d
c o m p l a i n t s w i l l a l s o b e a v a i l a b l e a n d w i l l b e p r o v i d e d a s r e q u e s t e d b y t h e A G E N C I E S .
A 5 2
B-5.1 Customer Walk-ins
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHIBIT A
As a full-service Customer Service Center, the CONTRACTOR must be prepared to staff
the front counter of the customer walk-in center in order to accommodate customer
walk-ins during normal business hours. All facets of account maintenance must be
performed at the front counter. That is, the CONTRACTOR must be able to handle new
91 Express Lanes applications, account closures, violations inquiries, customer
payments, tag testing, ad hoc statement generation, account inquiries, etc.
B-5.2 Call Center and Voice Response System
The AGENCIES' service center includes hardware and software for processing incoming
customer calls. The phone system includes an Interactive Voice Response System (IVR)
that routes calls via menu selections. The system enables customers to review their
account balances, payments, and tolls at any time, 24 hours per day 7 days per week. To
do so, the IVR system interacts with the CONTRACTORS back-office software to retrieve
customer requested information. The system also provides messages containing
general information. During hours of operation, callers have the option to transfer to a
Customer Service Representative if the caller chooses.
The CONTRACTOR is responsible for working with a report writing company and/or the
telephone provider to develop reports designed to provide the following:
• Total number of calls taken by the system.
• Total number of calls accepted by the CSR's.
• Average time to answer.
• Total number of calls that exceed a specified hold time(s).
• Total number of abandoned calls.
The preceding items may be amended due to the availability of the information or
system capability. The AGENCIES will work with the CONTRACTOR in establishing any
call center measures.
The CONTRACTOR shall have staff in place during the operating hours specified above in
order to handle inbound callers who wish to transfer out of the IVR and speak to CSC
personnel. In addition, the CONTRACTOR will be expected to work with AGENCIES and
the telephone provider to periodically edit call center recordings to inform callers of
special situations such as holiday closings.
Changes to IVR scripts, messages, menu options, hours of operation, and so forth are
necessary from time to time. These changes are administrative in nature and the
CONTRACTOR is expected to work with the telephone provider and the AGENCIES to
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e f f e c t c h a n g e s . C h a n g e s r e q u i r i n g s o f t w a r e m a i n t e n a n c e a r e t h e r e s p o n s i b i l i t y o f t h e
A G E N C I E S .
B - 5 . 3 V o i c e B r o a d c a s t
T h e C O N T R A C T O R s h a l l g e n e r a t e e l e c t r o n i c f i l e s t o s e n d t o a f i r m i n o r d e r t o p r o v i d e
n o t i f i c a t i o n t o c u s t o m e r s f o r i m p e n d i n g a c c o u n t s u s p e n s i o n o r c l o s u r e s v i a a u t o m a t e d
t e l e p h o n e c a l l t o t h e t e l e p h o n e n u m b e r , i f a n y , a s p r o v i d e d b y t h e a c c o u n t h o l d e r .
B - 6 M A I L P R O C E S S I N G
T h e 9 1 E x p r e s s L a n e s V i o l a t i o n s / P r o c e s s i n g f a c i l i t y i n c l u d e s a m a i l r o o m e q u i p p e d w i t h
a m a i l p r i n t e r , f o l d i n g , a n d p o s t a g e e q u i p m e n t . I t i s t h e C O N T R A C T O R ' s r e s p o n s i b i l i t y t o
d i s t r i b u t e a l l m a i l f r o m t h e f a c i l i t y . C u r r e n t l y , t h e r e i s a c o n t r a c t w i t h a m a i l h o u s e t o
d i s t r i b u t e c u s t o m e r s ' s t a t e m e n t s . T h e b a c k o f f i c e / a c c o u n t m a n a g e m e n t s y s t e m o u t p u t s
m a i l f o r v i o l a t i o n n o t i c e s , c r e d i t c a r d e x p i r a t i o n l e t t e r s , a n d a c c o u n t r e p l e n i s h m e n t
l e t t e r s .
T h e C O N T R A C T O R s h a l l e s t a b l i s h a n d m a n a g e s t a f f o p e r a t i o n s t o h a n d l e a l l m a i l
p r o c e s s i n g , i n c l u d i n g p r o c e s s i n g c u s t o m e r a p p l i c a t i o n s , u p d a t e s t o c u s t o m e r a c c o u n t s .
T h e C O N T R A C T O R s h a l l b e r e s p o n s i b l e f o r h a n d l i n g a n d t r a c k i n g a l l i n c o m i n g a n d
o u t g o i n g c o r r e s p o n d e n c e a n d s h a l l e s t a b l i s h p r o c e d u r e s t o p r o v i d e t i m e l y , c a r e f u l a n d
e f f i c i e n t h a n d l i n g o f a l l i n c o m i n g a n d o u t g o i n g m a i l .
B - 6 . 1 I n c o m i n g M a i l
O n a d a i l y b a s i s , t h e P r o c e s s i n g f a c i l i t y r e c e i v e s d i f f e r e n t t y p e s o f m a i l ( i n c l u d i n g
i n t e r o f f i c e m a i l , f a x e s a n d e - m a i l s ) f r o m p a t r o n s , a s w e l l a s v i o l a t o r s . T h e C O N T R A C T O R
s h a l l d a t e s t a m p , l o g , a n d b a t c h a l l i n c o m i n g m a i l f o r p r o c e s s i n g . T h e i n c o m i n g m a i l c a n
b e b r o a d l y c a t e g o r i z e d i n t o t h e f o l l o w i n g :
" A p p l i c a t i o n f o r m t o o p e n a n e w 9 1 E x p r e s s l a n e s a c c o u n t
" A c c o u n t r e p l e n i s h m e n t
" R e q u e s t f o r n e w t a g s
" V i o l a t i o n p a y m e n t
" V i o l a t i o n d i s p u t e s
" A d m i n i s t r a t i v e H e a r i n g / R e v i e w d o c u m e n t s
" R e q u e s t f o r a c c o u n t c l o s u r e
" T a g r e t u r n s
" A c c o u n t i n f o r m a t i o n u p d a t e
" R e t u r n e d m a i l
A 5 4
" G e n e r a l a d m i n i s t r a t i v e m a i l
O C T A A g r e e m e n t N u m b e r : C - 3 - 1 5 2 9
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
A s i g n i f i c a n t v o l u m e o f i n c o m i n g m a i l t o b e p r o c e s s e d b y t h e C O N T R A C T O R w i l l b e
c u s t o m e r p a y m e n t s a n d v i o l a t i o n p a y m e n t s a n d c o r r e s p o n d e n c e . A d d i t i o n a l i n c o m i n g m a i l
w i l l i n c l u d e c u s t o m e r a p p l i c a t i o n s , c u s t o m e r c o m p l a i n t s a n d d i s c r e p a n c i e s , g e n e r a l p u b l i c
i n q u i r i e s , a n d r e q u e s t s f o r a c c o u n t i n f o r m a t i o n o r a c c o u n t c l o s u r e s , a n d t a g r e t u r n s ( e i t h e r
l o s t t a g s d r o p p e d i n m a i l b o x e s o r , l a t e r i n t h e A g r e e m e n t t e r m , t a g s r e t u r n e d f o r
r e p l a c e m e n t a s t h e y a p p r o a c h t h e e n d o f t h e i r e x p e c t e d b a t t e r y l i f e ) . A l l i n c o m i n g m a i l
b a t c h e s s h a l l b e b a t c h e d b y t y p e a n d d i s t r i b u t e d t o t h e P r o c e s s i n g s t a f f f o r e n t r y i n t o t h e
s y s t e m .
T h e C O N T R A C T O R s h a l l e s t a b l i s h p r o c e d u r e s t o p r o v i d e c a r e f u l a n d e f f i c i e n t h a n d l i n g o f a l l
i n c o m i n g m a i l , i n c l u d i n g p r o c e d u r e s f o r t r a c k i n g c u s t o m e r c o r r e s p o n d e n c e . T h e
C O N T R A C T O R s h a l l p r o v i d e a n a p p r o p r i a t e r e s p o n s e t o c u s t o m e r i n q u i r i e s r e c e i v e d b y m a i l
w i t h i n t w o b u s i n e s s d a y s f r o m t h e t i m e t h e i n q u i r y w a s r e c e i v e d . I t i s t h e r e s p o n s i b i l i t y o f
t h e P r o c e s s i n g s t a f f t o v e r i f y t h a t c h e c k s a r e s i g n e d a n d c o m p l e t e d p r o p e r l y a n d c r e d i t
c a r d n u m b e r s a n d s i g n a t u r e s a r e c o m p l e t e d p r o p e r l y . A l l c h e c k s r e c e i v e d s h a l l b e
r e s t r i c t i v e l y e n d o r s e d u p o n r e c e i p t . I n a c c o r d a n c e w i t h P C I D S S r e q u i r e m e n t s , a l l c r e d i t
c a r d i n f o r m a t i o n s h a l l b e d e s t r o y e d a f t e r b e i n g p r o c e s s e d i n t o t h e s y s t e m .
B - 6 . 2 S c a n n i n g
T h e s c a n n i n g o p e r a t i o n p r o v i d e s t h e a b i l i t y f o r i n c o m i n g a n d o u t g o i n g v i o l a t i o n
c o r r e s p o n d e n c e a n d / o r c u s t o m e r m a i l d o c u m e n t s t o b e s c a n n e d a n d a r c h i v e d f o r a
p e r i o d a s p e r t h e A G E N C I E S r e q u i r e m e n t s . T h e s c a n n e d d o c u m e n t s a r e e l e c t r o n i c a l l y
a t t a c h e d t o t h e v i o l a t o r I D r e c o r d o r c u s t o m e r a c c o u n t . T h i s w i l l p r o v i d e r e p r e s e n t a t i v e s
i m m e d i a t e a c c e s s t o v i e w a n d / o r p r i n t t h e v i o l a t o r o r c u s t o m e r d o c u m e n t a t i o n v i a t h e i r
d e s k t o p c o m p u t e r . A l l o u t g o i n g v i o l a t i o n - r e l a t e d n o t i c e s o r o t h e r v i o l a t i o n - r e l a t e d
c u s t o m e r c o r r e s p o n d e n c e s h a l l b e c o n v e r t e d t o a v i o l a t o r I D o r c u s t o m e r a c c o u n t . A l l
d o c u m e n t s , e i t h e r r e c e i v e d o r s e n t , r e l a t i n g t o v i o l a t i o n s s h a l l b e k e p t f o r a m i n i m u m o f
f i v e y e a r s f r o m t h e d a t e o f g e n e r a t i o n . F o r a c t i v e v i o l a t i o n f i l e s a n d t h o s e t h a t g o t o
j u d g m e n t , d o c u m e n t s s h a l l b e m a i n t a i n e d f o r a p e r i o d o f f i v e y e a r s f r o m t h e d a t e o f
r e s o l u t i o n o f t h e v i o l a t i o n .
B - 6 . 3 W o r k f l o w P r o c e s s
A l l i n c o m i n g v i o l a t i o n a n d c u s t o m e r m a i l w i l l b e o p e n e d , s o r t e d , s t a m p e d a n d c o u n t e d
b y t h e m a i l r o o m r e p r e s e n t a t i v e . T h e m a i l w i l l t h e n b e d i s t r i b u t e d t o t h e a p p r o p r i a t e
p r o c e s s i n g r e p r e s e n t a t i v e f o r p r o c e s s i n g a n d / o r r e s p o n s e . A t t h e e n d o f e a c h d a y , t h e
p r o c e s s i n g r e p r e s e n t a t i v e s w i l l b u n d l e , b y l i k e t r a n s a c t i o n s , a l l w o r k c o m p l e t e d f o r t h a t
d a y a n d s t a m p a c o m p l e t i o n d a t e o n t h e t o p o f t h e p a p e r w o r k t h a t r e q u i r e s s c a n n i n g .
T h e p r o c e s s i n g r e p r e s e n t a t i v e w i l l t h e n t a k e t h e c o m p l e t e d p a p e r w o r k t o t h e s c a n n i n g
A 5 5
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O C T A A g r e e m e n t N u m b e r : C - 3 - 1 5 2 9
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
r e p r e s e n t a t i v e ' s a r e a . I f a n i t e m i s n o t o n t h e l i s t t o b e s c a n n e d i t w i l l b e p l a c e d i n t h e
r e c y c l e b i n .
T h e C S C w i l l f o r w a r d a l l c u s t o m e r a c c o u n t r e l a t e d i t e m s t h a t r e q u i r e s c a n n i n g t o t h e
s c a n n i n g r e p r e s e n t a t i v e , v i a i n t e r o f f i c e , a m i n i m u m o f t w i c e a w e e k .
D o c u m e n t s t o b e S c a n n e d a n d A r c h i v e d :
V i o l a t i o n R e l a t e d D o c u m e n t s
" C o n t e s t e d ( s u p p o r t i n g d o c u m e n t s )
" A f f i d a v i t s ( s u p p o r t i n g d o c u m e n t s )
" T C A ( P o t e n t i a l l y s u p p o r t i n g d o c u m e n t s )
" C u s t o m e r V i o l a t i o n
" I n c o m i n g l e t t e r s a n d r e s p o n s e
C u s t o m e r A c c o u n t R e l a t e d D o c u m e n t s
" A p p l i c a t i o n s
" W r i t t e n a c c o u n t c a n c e l l a t i o n r e q u e s t s
" W r i t t e n c u s t o m e r c o m p l a i n t s a n d r e s p o n s e
A d d i t i o n a l C u s t o m e r a n d / o r V i o l a t i o n R e l a t e d D o c u m e n t s
" D e a t h / M a r r i a g e C e r t i f i c a t e s
" J u d g m e n t C a s e D o c u m e n t s
A d m i n i s t r a t i v e H e a r i n g / R e v i e w D o c u m e n t s
T h e a b o v e l i s t m a y b e a m e n d e d a s r e q u i r e d b y t h e A G E N C I E S . A n y a m e n d m e n t s t h a t
i n c r e a s e v o l u m e o f c o r r e s p o n d e n c e t o b e p r i n t e d a n d m a i l e d o r s c a n n e d f o r r e t r i e v a l
s h a l l b e s u b j e c t t o n e g o t i a t i o n a n d p o t e n t i a l i n c r e a s e i n C O N T R A C T O R c o m p e n s a t i o n i n
a c c o r d a n c e w i t h C h a n g e O r d e r s a s s p e c i f i e d i n S e c t i o n 1 - 5 .
B - 6 . 4 O u t g o i n g M a i l
T h e C S C s y s t e m i s c a p a b l e o f p r o d u c i n g s e v e r a l f o r m s o f c u s t o m e r c o m m u n i c a t i o n
m a t e r i a l s i n t h e f o r m o f l e t t e r s , n o t i c e s , a n d g e n e r a l c o r r e s p o n d e n c e . T h e C O N T R A C T O R
s h a l l g e n e r a t e a n d d i s t r i b u t e t h i s m a t e r i a l t o c u s t o m e r s o n a c a s e - b y - c a s e b a s i s , w h e n
a p p r o p r i a t e . I n s o m e c a s e s , ( f o r e x a m p l e v i o l a t i o n n o t i c e s ) , t h e s y s t e m a u t o m a t i c a l l y
g e n e r a t e s t h i s m a t e r i a l . l i s t e d b e l o w i s a d e l i n e a t i o n o f t h e c u s t o m e r m a t e r i a l a v a i l a b l e
f r o m e a c h s y s t e m ( i n s o m e c a s e s t h e s y s t e m h a s t h e c a p a b i l i t y t o p r o d u c e t h e
c o r r e s p o n d e n c e i d e n t i f i e d , b u t t h e c a p a b i l i t y i s n o t c u r r e n t l y i n u s e ) . T h e l i s t s p r o v i d e d
m a y n o t b e e x h a u s t i v e , b u t s h o u l d p r o v i d e t h e C O N T R A C T O R w i t h a n u n d e r s t a n d i n g o f
A 5 6
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHIBIT A
the expectations and scope required to adequately communicate with customers.
Samples of materials listed can be found in the AGENCIES' system documentation.
• Notice of Toll Evasion Violation
• Notice of Delinquent Toll Evasion Violation
• Protected Plates HOV3+ Violation
• Affidavit of Non-Liability/Contested Notice of Toll Evasion
• Results of Contested Violations
• Notice of Incomplete Affidavit of Non-Liability
• Interoperability Agencies Customer Notification
• Partial Paid Violation Notification
• Low Balance Notification -Cash
• Negative Balance Notification -Cash
• Negative Balance Final Notification --Cash
• Negative Balance -Credit Card Notification
• Negative Balance Final Notification -Credit Card Final Notification (this is the
Final notification listed above)Credit Card Notification -Non-Sufficient Funds
• Credit Card Notifications -Expiring Cards
• Credit Card Notifications -Expired Cards
• Pay-by-Plate
• Pay-by-Plate Read Fee Notices
• Forgot PIN
• Forgot/Temporary Password
• Dismissed Violation -General
• Notice of Administrative Hearing
• Results of Administrative Hearing
• Response to Request of Reduction/Waiver Denial
The above list may be amended as required by the AGENCIES. Any amendments that
increase volume of correspondence to be printed and mailed or scanned for retrieval
shall be subject to negotiation and potential increase in CONTRACTOR compensation in
accordance with Change Orders as specified in Section 1-5.
B-7 VIOLATIONS ENFORCEMENT/ PROCESSING/ COLLECTIONS
B-7.1 Overview
The CONTRACTOR will be responsible for performing a range of activities surrounding
vehicle toll evasions (or violations) that occur on the 91 Express Lanes. Each toll lane is
equipped with violation enforcement equipment that captures vehicle and plate images
A57
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O C T A A g r e e m e n t N u m b e r : C - 3 - 1 5 2 9
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
a n d a s s o c i a t e d t r a n s a c t i o n i n f o r m a t i o n o n v e h i c l e s t h a t p a s s t h r o u g h a l a n e . A v i o l a t i o n
m a y r e s u l t f o r a n y o f t h e f o l l o w i n g r e a s o n s :
" A v e h i c l e d e l i b e r a t e l y , o r u n i n t e n t i o n a l l y , e v a d e s t o l l c o l l e c t i o n . A v e h i c l e
p a s s e s t h r o u g h a n y l a n e w h o s e E T C t r a n s p o n d e r i s n o t d e t e c t e d b y t h e
s y s t e m .
" A v e h i c l e p a s s e s t h r o u g h a n y l a n e w i t h a n i n v a l i d t r a n s p o n d e r s t a t u s .
" A v e h i c l e p a s s e s t h r o u g h a d e d i c a t e d E T C l a n e w i t h n o t r a n s p o n d e r .
T h e A G E N C I E S ' i n - l a n e s y s t e m t r a n s m i t s t r a n s p o n d e r r e a d s , O C R p l a t e r e a d s a n d
o v e r h e a d v e h i c l e i m a g e s . t o t h e t o l l z o n e c o m p u t e r w h e r e i t i s r e t r i e v e d b y t h e
C O N T R A C T O R ' s b a c k o f f i c e s y s t e m f o r f u t u r e p r o c e s s i n g . U s i n g t h e i n f o r m a t i o n
p r o v i d e d b y e a c h s y s t e m , t h e C O N T R A C T O R s h a l l p e r f o r m t w o m a j o r v i o l a t i o n
e n f o r c e m e n t f u n c t i o n s :
" P e r f o r m i m a g e r e v i e w s t o i d e n t i f y a n d v e r i f y v e h i c l e p l a t e n u m b e r s
" P r o c e s s v i o l a t i o n s t o t h e i r c o m p l e t i o n a s i n d i c a t e d b e l o w .
B - 7 . 2 T o l l E v a s i o n L e g i s l a t i o n
T h e S t a t e 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 4 0 2 5 0 e t s e q . s u b j e c t s a t o l l e v a d e r t o c i v i l
p e n a l t i e s g o v e r n e d b y a c i v i l p r o c e d u r e . T h i s s t a t u t e o u t l i n e s t h e r e q u i r e m e n t s f o r t o l l
e v a s i o n p r o c e s s i n g , n o t i c e g e n e r a t i o n , a d m i n i s t r a t i v e a n d i n v e s t i g a t i v e r e v i e w s , O M V
i n t e r a c t i o n , r e g i s t r a t i o n h o l d s , a n d r e c o u r s e o p t i o n s . T h e 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 c o m p l y w i t h t h i s s t a t u t e , a s a m e n d e d , a n d a l l o t h e r a p p l i c a b l e S t a t e l a w a n d t h e
A G E N C I E S ' P o l i c y i n p e r f o r m i n g t h e i r d u t i e s a s t h e d e s i g n a t e d p r o c e s s i n g a g e n c y .
8 - 7 . 3 I m a g e P r o c e s s i n g
L i c e n s e p l a t e I m a g e s a r e c a p t u r e d w h e n e v e r a v e h i c l e p a s s e s u n d e r a g a n t r y . I m a g e
r e v i e w i n v o l v e s i n p u t t i n g o r v e r i f y i n g t h e p l a t e n u m b e r a n d s t a t e a n d s u b m i t t i n g t h i s
n u m b e r t o t h e s y s t e m f o r p r o c e s s i n g . T h e s y s t e m m a y l i n k p l a t e n u m b e r s t o v a l i d
a c c o u n t s w h e r e b y t h e a s s o c i a t e d t r a n s a c t i o n i s p o s t e d a s a t o l l t o t h e p a t r o n ' s a c c o u n t
o r t o a n o t h e r I n t e r o p e r a b i l i t y A g e n c y a n d n o v i o l a t i o n n o t i c e i s i s s u e d . O t h e r w i s e t h e
v i o l a t i o n p r o c e s s c o n t i n u e s i n a n a t t e m p t t o i d e n t i f y t h e o w n e r o f t h e v e h i c l e a n d
c o l l e c t t h e t o l l a n d a s s o c i a t e d p e n a l t i e s .
8 - 7 . 3 . l l m a g e R e v i e w s
T h e C O N T R A C T O R s h a l l p e r f o r m t h e i m a g e r e v i e w p r o c e s s , w h i c h i s c o m p o s e d o f t h e
I n i t i a l a n d S e c o n d a r y r e v i e w s . I n t h e e v e n t t h e r e i s a d i f f e r e n c e b e t w e e n t h e i n i t i a l a n d
s e c o n d a r y r e v i e w s , C O N T R A C T O R s h a l l p e r f o r m a t h i r d r e v i e w .
A 5 8
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHIBIT A
The CONTRACTOR's back office system provides an image review and enhancement
module that can be launched from workstations that have access to the image review
processing module. The system provides confidence level ratings to Optical Character
Recognition (OCR) of the license plate images. If any anomalies are detected, the system
will give the image a confidence level of zero (O) or a confidence level of greater than
one (1). These images are sent to the Initial Review Program.
The-Initial Review Program will display a colored overview picture of the vehicle, the
OCR picture and the transaction data information with the possible correct license plate
from the vehicle, to uniquely identify the violation transaction. Under the Initial Review
Process, the CONTRACTOR shall review all images that have a confidence level of zero
(O) or greater than one (1). The CONTRACTOR shall validate the license plate or will
perform a manual correction, if necessary. In some cases, the CONTRACTOR must use
image enhancement techniques in order to determine and enter the license plate
number.
For images that have a confidence level of one, the images will either post directly to a
customer account, if the license plate is listed on a good account, or be processed
directly to the OMV and then proceed through the Secondary Review process. After
processing through the Secondary Review process, the system will either post to a
customer's account if the vehicle is listed on a good account, or proceed to violation
processing. A transaction that posts to a customer's account without a transponder
read is considered to be a Pay-by-Plate transaction. Additionally, the system scans
Reciprocal-Agency plate files for a match to the plate number. If a match is found, the
violation is converted into a pay-by-plate toll charge to the Reciprocal-Agency. If no
FasTrak™ account exists that matches the plate number, then the vehicle plate number
is submitted to the California Department of Motor Vehicles {OMV) where the OMV
database is queried for name and address information of the registered owner. When a
valid name and address registration is returned, the violation process is continued.
The Secondary Review program will display the overview. vehicle picture, the OCR
picture and the vehicle description/ID data. The CONTRACTOR shall review, approve,
reset or reject the license plate of the vehicle by matching these pictures with the
vehicle information from the DMV. If the transaction is approved, the system will
attempt to associate the transaction to a 91 Express Lanes customer account or
Reciprocal-Agency plate file. If no match is possible, the transaction will be sent to the
Violation Processing system where the violation process is initiated.
B-7.4 OMV Look-up
Once it is determined that a violation has occurred and that a plate number has been
identified, the CONTRACTOR'S back office system sends this information in electronic
format to the DMV to obtain the owner's vehicle registration information, such as name
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O C T A A g r e e m e n t N u m b e r : C - 3 - 1 5 2 9
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
a n d a d d r e s s . T h i s p r o c e s s i s c o m m o n l y r e f e r r e d t o a s t h e O M V L o o k u p p r o c e s s . O n a
d a i l y b a s i s , t h e C O N T R A C T O R s h a l l m o n i t o r t h e O M V l o o k u p p r o c e s s t o e n s u r e
f u n c t i o n a l i t y a n d s t a b i l i t y .
B - 7 . 5 V i o l a t i o n N o t i c e P r o c e s s i n g
T h e C O N T R A C T O R s h a l l b e r e s p o n s i b l e f o r t h e m a i l i n g o f a l l v i o l a t i o n n o t i c e s a n d
c o r r e s p o n d e n c e t o t h o s e v i o l a t o r s f o r w h i c h r e g i s t r a t i o n i n f o r m a t i o n i s r e c e i v e d f r o m
t h e O M V . T h e A G E N C I E S u s e a t w o - n o t i c e v i o l a t i o n s y s t e m b a s e d u p o n t h e S t a t e o f
C a l i f o r n i a s t a t u t e . E a c h n o t i c e i n d i c a t e s t h e t o l l d u e p l u s a p e n a l t y a m o u n t . T h e f i r s t
v i o l a t i o n n o t i c e s h a l l b e m a i l e d t o t h e r e g i s t e r e d o w n e r w i t h i n t e n d a y s a f t e r i t i s
d e t e r m i n e d , i n i t s n o r m a l c o u r s e o f b u s i n e s s , t o b e a v i o l a t i o n . H o w e v e r , t h e n u m b e r o f
d a y s b e t w e e n t r i p d a t e a n d i n i t i a l v i o l a t i o n m a i l d a t e c a n n o t e x c e e d t h e t w e n t y - o n e
d a y s r e q u i r e m e n t s e t f o r t h i n t h e C a l i f o r n i a V e h i c l e C o d e . I f t h e r e i s n o r e s p o n s e t o t h e
f i r s t n o t i c e w i t h i n t h i r t y d a y s , t h e s e c o n d n o t i c e s h a l l b e m a i l e d t o t h e r e g i s t e r e d o w n e r .
I f t h e r e i s n o r e s p o n s e t o t h e s e c o n d n o t i c e w i t h i n a n a d d i t i o n a l s i x t y d a y s , t h e
A G E N C I E S h a v e t h e r i g h t t o p l a c e a O M V r e g i s t r a t i o n h o l d o n t h e o w n e r o f t h e v i o l a t i o n
v e h i c l e o r r e m e d y t h e r e v e n u e l o s s t h r o u g h o t h e r c o l l e c t i o n m e t h o d s .
E a c h v i o l a t i o n n o t i c e i s a c c o m p a n i e d w i t h a n A f f i d a v i t o f N o n - L i a b i l i t y a n d a R e q u e s t f o r
a n A d m i n i s t r a t i v e I n v e s t i g a t i o n . T h e s e a r e f o r m s t h a t a m o t o r i s t c a n c o m p l e t e i f t h e
v e h i c l e h a d b e e n s o l d b e f o r e t h e v i o l a t i o n o c c u r r e d o r r e n t e d a n d r e t u r n e d b e f o r e t h e
v i o l a t i o n o c c u r r e d o r i f t h e m o t o r i s t b e l i e v e s t h a t t h e v i o l a t i o n i s i n e r r o r f o r a n y o t h e r
r e a s o n . U p o n r e c e i p t o f a n a f f i d a v i t o r c o n t e s t e d f o r m , t h e C O N T R A C T O R s h a l l p l a c e t h e
v i o l a t i o n i n a s u s p e n d e d m o d e w h i l e t h e v i o l a t i o n i s i n v e s t i g a t e d . I t i s , t h e r e f o r e ,
i n c u m b e n t u p o n t h e C O N T R A C T O R t o p r o c e s s a l l A f f i d a v i t o f N o n - L i a b i l i t y a n d
C o n t e s t e d N o t i c e o f T o l l E v a s i o n V i o l a t i o n r e s p o n s e s i n a t i m e l y m a n n e r .
T h e 9 1 E x p r e s s L a n e s i s s u e s v i o l a t i o n n o t i c e s b a s e d u p o n a n e s c a l a t i o n c r i t e r i a .
C u r r e n t v i o l a t i o n a m o u n t s a r e s e t f o r t h i n A t t a c h m e n t ( 6 ) . V i o l a t i o n p o l i c e s a r e s e t f o r t h
i n t h e B u s i n e s s R u l e s .
O n a d a i l y b a s i s t h e C O N T R A C T O R s h a l l q u e r y t h e s y s t e m t o g e n e r a t e f i r s t a n d s e c o n d
v i o l a t i o n n o t i c e b a t c h f i l e s . T h e C O N T R A C T O R s h a l l p r i n t e a c h b a t c h , o n e a t a t i m e , a n d
t h e n i n s e r t e a c h n o t i c e i n t o w i n d o w e d e n v e l o p s u s i n g m a i l - h a n d l i n g e q u i p m e n t . E a c h
e n v e l o p e i s t h e n f e d t h r o u g h a p o s t o f f i c e m a c h i n e t h a t m e t e r s t h e p o s t a g e . N o m a i l
h o u s e v e n d o r i s u s e d i n t h i s p r o c e s s .
B - 7 . 5 . 1 T r a c k i n g a n d R e s o l u t i o n o f V i o l a t i o n s a n d V i o l a t i o n D i s p u t e s
T h e C O N T R A C T O R s h a l l b e r e s p o n s i b l e f o r t r a c k i n g v i o l a t i o n s t o c o m p l e t i o n . T h e
C O N T R A C T O R s h a l l m a k e m a n u a l s y s t e m i n p u t s a t e a c h s t a g e o f t h e v i o l a t i o n p r o c e s s .
F o r e x a m p l e , t h e 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 e n t e r , m a n u a l l y , s u c h i n f o r m a t i o n a s :
A 6 0
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHIBIT A
• Violation payments that may result in payment in full, partial payment, over-
payment, etc.
• Payment reversal due to insufficient funds
• Modifications to reflect that the Issuing Agency FasTrak™ patron received the
violation and that the patron's FasTrak"" account must be debited for only
the toll portion of the violation notice.
• Entries to indicate that a violation was received by a reciprocal-agency
FasTrak™ patron and that the reciprocal agency needs to be charged for only
the toll portion of the violation notice.
• Mark a violation as disputed and, therefore, temporarily suspended.
• Mark a violation as dismissed or dispute denied.
Additionally, the CONTRACTOR shall be responsible for processing disputes relating to
violation notices. The CONTRACTOR shall be expected to manage the communication or
correspondence with the violation customer. Some disputes can be handled directly by
the CSC and some require decisions from the AGENCIES. At times, the AGENCIES will
require assistance in resolving some violation issues. The CONTRACTOR shall comply
with such requests on a timely basis. In all cases, adherence to State vehicle code
legislation is vital. The AGENCIES have established policies and procedures that augment
State legislation with regard to handling violations. The Contactor is required to review
and comply will all applicable policies for violation dispute processing.
Examples of violation disputes that the CONTRACTOR will resolve are:
• Customer claims that his vehicle was not in the lane at the time of the
violation transaction. The CONTRACTOR would have to review the image and
resolve the issue.
• Customer claims that he is a FasTrak™ patron (of any Agency).
• Customer claims he inadvertently entered the dedicated FasTrak™ lane
(confused or thought it was the carpool lane), or is an emergency vehicle
responding to an emergency.
• Customer claims that the violation contains an error in the license plate
number entry.
• An Affidavit of Non-Liability is received and the violation customer claims the
vehicle was rented or sold. The affidavit must be accompanied by supporting
documentation.
8-7 .6 Administrative Review
The CONTRACTOR shall engage a hearing officer to conduct Administrative Reviews, as
set forth in the California Vehicle Code and the AGENCIES' policy.
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O C T A A g r e e m e n t N u m b e r : C - 3 - 1 5 2 9
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
T h e C O N T R A C T O R s h a l l r e v i e w d o c u m e n t a t i o n r e c e i v e d f r o m i n d i v i d u a l s r e q u e s t i n g a n
A d m i n i s t r a t i v e R e v i e w t o e n s u r e a l l p r o p e r d o c u m e n t a t i o n h a v e b e e n s u b m i t t e d . I f
a p p l i c a b l e , t h e C O N T R A C T O R s h a l l d e t e r m i n e w h e t h e r t h e i n d i v i d u a l m e e t s t h e h a r d s h i p
c r i t e r i a , a s e s t a b l i s h e d b y t h e A G E N C I E S .
T h e C O N T R A C T O R s h a l l c o o r d i n a t e s u c h h e a r i n g s a n d s h a l l p r e p a r e a H e a r i n g
D i s p o s i t i o n R e p o r t o f i n f o r m 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 f o l l o w i n g i t e m s :
" A c o p y o f t h e v i o l a t i o n n o t i c e ( s ) .
" A c o p y o f t h e O M V l o o k u p i n d i c a t i n g t h e r e g i s t e r e d o w n e r o f t h e v e h i c l e i n
q u e s t i o n a t t h e t i m e o f t h e v i o l a t i o n ( s ) .
" A p r i n t o u t o f t h e v e h i c l e i m a g e ( s ) .
I f a p p l i c a b l e , c u s t o m e r a c c o u n t d o c u m e n t 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 : c u s t o m e r
n o t e s , f i n a n c i a l h i s t o r y , n o n - f i n a n c i a l h i s t o r y . A n y r e l a t i v e d o c u m e n t a t i o n t h a t i n d i c a t e s
t h a t a c c o u n t w a s n o t i n g o o d s t a n d i n g a t t h e t i m e o f t h e v i o l a t i o n ( s ) .
T h e C O N T R A C T O R s h a l l g e n e r a t e a l e t t e r i n d i c a t i n g t h e r e q u e s t h a s b e e n r e c e i v e d a n d a
h e a r i n g w i l l b e s c h e d u l e d w i t h i n t h e n i n e t y ( 9 0 ) d a y s f o l l o w i n g t h e r e c e i p t o f a r e q u e s t
f o r a n a d m i n i s t r a t i v e h e a r i n g . U p o n t h e r e s u l t s o f t h e a d m i n i s t r a t i v e h e a r i n g , t h e
C O N T R A C T O R s h a l l m a i l t h e h e a r i n g o f f i c e r ' s f i n a l d e c i s i o n b y f i r s t - c l a s s m a i l a n d u p d a t e
t h e s y s t e m w i t h t h e f i n d i n g s .
B - 7 . 7 P a y m e n t P r o c e s s i n g
T h e C O N T R A C T O 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 v i o l a t i o n p a y m e n t p r o c e s s i n g . E a c h d a y
v i o l a t i o n p a y m e n t s a r e r e c e i v e d b y m a i l . T h e P r o c e s s i n g s t a f f s h a l l v e r i f y t h a t b a t c h
c o u n t s m a t c h t h e s u m m a r i e s n o t e d b y t h e m a i l c l e r k a n d p r e p a r e t o e n t e r p a y m e n t s
i n t o t h e A G E N C I E S ' s y s t e m s . C o p i e s o f a l l c h e c k s r e c e i v e d s h a l l b e p h o t o c o p i e d o r
s c a n n e d . I t i s t h e r e s p o n s i b i l i t y o f t h e C O N T R A C T O R ' s s t a f f t o v e r i f y t h a t c h e c k s a r e
s i g n e d a n d c o m p l e t e d p r o p e r l y , c r e d i t c a r d n u m b e r s a n d s i g n a t u r e s a r e c o m p l e t e d
p r o p e r l y , a n d t h e n p a y m e n t s a r e e n t e r e d i n t o t h e s y s t e m .
E x a m p l e s o f v i o l a t i o n p a y m e n t t y p e s i n c l u d e :
" A p a y m e n t r e c e i v e d w i t h t h e c o r r e c t a m o u n t .
" A p a y m e n t r e c e i v e d w i t h m o r e t h a n t h e c o r r e c t a m o u n t .
" A p a y m e n t r e c e i v e d w i t h l e s s t h a n t h e c o r r e c t a m o u n t .
" A p a y m e n t r e c e i v e d w i t h o u t p r o p e r s i g n a t u r e s o r o t h e r i n c o r r e c t
i n f o r m a t i o n .
R e c e i v e d p a y m e n t s r e q u i r e u n i q u e p r o c e s s i n g b y t h e C O N T R A C T O R . F o r i n s t a n c e , i f a
c h e c k o r c r e d i t c a r d i n f o r m a t i o n i s n o t c o m p l e t e d p r o p e r l y , t h e C O N T R A C T O R s h a l l b e
A 6 2
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHIBIT A
responsible for returning the payment to the violation customer along with an
associated correspondence letter. After all violation payments are entered each batch
must be verified and reconciled.
B-7.8 Collections and OMV Registration Hold
For those cases where violation notices are ignored and violation payments remain
uncollected, the AGENCIES have the right to place the vehicle registration on hold with
the OMV or choose to use other collection means.
In the event the AGENCIES decide to utilize the vehicle registration hold method, the
CONTRACTOR shall be responsible, through its collection CONTRACTOR, for placing a
registration hold, or OMV Hold, with the Department of Motor Vehicles in accordance
with AGENCIES policy. The owner of the vehicle must settle all claims/holds prior to
obtaining a registration renewal.
The CONTRACTOR shall provide a collection agency for handling violations after the first
two notices are sent with no response and for those customers who have gone into
negative balance. For those cases that are sent to the CONTRACTOR's collection agency,
including Franchise Tax Board interception filings, the CONTRACTOR shall coordinate the
collection efforts with the collection agency.
The CONTRACTOR shall also engage a collection attorney to handle legal services
relating to violation judgments, for example when gross violators are referred to the
collection attorney. The CONTRACTOR shall also coordinate the civil judgment efforts
with the attorney, or as directed by the AGENCIES. The collection attorney shall
maintain an electronic database of the files reaching civil judgment.
Examples of coordination efforts include:
• Verification of liability
• Preparation of summary of research findings
• Creation of case folder on all violators whose liability has been verified
For those cases that are deemed uncollectible after all reasonable efforts are expended
to achieve collection, the CONTRACTOR shall provide the AGENCIES with the
information needed as to the amount of write-off which are in accordance with the
AGENCIES' Write-off of Uncollectible Receivables Policy.
B-8 TRANSPONDER MANAGEMENT
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B - 8 . 1 T r a n s p o n d e r O r d e r i n g
O C T A A g r e e m e n t N u m b e r : C - 3 - 1 5 2 9
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
T h e C O N T R A C T O R s h a l l e n s u r e t h a t a n a p p r o p r i a t e s u p p l y o f t r a n s p o n d e r s i s a v a i l a b l e a t
a l l t i m e s . T h e C O N T R A C T O R s h a l l o r d e r t r a n s p o n d e r s f r o m t h e A G E N C I E S ' v e n d o r i n
a c c o r d a n c e w i t h t h e A g r e e m e n t t e r m s a n d A G E N C I E S ' p o l i c y b a s e d u p o n e x i s t i n g
i n v e n t o r y a n d f o r e c a s t e d r e q u i r e m e n t s . T h e A G E N C I E S s h a l l b e r e s p o n s i b l e f o r p a y i n g
f o r t h e t r a n s p o n d e r s .
B - 8 . 2 R e c e i p t , I d e n t i f i c a t i o n a n d I n v e n t o r y
T h e C O N T R A C T O R s h a l l r e c e i v e t r a n s p o n d e r s f r o m t h e m a n u f a c t u r e r a n d v e r i f y t h e
s h i p m e n t i s c o r r e c t . T h e C O N T R A C T O R s h a l l s e c u r e l y s t o r e t h e t a g s u n t i l t h e y a r e i s s u e d .
T h e C O N T R A C T O R s h a l l v e r i f y t h a t t h e c o r r e c t i n f o r m a t i o n h a s b e e n p r o g r a m m e d a t t h e
m a n u f a c t u r e r a n d s h a l l i n p u t t h e i n t e r n a l t r a n s p o n d e r i d e n t i f i c a t i o n n u m b e r i n t o t h e
p r i m a r y b a c k - o f f i c e s y s t e m p r i o r t o t h e i r a s s i g n m e n t t o 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 s .
D e t a i l e d t r a n s p o n d e r i n v e n t o r y l o g s / r e p o r t s s h a l l b e u p d a t e d d a i l y o r a s d i r e c t e d b y
t h e A G E N C I E S . T h e l o c a t i o n , s t a t u s , a n d h i s t o r y o f e a c h t r a n s p o n d e r s h a l l b e a v a i l a b l e t o
t h e A G E N C I E S a t a n y t i m e .
B - 8 . 3 T r a n s p o n d e r F u l f i l l m e n t
T h e C O N T R A C T O R s h a l l a s s i g n a n d m a i l t r a n s p o n d e r s t o a l l p a t r o n s u p o n r e q u e s t . T h e
C O N T R A C T O R s h a l l a l s o s e n d V e l c r o s t r i p s a n d b a t t e r i e s , i n t h e e v e n t t h e A G E N C I E S
c h o o s e t o s w i t c h t o b a t t e r y r e p l a c e a b l e t r a n s p o n d e r s , t o t h e c u s t o m e r s a s r e q u e s t e d .
T h e A G E N C I E S ' C S C s y s t e m i n c o r p o r a t e s f e a t u r e s t o f a c i l i t a t e t h e a s s i g n i n g o f E T C t a g s
t o 9 1 E x p r e s s L a n e s a c c o u n t s . A C S R e n t e r s t h e t a g n u m b e r f o r e a c h t a g a s s o c i a t e d w i t h
a n a c c o u n t i n t o t h e C S C s y s t e m . T a g s c a n b e a d d e d o r r e m o v e d .
B - 8 . 4 T r a n s p o n d e r S t a t u s U p d a t e
P e r i o d i c a l l y , t h e s t a t u s o f p a t r o n t a g s r e q u i r e s u p d a t i n g o n t h e s y s t e m . C u s t o m e r s m a y
r e p o r t t a g s l o s t , s t o l e n , o r d e f e c t i v e a n d i t i s t h e r e s p o n s i b i l i t y o f t h e C O N T R A C T O R t o
u p d a t e t h e s y s t e m a c c o r d i n g l y . I n t h e c a s e o f a l o s t t a g , f o r e x a m p l e , t h e C S R m u s t
c h a r g e t h e p a t r o n ' s a c c o u n t a l o s t t a g f e e a s s p e c i f i e d b y t h e A G E N C I E S ' b u s i n e s s r u l e s .
B - 8 . 5 T r a n s p o n d e r R e t u r n s
T h e C O N T R A C T O R s h a l l t e s t a n d i n s p e c t a l l t r a n s p o n d e r s t h a t a r e r e t u r n e d f r o m t h e
c u s t o m e r s . T h e C O N T R A C T O R s h a l l b e r e s p o n s i b l e f o r e n s u r i n g t h a t a l l t r a n s p o n d e r s
t h a t a r e f o u n d t o b e d e f e c t i v e o r d a m a g e d a n d a r e s t i l l u n d e r t h e m a n u f a c t u r e r ' s
w a r r a n t y a r e t o b e r e t u r n e d p r o m p t l y t o t h e m a n u f a c t u r e r . F o r t h o s e t r a n s p o n d e r s t h a t
a r e d e f e c t i v e o r d a m a g e d b u t a r e n o t w i t h i n t h e w a r r a n t y p e r i o d , t h e C O N T R A C T O R
s h a l l b e r e s p o n s i b l e f o r s e n d i n g t h e t r a n s p o n d e r s t o b e p r o p e r l y d i s p o s e d .
A 6 4
B-8.6 Transponder Security
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHIBIT A
The CONTRACTOR shall be responsible for the overall security of the transponders. The
CONTRACTOR shall provide and maintain inventory controls and accurate, current
records of the transponders. On a monthly basis, or as directed by the AGENCIES, the
CONTRACTOR shall conduct a complete physical inventory of transponders and verify
that the transponder inventory log is correct.
B-8. 7 Transponder Warranty Management
The CONTRACTOR shall track transponder warranties by transponder serial numbers
and administer a warranty replacement program, as directed by the AGENCIES.
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O C T A A g r e e m e n t N u m b e r : C - 3 - 1 5 2 9
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00 •
EXHIBIT A
AreaC
Toll Plaza, In-Lane and Traffic Operations Center
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A67 •
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C - 1 S T A F F I N G
C - 1 . 2 R e q u i r e d K e y P e r s o n n e l
O C T A A g r e e m e n t N u m b e r : C - 3 - 1 5 2 9
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
A n O p e r a t i o n s M a n a g e r - r e s p o n s i b l e f o r m a i n t e n a n c e o f o n - r o a d e q u i p m e n t a n d
c a m e r a s , m a i n t e n a n c e o f g e n e r a t o r s a n d U P S , a n d m a n a g e m e n t o f 2 4 / 7 T O C a n d C A S
f o r 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 f a c i l i t y . R e s p o n s i b i l i t i e s i n c l u d e m a n a g i n g a n d
s c h e d u l i n g C a l t r a n s m a i n t e n a n c e a n d C H P p a t r o l s a n d o t h e r c o n t r a c t e d r o a d r e p a i r a n d
m a i n t e n a n c e w o r k a s m a y b e n e c e s s a r y f r o m t i m e t o t i m e f o r e a c h A G E N C Y .
C - 2 T O L L O P E R A T I O N S
T h e C O N T R A C T O R s h a l l p e r f o r m a l l a c t i v i t i e s r e l a t e d t o t h e c o l l e c t i o n o f T o l l s a t t h e
A G E N C I E S T o l l F a c i l i t i e s . T h e C O N T R A C T O R s h a l l b e r e s p o n s i b l e f o r h i r i n g , t r a i n i n g a n d
m a n a g i n g a q u a l i f i e d s t a f f t o p e r f o r m a l l a c t i v i t i e s r e l a t e d t o t h 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 A G E N C I E S T o l l c o l l e c t i o n F a c i l i t i e s .
C - 2 . 1 T o l l C o l l e c t i o n O p e r a t i o n s
T h e C O N T R A C T O R s h a l l a c c u r a t e l y a n d e f f i c i e n t l y c o l l e c t a l l T o l l R e v e n u e s a n d r e c o n c i l e
a l l t r a n s a c t i o n s a s s o c i a t e d w i t h e a c h v e h i c l e u s i n g t h e A G E N C I E S r o a d w a y F a c i l i t i e s . T h e
C O N T R A C T O R s h a l l m o n i t o r a l l t o l l c o l l e c t i o n a n d p r o c e s s i n g e q u i p m e n t a n d n o t i f y t h e
O E M f o r m a i n t e n a n c e a n d r e p a i r . T h e C O N T R A C T O R s h a l l e n s u r e t h e s e c u r i t y o f a l l
f u n d s h a n d l e d b y T o l l o p e r a t i o n s p e r s o n n e l .
T h e C O N T R A C T O R s h a l l p e r f o r m d a i l y i n i t i a l a n d s e c o n d a r y r e v i e w s , a n d t h i r d r e v i e w s i f
n e c e s s a r y , o f i m a g e s f o r t r a n s a c t i o n s t h a t a r e n o t r e s o l v a b l e t o a c u s t o m e r o r o t h e r
a g e n c y a c c o u n t .
C - 2 . 2 T o l l L a n e O p e r a t i o n s
T h e C O N T R A C T O R s h a l l p r o v i d e p r o p e r o p e r a t i o n s o f a l l T o l l l a n e s . G e n e r a l T o l l l a n e
a c t i v i t i e s i n c l u d e o p e r a t i o n o f a l l l a n e T o l l e q u i p m e n t ; p r o c e s s i n g o f a l l t y p e s o f T o l l
t r a n s a c t i o n s ; e m e r g e n c y p r o c e d u r e s , l a n e c l o s u r e s a n d o p e n i n g s ; a n d m a i n t e n a n c e
r e p o r t i n g . T h e C O N T R A C T O R s h a l l m o n i t o r t h e 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 ,
i n c l u d i n g r e g u l a r a n d H O V t r a n s a c t i o n s a n d l a n e v i o l a t i o n p r o c e d u r e s a t a l l 9 1 E x p r e s s
L a n e t o l l f a c i l i t i e s . T h e C O N T R A C T O R s h a l l a u d i t t r a n s a c t i o n s a s d e f i n e d i n t h e S t a n d a r d
O p e r a t i n g P r o c e d u r e s ( S O P ) a p p r o v e d b y t h e A G E N C I E S .
C - 2 . 3 T o l l S y s t e m P e r f o r m a n c e M o n i t o r i n g
A 6 8
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHIBIT A
The CONTRACTOR shall monitor and document the performance of the toll system. Any
variances shall be noted to the AGENCIES in accordance with the approved SOP.
C-3 ROUTINE OPERATION AND MAINTENANCE OVERVIEW
Many of the 91 Express Lanes' assets are found at the lane level. The CONTRACTOR will
be responsible for the professional and efficient operation and maintenance of these
assets to ensure the mission of the AGENCIES to offer a safe, reliable trip to its
customers is optimally achieved and to ensure revenue capture is accurate and
maximized.
C-3.1 Routine Operation and Maintenance
The CONTRACTOR shall operate and provide full-service maintenance and
administration for all 91 Express Lane lane-level toll and lane operations (with the
assistance of other specialized services/contractor provided by the AGENCIES as defined
in the contract). These activities shall include but not be limited to:
• Coordinating regularly scheduled and emergency roadway maintenance
performed by Caltrans
• Monitoring and performing maintenance on the variable message signs
• Monitoring and maintaining communications via fiber optic cable, telephony,
wireless, radio and computer network technologies
• Providing oversight and support for minor construction/repair projects on
the lanes
• Inspecting, monitoring and managing facility components including
landscaping, drainage, road lighting and reflectivity, channelizers,
communications cabling pull boxes, and signage.
• Overseeing regular and ad hoc inspections of roadway and equipment.
Inspecting striping, vehicle lane usage, signage, concrete barriers, metal
beam guard rails, crash cushions and drainage inlets.
• Performing routine maintenance of the on-road camera system including
camera cleaning.
C-3.2 Asset Maintenance Schedules, Documentation and Record Keeping
The CONTRACTOR shall develop and maintain documentation of general operation,
scheduled maintenance, and troubleshooting procedures for the assets. Scheduled
maintenance shall be broken down by daily, weekly, monthly and annual procedures.
The CONTRACTOR will utilize an asset management system to accurately inventory
assets, and to assign and record maintenance activities against them. The CONTRACTOR
A69
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O C T A A g r e e m e n t N u m b e r : C - 3 - 1 5 2 9
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
s h a l l r e c o r d a s s e t d o w n t i m e a n d s h a l l b e c a p a b l e o f p r o v i d i n g A G E N C I E S w i t h o p e r a t i n g
s t a t i s t i c s l i s t e d i n A t t a c h m e n t ( 3 ) .
C - 3 . 3 S p a r e C o m p o n e n t s a n d P a r t s
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 m a i n t a i n i n g f u l l y - a s s e m b l e d a n d t e s t e d s p a r e
c o m p o n e n t s f o r i m m e d i a t e r e p l a c e m e n t , a s n e c e s s a r y . T h e C O N T R A C T O R w i l l o r d e r a l l
s p a r e c o m p o n e n t s a n d p a r t s .
D e f e c t i v e c o m p o n e n t s w i l l b e r e p l a c e d w i t h s p a r e c o m p o n e n t s w i t h t h e l e a s t p o s s i b l e
d e l a y . T h e d e f e c t i v e c o m p o n e n t w i l l b e r e p a i r e d b y t h e C O N T R A C T O R i f f i r s t - l e v e l r e p a i r
w i l l r e s o l v e t h e p r o b l e m a n d i f p e r m i t t e d u n d e r t h e m a n u f a c t u r e r ' s w a r r a n t y .
O t h e r w i s e , t h e C O N T R A C T O R w i l l r e t u r n t h e c o m p o n e n t t o t h e m a n u f a c t u r e r f o r
w a r r a n t y o r o t h e r s e r v i c e i f t h e i t e m i s w o r t h r e p a i r i n g .
C - 3 . 4 M a i n t e n a n c e E q u i p m e n t
T h e C O N T R A C T O R w i l l d e v e l o p a n d a c q u i r e a c o m p r e h e n s i v e l i s t o f a l l i t e m s , t o o l s , a n d
e q u i p m e n t n e c e s s a r y f o r t h e r e p a i r , t e s t i n g a n d r o u t i n e p r e v e n t a t i v e m a i n t e n a n c e o f
t h e l a n e s . T h e l i s t w i l l i n c l u d e t h e s p e c i f i c f u n c t i o n o f e a c h d e v i c e , t h e a p p r o x i m a t e c o s t
a n d t h e a p p r o x i m a t e q u a n t i t y r e q u i r e d f o r t h e d e v e l o p m e n t o f a c o m p r e h e n s i v e a n d
e f f e c t i v e m a i n t e n a n c e p r o g r a m .
C - 3 . S A c c i d e n t / I n c i d e n t R e p o r t i n g
T h e C O N T R A C T O R s h a l l r e p o r t t o t h e A G E N C I E S a l l i n c i d e n t s i n v o l v i n g f i r e , r o b b e r y ,
a c c i d e n t s , o r s i m i l a r e v e n t s i n a t i m e l y m a n n e r p e r S O P a n d d o c u m e n t e d b y a n
A c c i d e n t / I n c i d e n t ( A / I ) r e p o r t a s n e c e s s a r y .
R e p o r t s f r o m c u s t o m e r s a n d o t h e r s o u r c e s c o n c e r n i n g a c c i d e n t s a n d / o r i n c i d e n t s s h a l l
b e v e r i f i e d a n d r e p o r t e d a s r e q u i r e d b y t h e S O P t o a l l o w f o r r a p i d a n d e f f i c i e n t d i s p a t c h
a s r e q u i r e d . 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 a c o m p l e t e r e c o r d a n d l o g o f a l l a c c i d e n t s
a n d i n c i d e n t s a n d s h a l l n o t i f y t h e A G E N C I E S i n a c c o r d a n c e w i t h t h e a p p r o v e d S O P . T h e
C O N T R A C T O R s h a l l a l s o m a i n t a i n a r e c o r d o f m o t o r i s t a s s i s t s ( n u m b e r , t y p e o f a s s i s t ,
a n d t i m e o f d a y ) w h i c h s h a l l b e s u m m a r i z e d a n d i n c l u d e d i n o p e r a t i n g r e p o r t s t o t h e
A G E N C I E S .
C - 3 . 6 C o o r d i n a t i o n w i t h C a l i f o r n i a H i g h w a y P a t r o l , O M V , C a l t r a n s a n d O t h e r
S t a t e / L o c a l A g e n c i e s
T h e C O N T R A C T O R s h a l l c o o p e r a t e a n d c o o r d i n a t e i t s a c t i v i t i e s w i t h t h e a p p r o p r i a t e
S t a t e a n d l o c a l a g e n c i e s i n t h e c o u r s e o f E x p r e s s L a n e s o p e r a t i o n s . T h e A G E N C I E S s h a l l
b e i m m e d i a t e l y n o t i f i e d o f a n y s u c h i n t e r a c t i o n w h i c h i s o u t s i d e t h e n o r m a l o p e r a t i o n s
a s d e f i n e d b y t h e r e l e v a n t S O P s .
A 7 0
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHIBIT A
For general purpose lanes projects which directly or indirectly impacts the 91 Express
Lanes, the CONTRACTOR shall advise the AGENCIES of its recommendations in order to
minimize the impact to the 91 Express Lanes' operation. The CONTRACTOR shall attend
project related working group meetings. The CONTRACTOR shall coordinate the agreed
upon activities with the appropriate State and local agencies and notify the AGENCIES of
any deviations.
C-3.7 Facilities Maintenance & Reporting
The CONTRACTOR shall report to the AGENCIES all identified maintenance requirements
for the Facilities for maintenance to be performed by the CONTRACTOR in accordance
with the SOPs and the operating contract.
Every three weeks, the CONTRACTOR shall provide assistance to Caltrans while
Caltrans is performing routine maintenance for the 91 Express Lanes.
C-4 TRAFFIC OPERATIONS
The CONTRACTOR shall operate a Traffic Operations Center in the Administrative
Headquarters Facility on a 24/7 basis. The CONTRACTOR shall perform support activities
related to emergency service management and coordination on the Express Lanes. The
CONTRACTOR shall provide, as a minimum, monitoring of conditions on the roadways
and at the facilities, identification of incidents and problem situations, alerting
appropriate responsible individuals and dispatching appropriate response personnel and
resources to address and remedy the problem. As appropriate, the CONTRACTOR shall
coordinate with AGENCIES' CONTRACTORs, other governmental, emergency service and
law enforcement agencies to maintain safe and efficient operations.
C-4.1 Emergency Services Coordination
The CONTRACTOR shall be responsible for hiring, training, and managing staff to
perform the required emergency services coordination activities. The CONTRACTOR
shall develop, implement and manage Emergency Services Procedure in accordance
with developed SOP. ACAS will be operated by the CONTRACTOR as directed by the
AGENCIES.
C-4.2 Traffic Incident Management
The CONTRACTOR shall monitor traffic, weather and general operational conditions
along with the AGENCIES' roadway system on a full-time, around-the-clock basis. The
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O C T A A g r e e m e n t N u m b e r : C - 3 - 1 5 2 9
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
C O N T R A C T O R s h a l t a s s e s s a l t t r a f f i c i n c i d e n t s a n d i n i t i a t e t h e p r o p e r r e s p o n s e
d e p e n d i n g o n t h e l e v e l o f s e v e r i t y o f t h e s i t u a t i o n .
C - 4 . 3 T r a f f i c C o n t r o l
A l l t r a f f i c c o n t r o l s h a l l b e p r o v i d e d b y e i t h e r a p r i v a t e t r a f f i c c o n t r o l c o n t r a c t o r , C a l t r a n s
a n d / o r t h e C a l i f o r n i a H i g h w a y P a t r o l .
C - 5 C U S T O M E R A S S I S T A N C E S P E C I A L I S T ( C A S )
C - 5 . l U n i f o r m s
T h e C O N T R A C T O R s h a l l p r o v i d e u n i f o r m s t o a l l p e r s o n n e l w h o , a s a r e g u l a r p a r t o f t h e i r
j o b , c o m e i n c o n t a c t w i t h t h e A G E N C I E S ' c u s t o m e r s o r t h e g e n e r a l p u b l i c . P r e s e n t l y ,
C u s t o m e r A s s i s t a n c e S p e c i a l i s t ( C A S ) m e m b e r s a n d E T I M p e r s o n n e l w e a r u n i f o r m s
w h e n w o r k i n g o n t h e r o a d ; o t h e r c o n t r a c t s t a f f d r e s s e s i n a p r o f e s s i o n a l m a n n e r . T h e
C O N T R A C T O R s h a l l p r o v i d e a n a d e q u a t e n u m b e r o f u n i f o r m s , a l o n g w i t h a p r o f e s s i o n a l
c l e a n i n g s e r v i c e , t o a s s u r e t h a t e a c h e m p l o y e e h a s a c l e a n u n i f o r m . U n i f o r m s s h a l l b e
c o n f o r m e d t o i d e n t i f y b o t h O C T A a n d R C T C 9 1 E x p r e s s L a n e s o p e r a t i o n s .
C - 5 . 2 T r a n s p o r t a t i o n a n d V e h i c l e s
T h e C O N T R A C T O R s h a l l o p e r a t e a l l A G E N C Y p r o v i d e d v e h i c l e s n e c e s s a r y t o p e r f o r m t h e
W o r k i n c o n f o r m a n c e w i t h t h e A g r e e m e n t . T h e A G E N C I E S w i l l p r o v i d e v e h i c l e s t o
s u p p o r t m o t o r i s t / r o a d s i d e s e r v i c e a n d m a i n t e n a n c e s e r v i c e s . A p r o c e d u r e s h a l l b e
i m p l e m e n t e d t o a l l o w f o r o p e r a t i o n o f t h e v e h i c l e s i n a c l e a n a n d s a f e m a n n e r . T h e
C O N T R A C T O R s h a l l b e r e s p o n s i b l e f o r t h e m a i n t e n a n c e o f t h e v e h i c l e s . T h e
C O N T R A C T O R s h a l l u t i l i z e A G E N C Y p r o v i d e d v e h i c l e s a s n e c e s s a r y t o c a r r y o u t a l l
a s p e c t s o f t h e w o r k .
T h e C O N T R A C T O R s h a l l o p e r a t e a c u s t o m e r s e r v i c e p a t r o l / m o t o r i s t s e r v i c e p r o g r a m
w h i c h i s p r o v i d e d t o p r o m o t e s a f e t y a n d r a p i d t r a v e l t h r o u g h t h e E x p r e s s L a n e s . T h i s
s e r v i c e u t i l i z e s u n i f o r m e d a t t e n d a n t s w h o a r e d i s p a t c h e d f r o m t h e t o l l p l a z a t o p a t r o l
t h e l a n e s f o r d i s a b l e d v e h i c l e s , r o a d h a z a r d s , a c c i d e n t s , a n d o t h e r i n c i d e n t s w h i c h a f f e c t
t h e s a f e t y a n d e f f i c i e n c y o f t h e t o l l l a n e s . A t t e n d a n t s m a y t o w v e h i c l e s , c h a n g e t i r e s ,
p r o v i d e s m a l l q u a n t i t i e s o f g a s o l i n e , r e m o v e d e b r i s a n d h e l p s u p p o r t i n l a n e a c t i v i t i e s b y
t h e C H P a n d / o r C a l t r a n s w h e n r e q u e s t e d . T h e s e r v i c e c u r r e n t l y o p e r a t e s w i t h 5 t o 6
p a t r o l a t t e n d a n t p o s i t i o n s d u r i n g t h e f o l l o w i n g h o u r s :
" M o n d a y - F r i d a y - 5 : 0 0 a . m . t o 9 : 0 0 p . m .
" S a t u r d a y - 8 : 0 0 a . m . t o 7 p . m .
" S u n d a y - 8 : 0 0 a . m . t o 9 : 0 0 p . m .
A 7 2
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00
EXHIBIT A
The CAS responds to the following events on a regular basis.
• Assist with a traffic incident
• Assist with a traffic break
• Assist with vehicle battery failures
• Assist with clearing of channelizers or buffer debris
• Flat tire assistance (change or inflate)
• Gasoline/Diesel fuel assistance
• Assist California Highway Patrol
• Provide information
• Assist with vehicle mechanical failure
• Assist with overheated vehicle
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O C T A A g r e e m e n t N u m b e r : C - 3 - 1 5 2 9
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T A
OCTA Agreement Number: C-3-1529
RCTC Agreement Number: 13-31-105-00 •
EXHIBIT A
Attachments
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A75 •
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O R C O A E x h i b i t A
A t t a c h m e n t 1 - P e r f o r m a n c e M e a s u r e s
C O N T E N T S :
T h i s A t t a c h m e n t c o n t a i n s p e r f o r m a n c e m e a s u r e s j o i n t l y e s t a b l i s h e d b y t h e A G E N C I E S
a n d C O N T R A C T O R i n a c c o r d a n c e w i t h t h i s A g r e e m e n t . T h e s t a n d a r d s a d d r e s s :
" T r a f f i c O p e r a t i o n s
" C u s t o m e r S e r v i c e a n d V i o l a t i o n s P r o c e s s i n g
" I n f o r m a t i o n T e c h n o l o g y ( I T )
" A c c o u n t i n g .
A d m i n i s t r a t i v e s t a n d a r d s s u c h a s o p e r a t i n g r e p o r t s a n d t h e t i m e l i n e s s a n d a c c u r a c y o f
t h o s e r e p o r t s a r e s e p a r a t e l y s p e c i f i e d w i t h i n t h e S t a t e m e n t o f W o r k .
I N T E N T :
T h e a t t a c h e d m e a s u r e s a r e i n t e n d e d t o p r o v i d e a m u t u a l l y u n d e r s t o o d d e s i r e d l e v e l o f
s e r v i c e t o b e d e l i v e r e d b y C O N T R A C T O R i n i t s p e r f o r m a n c e u n d e r t h e A g r e e m e n t .
D e v i a t i o n s f r o m t h e e s t a b l i s h e d m e a s u r e s w i l l b e r e v i e w e d b y t h e A G E N C I E S ' G e n e r a l
M a n a g e r s a n d C O N T R A C T O R ' s P r o g r a m M a n a g e r t o d e t e r m i n e i f p r o c e s s e s ,
t e c h n o l o g i e s o r o t h e r f a c t o r s r e q u i r e a t t e n t i o n t o c o r r e c t o r f u r t h e r i m p r o v e
p e r f o r m a n c e . C O N T R A C T O R a n d t h e A G E N C I E S h a v e a g r e e d t h a t w i t h i n t h e s c o p e o f t h e
A g r e e m e n t ( i n c l u d i n g a n y s u b s e q u e n t a m e n d m e n t s ) t h a t t h e p e r f o r m a n c e m e a s u r e s w i l l
b e r e v i e w e d a t l e a s t a n n u a l l y a n d u p d a t e d / c h a n g e d , a s a p p r o p r i a t e , b a s e d o n c h a n g e s i n
t o l l r o a d p r a c t i c e s , p o l i c i e s , p r o c e d u r e s , t e c h n o l o g y , c u s t o m e r b e h a v i o r o r o t h e r f a c t o r s
i n f l u e n c i n g s e r v i c e l e v e l s .
U P D A T E / R E V I S I O N P R O C E S S :
A t l e a s t s e m i - a n n u a l l y , t h e A G E N C I E S ' G e n e r a l M a n a g e r s a n d t h e C O N T R A C T O R
P r o g r a m M a n a g e r w i l l m e e t t o d i s c u s s t h e r e p o r t e d p e r f o r m a n c e i n r e g a r d t o t h e
m e a s u r e s t h e n i n f o r c e . A s r e q u i r e d , t h e m a n a g e r s w i l l i d e n t i f y a c t i o n i t e m s w h i c h m a y
i n c l u d e :
" C a l i b r a t i n g t h e e x i s t i n g m e a s u r e ( s ) b a s e d o n r e c e n t p e r f o r m a n c e a n d i d e n t i f i e d
p e r f o r m a n c e f a c t o r s .
" I d e n t i f y i n g m e a s u r e s w h i c h s h o u l d b e a d d e d , s u b s t i t u t e d o r r e m o v e d i n t h e
i n t e r e s t o f m o r e e f f e c t i v e l y t r a c k i n g C O N T R A C T O R p e r f o r m a n c e .
" I d e n t i f y i n g c a p i t a l , p e o p l e o r o t h e r i n v e s t m e n t s w h i c h m a y b e w a r r a n t e d b a s e d o n
t h e c o s t / b e n e f i t o f m a k i n g t h o s e i n v e s t m e n t s .
" I m p l e m e n t i n g c h a n g e s c o n s i s t e n t w i t h t h e i n t e n t o f a c h i e v i n g e s t a b l i s h e d o r
A 1 - 1
ORCOA Exhibit A
Attachment 1-Performance Measures
improved levels of service.
Any matters which cannot be resolved between the managers will be elevated within the
AGENCIES' and CONTRACTOR management structures as provided within the body of the
Agreement.
The parties agree that changes to the performance measures (and the body of this
Attachment) may be made administratively without execution of a formal amendment
to the Agreement.
A1-2
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O R C O A E x h i b i t A
A t t a c h m e n t 1 - P e r f o r m a n c e M e a s u r e s
P E R F O R M A N C E & M E A S U R E M E N T S F O R T R A F F I C O P E R A T I O N S
1 . I n i t i a l & S e c o n d a r y R e v i e w P e r f o r m a n c e
T h i s p e r f o r m a n c e s t a n d a r d a f f e c t s b o t h T r a f f i c O p e r a t i o n s C e n t e r ( T O C ) & C u s t o m e r
A s s i s t a n c e S p e c i a l i s t s ( C A S ) e m p l o y e e s .
A M e a s u r e = A l l i n i t i a l & s e c o n d a r y r e v i e w s t h a t a r e f o r w a r d e d b y R A M S t o t h e
T O C / R o a d s i d e O p e r a t i o n s d e p a r t m e n t s w i l l b e c o m p l e t e d a n d t o t h e p r o c e s s i n g
d e p a r t m e n t w i t h i n 1 5 d a y s o f r e c e i p t b y t h e T O C / R o a d s i d e O p e r a t i o n s .
M e a s u r e m e n t S o u r c e : P r o d u c t i v i t y R e p o r t f r o m C O N T R A C T O R I n t r a n e t
B . I n i t i a l a n d S e c o n d a r y R e v i e w E r r o r s
T h i s m e a s u r e m e n t r e f e r s t o t h e p e r c e n t a g e o f p l a t e m i s r e a d e r r o r s t h a t o c c u r .
M e a s u r e = t h e m o n t h l y p e r f o r m a n c e s t a n d a r d f o r p l a t e m i s r e a d e r r o r s i s
e s t a b l i s h e d a t m i s r e a d s = o r l e s s t h a n . 4 % o f t h e n u m b e r o f p l a t e s r e a d i n a g i v e n
m o n t h .
M e a s u r e m e n t S o u r c e : P l a t e M i s r e a d E r r o r R e p o r t f r o m C O N T R A C T O R I n t r a n e t
M e a s u r e m e n t N o t e s : T h e p l a t e r e a d e r r o r r a t e p e r f o r m a n c e s t a n d a r d w i l l b e w a i v e d i f
e i t h e r o n e o r b o t h o f t h e f o l l o w i n g o c c u r :
I f t h e b a c k o f f i c e s y s t e m ( R A M S ) o r t h e i n - l a n e s y s t e m f a i l s t o p e r f o r m a s
e x p e c t e d , c r e a t i n g a b a c k l o g o f i m a g e s f o r C O N T R A C T O R s t a f f t o r e v i e w t h e
p e r f o r m a n c e m e a s u r e w i l l b e w a i v e d f o r t h e p e r i o d o f t i m e i t r e a s o n a b l y t a k e s
C O N T R A C T O R s t a f f t o r e v i e w t h e b a c k l o g
2 . C A S P e r f o r m a n c e
P e r f o r m a n c e r e s p o n s e t i m e r e f e r s t o t h e t i m e i t t a k e s C A S T o w T r u c k d r i v e r s t o r e s p o n d t o
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 ( " L a n e s " ) a f t e r n o t i f i c a t i o n b y T O C a n d / o 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 H P ) . R e s p o n s e t i m e s a r e d e p e n d e n t u p o n p r o m p t n o t i f i c a t i o n t o t h e C A S
T o w T r u c k D r i v e r o f t h e i n c i d e n t b y C H P a n d / o r T O C a n d s e v e r i t y o f t r a f f i c c o n g e s t i o n a t t h e t i m e
o f t h e i n c i d e n t .
M e a s u r e = T h e a v e r a g e m o n t h l y p e r f o r m a n c e s t a n d a r d f o r r e s p o n s e t i m e b y C A S
T o w T r u c k d r i v e r s t o i n c i d e n t s o n t h e L a n e s i s e s t a b l i s h e d a t 2 0 m i n u t e s p e r c a l l .
M e a s u r e m e n t S o u r c e : R e s p o n s e T i m e R e p o r t f r o m C O N T R A C T O R I n t r a n e t
P E R F O R M A N C E M E A S U R E M E N T S F O R C U S T O M E R S E R V I C E A N D V I O L A T I O N P R O C E S S
A 1 - 3
ORCOA Exhibit A
Attachment 1 -Performance Measures
1. Violators Converted to Account Holders
Measure=% -8% or more of non account violators converted to new accounts
measured on a quarterly basis and 10% as the aggregate level on an annual basis.
Measurement Source: RAMS Reports
2. Violation Collection Rate {CONTRACTOR Activities)
Measure= % -70% or more of violations will be resolved by CONTRACTOR without
referral to outside collection, measured on a quarterly basis and 74% as the
aggregate level .on an annual basis.
Measurement Source: RAMS
3. Quality Control/Customer Satisfaction Calls to Customers
Measure= the Customer Service Management Team will place at least 75
outbound calls per month as a follow-up to incoming calls made into the Customer
Service Center. Any open customer service items identified in follow calls will be
reviewed and addressed within 2 business days of communicating with the
customer.
Measurement Source: CONTRACTOR log and RAMS notes on customer
accounts.
4. Call Answering
Measure= No more than 4% of call center calls (based on CSC Representative and IVR
handled calls) measured on a monthly basis will be abandoned and the call wait time
monthly average will not exceed 120 seconds.
Measure Source: Phone system reports
5. Processing Response Time
Measure= All received mail, fax, email (correspondence) or personal
call/messages, including payments, must be responded to within 2 business days of
receipt, measured on a monthly basis.
Measurement Source: Daily productivity report.
A1-4
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- - - ~ - - - - - - - - - - - - - - - - - - - - - - - � - - -
O R C O A E x h i b i t A
A t t a c h m e n t 1 - P e r f o r m a n c e M e a s u r e s
P E R F O R M A N C E M E A S U R E M E N T S F O R I N F O R M A T I O N T E C H N O L O G Y
1 . R A M S S y s t e m U p t i m e
M e a s u r e = T h e I T g r o u p w i l l m a i n t a i n 9 9 % a v a i l a b i l i t y o f t h e R A M S s y s t e m , m e a s u r e d
o n a m o n t h l y b a s i s a n d a v e r a g e d f o r e a c h t w e l v e m o n t h p e r i o d .
S y s t e m d o w n t i m e m a y b e s c h e d u l e d a t a n y t i m e b e t w e e n G : O O P M a n d G : O O A M , M o n d a y
t h r o u g h F r i d a y , a n d a t a n y t i m e o v e r t h e w e e k e n d , i n o r d e r t o c o m p l e t e r e p a i r s ,
f o r m a i n t e n a n c e p u r p o s e s , o r t o u p g r a d e s o f t w a r e , e t c . T h e r e q u i r e d u p t i m e f o r
e a c h R A M S s u b - s y s t e m i s s p e c i f i e d b e l o w . A n y u n s c h e d u l e d d o w n t i m e d u r i n g t h e s e
h o u r s w i l l c o u n t t o w a r d s t h e t o t a l d o w n t i m e h o u r s . E v e n t s o u t s i d e t h e c o n t r o l o f t h e
I T g r o u p t h a t m a y c a u s e R A M S s y s t e m d o w n t i m e w i l l n o t c o u n t t o w a r d s t h e t o t a l
d o w n t i m e h o u r s . A n e x a m p l e o f t h i s t y p e o f e v e n t w o u l d b e s u b s y s t e m s r e q u i r i n g 2 4 -
h o u r a c c e s s m a y n e e d t o b e t a k e n d o w n f o r m a i n t e n a n c e : i f t h e p r o d u c t i o n d a t a b a s e
s e r v e r n e e d s m a i n t e n a n c e , i t m a y n e e d t o b e t a k e n o f f l i n e . H o w e v e r t h e i n - l a n e
s y s t e m w i l l c o n t i n u e t o g a t h e r d a t a . W h e n t h e p r o d u c t i o n s e r v e r c o m e s b a c k o n - l i n e ,
i t w i l l p i c k u p a n d p r o c e s s s t o r e d d a t a . N o t r a n s a c t i o n s w i l l b e l o s t . T h e i n - l a n e s e r v e r
s t o r e s d a t a f o r u p t o 9 0 d a y s a n d c a n s t o r e i t l o n g e r i f n e c e s s a r y .
T h e s y s t e m s t h a t c o m p r i s e t h e R A M S s y s t e m a r e d e f i n e d a s :
l . P r o d u c t i o n d a t a b a s e s e r v e r ( 2 4 h r . a c c e s s r e q u i r e d )
2 . B a c k u p r e p o r t i n g s e r v e r ( 7 : 0 0 a m t o 7 : 0 0 p m a c c e s s r e q u i r e d )
3 . A p p l i c a t i o n s e r v e r ( 2 4 h r . a c c e s s r e q u i r e d )
4 . l n t e r o p f u n c t i o n s ( 2 4 h r . a c c e s s r e q u i r e d }
5 . W e b / F T P s e r v e r ( 2 4 h r . a c c e s s r e q u i r e d }
6 . I m a g e s e r v e r ( 2 4 h r . a c c e s s r e q u i r e d }
7 . D M V c o n n e c t i o n ( A c c e s s i s d e p e n d e n t u p o n D M V a n d l i n e c a r r i e r ) ( 7 : 0 0 a m
t o 7 : 0 0 p m a c c e s s r e q u i r e d )
M e a s u r e m e n t S o u r c e : T h e C O N T R A C T O R I T g r o u p w i l l k e e p a r e c o r d o f
a l l d o w n t i m e o n a m o n t h l y b a s i s , a n d a n y q u a l i f y i n g u n s c h e d u l e d
d o w n t i m e w i l l b e u s e d t o c a l c u l a t e R A M S s y s t e m u p t i m e f o r t h e m o n t h . I n
o r d e r t o m a i n t a i n a n d / o r s u r p a s s t h i s m e a s u r e , t h e I T g r o u p w i l l m a i n t a i n
a c o m p l e t e t e s t e n v i r o n m e n t s o t h a t M i c r o s o f t s e r v i c e p a c k s a n d
p a t c h e s , a n t i - v i r u s u p d a t e s , R A M S p a t c h e s a n d f i x e s , e t c . , c a n b e f u l l y
t e s t e d b e f o r e b e i n g m o v e d t o p r o d u c t i o n .
2 . N e t w o r k U p t i m e
A 1 - 5
ORCOA Exhibit A
Attachment 1 -Performance Measures
Measure= The IT group will maintain 99% availability of the 91 Express Lanes network,
measured on a monthly basis and averaged for each twelve month period.
System downtime may be scheduled at anytime between 6:00PM and 6:00AM, Monday
through Friday, and at any time over the weekend, in order to complete repairs,
for maintenance purposes, or to upgrade software, etc, The required uptime for
each network sub-system is specified below under item 3, 91 Express Lanes
Performance Standards.
Unscheduled downtime during these hours will count towards the total downtime
hours. Events outside the control of the IT group that may cause network downtime
will not count towards the total downtime hours. Examples of this type of event would
be an ISP or telecom provider outage or problems caused by third party contractors
of AG~NCIES, Lessor or other tenants working in the building.
3. SUB-SYSTEMS 91 EXPRESS lANES PERFORMANCE STANDARDS
The sub-systems that comprise the 91 Express Lanes network infrastructure are
defined as:
1. CSC Tl link (7:00am to 7:00pm access required)
2. AGENCIES Tl link {7:00am to 7:00pm access required)
3. Toll Zone network link, including fiber and switches (24 hr. access required)
4. Internet Tl link (24 hr. access required)
5. End user nodes (7:00am to 7:00pm access required for 90% of users)
6. TOC access (24 hr. access required)
Measurement Source: The IT group will keep a record of all downtime
on a monthly basis, and any qualifying unscheduled downtime will be
used to calculate network system uptime for the month. In order to
maintain and/or surpass this measure, the IT group will keep a
reasonable stock of spare parts and equipment support contracts are
maintained.
A1-6
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O R C O A E x h i b i t A
A t t a c h m e n t 1 - P e r f o r m a n c e M e a s u r e s
P E R F O R M A N C E M E A S U R E S F O R A C C O U N T I N G
1 . A c c o u n t i n g T a s k s
M E A S U R E = A l l a c c o u n t i n g t a s k s a r e t o b e a c c u r a t e , p r o p e r l y a u t h o r i z e d , f u l l y
d o c u m e n t e d , a n d c o m p l e t e d i n a c c o r d a n c e w i t h d e a d l i n e s a s d e t a i l e d i n i t e m s A - H
b e l o w .
M e a s u r e m e n t S o u r c e : A G E N C I E S a n d C O N T R A C T O R j o u r n a l e n t r i e s ,
r e c o n c i l i a t i o n s , f i n a n c i a l r e p o r t s a n d o t h e r i n f o r m a t i o n a v a i l a b l e .
M e a s u r e m e n t N o t e s : T h e p e r f o r m a n c e m e a s u r e m e n t s h a l l b e t o n o t
e x c e e d t h r e e ( 3 ) e x c e p t i o n s p e r m o n t h p e r A G E N C Y f o r a l l a c c o u n t i n g
t a s k s n o t e d i n i t e m s A - H b e l o w . T h e g o a l i s f o r C O N T R A C T O R t o p r o v i d e
a c c u r a t e a n d t i m e l y r e c o r d i n g o f a l l a c c o u n t i n g t r a n s a c t i o n s . P r o p e r
r e v i e w s a n d r e c o n c i l i a t i o n s s h a l l b e p e r f o r m e d b y C O N T R A C T O R t o e n s u r e
t h a t a n y e r r o r s w i l l b e c o r r e c t e d i n a t i m e l y m a n n e r .
E x c e p t i o n s w i l l e x c l u d e c i r c u m s t a n c e s t h a t a r e d e e m e d b e y o n d
C O N T R A C T O R c o n t r o l . E x a m p l e s o f s u c h c i r c u m s t a n c e s w o u l d b e a t h i r d
p a r t y f a i l u r e t o p r o v i d e i n f o r m a t i o n t i m e l y s u c h a s b a n k i n g i n f o r m a t i o n o r
i n t e r o p e r a b i l i t y i n v o i c e s o r s y s t e m f a i l u r e s w h e t h e r h a r d w a r e o r s o f t w a r e
r e l a t e d .
A . M o n t h E n d j o u r n a l e n t r i e s a r e t o b e t r a n s m i t t e d t o A G E N C I E S a c c o u n t i n g b y
t h e e n d o f t h e 3 r d b u s i n e s s d a y f o l l o w i n g m o n t h e n d i n c l u d i n g :
" M i n i m u m m o n t h l y f e e a c c r u a l
" C r e d i t C a r d p r o c e s s i n g f e e s a c c r u a l
" C u s t o m e r C o l l e c t i o n s a n d V i o l a t i o n s C o l l e c t i o n s a c c r u a l
" T a x a n d L o t t e r y i n t e r c e p t a c c r u a l
" A c c o u n t s R e c e i v a b l e ( A / R ) a n d A c c o u n t s P a y a b l e ( A / P ) O t h e r
l n t e r o p a c c r u a l
B . D a i l y j o u r n a l e n t r i e s f o r F r i d a y t h r o u g h S u n d a y a r e t o b e t r a n s m i t t e d t o
A G E N C I E S b y C O N T R A C T O R b y t h e e n d o f t h e b u s i n e s s d a y o n M o n d a y . D a i l y
j o u r n a l e n t r i e s i n c l u d e t h e c a s h r e c e i p t s j o u r n a l e n t r y f o r v i o l a t i o n s c o l l e c t e d
t h e p r e c e d i n g d a y a n d c a s h r e c e i p t s / a d j u s t m e n t s j o u r n a l e n t r y f o r a c t i v i t y o n
c u s t o m e r a c c o u n t s f r o m t h e p r e c e d i n g d a y .
C . D a i l y j o u r n a l e n t r i e s f o r M o n d a y t h r o u g h T h u r s d a y a r e t o b e t r a n s m i t t e d t o
A G E N C I E S b y C O N T R A C T O R b y t h e e n d o f t h e f o l l o w i n g b u s i n e s s d a y .
A 1 - 7
ORCOA Exhibit A
Attachment 1-Performance Measures
D. The following Month-End information is to be transmitted to AGENCIES
accounting by the end of the 3rd business day following each month end:
• Gift Certificate activity reconciliation
• Amortization of Prepaid expenses schedule
• Expense accrual information/Backup
• Provide full month reconciliation of daily cash, check, credit card bank
deposit to RAMS
E. The following information/reconciliations are to be given to AGENCIES
accounting by the end of the 15th business day following each month end:
• Provide Customer prepaid toll sub ledger
• Reconcile customer refunds per IFAS and/or EDEN A/P to RAMS
activity for the month
• Provide Transponder inventory results
• Substantiate/verify customer transponder deposits in RAMS
• Substantiate/verify customer promo tag deposit account balance
F. The following information is to be given to AGENCIES accounting on a weekly
basis (by the following Friday following each week end):
• TCA A/P and A/R interoperability backup/information
• Reconciliation of daily cash,· check, credit card back deposit to
RAMS
G. A/R Violation/Bad Debt analysis of outstanding receivables is to be given to
AGENCIES accounting on a quarterly basis, (by the 15th business day following
quarter end).
H. Process all customer refunds, violator refunds and approved expenditures
through IFAS A/P batches, EDEN A/P batches and/or the revolving fund on a
weekly basis; due to AGENCIES by the close of business every Monday. A/P
and revolving fund batches are to be completed with appropriate backup and
expenditure authorization.
Total errors for all the above 8 accounting performance measures (in
aggregate) cannot exceed three (3) per month per AGENCY.
A1-8
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O R C O A E x h i b i t A
A t t a c h m e n t 2 - R e v e n u e A l l o c a t i o n
B a n k p r o c e s s i n g c r c d r t
c a r d t r a r s J C t 1 0 n ~
M a s t e r C u s t o d 1 J I A c c o u n t �
C a s h t r a n s a c t t o n s . f r o m
C O N T R A C T O R
~ - - - - - - - - - - - - - - - - - - -
I l l
~ ~ - - - - - - - - - - - - - - - - - - - - - - - - -
O C T A b a n k R C T C t r u s t e e b r n k
1 1 1 R e c o r d i n g b a l a n c e s ; N o R i g h t t o F u n d s C o n f e r r e d . O C T A a n d R C T C a g r e e t h a t a n y r e c o r d i n g i n O C T A ' s a c c o u n t i n g l e d g e r s ,
b o o k s a n d / o r r e c o r d s o f p r e p a i d C u s t o m e r A c c o u n t b a l a n c e s o r o f a n y o t h e r C u s t o m e r A c c o u n t f u n d s i n t h e M a s t e r
C u s t o d i a l A c c o u n t i s 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 , f o r t h e b e n e f i t o f O C T A a n d R C T C , a n d s h a l l c o n f e r n o e n t i t l e m e n t t o o r
o w n e r s h i p o r b e n e f i c i a l i n t e r e s t i n a n y r e c o r d e d a m o u n t s t o O C T A , e x c e p t O C T A ' s i n t e r e s t i n h a v i n g t h e a m o u n t s
p r o p e r l y a l l o c a t e d a n d t r a n s f e r r e d a s p r o v i d e d h e r e u n d e r a n d i n t h e M a s t e r 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 . A n y s u c h
a m o u n t s t h a t a p p e a r o n t h e O C T A b o o k s a n d l e d g e r s a r e h e l d b y O C T A s t r i c t l y i n t r u s t f o r t h e b e n e f i t o f R C T C , O C T A , o r
t h e c u s t o m e r i n q u e s t i o n , a s a p p l i c a b l e , a n d O C T A s h a l l h a v e n o r i g h t , u n l e s s a p p r o v e d i n w r i t i n g b y R C T C ' 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 d i s b u r s e , a s s i g n , h y p o t h e c a t e , p l e d g e , o r t r a n s f e r , w h e t h e r v o l u n t a r i l y , i n v o l u n t a r i l y o r
b y o p e r a t i o n o f l a w , s u c h f u n d s . F u r t h e r , s u c h f u n d s m a y b e d i r e c t e d f o r d i s b u r s e m e n t b y t h e C O N T R A C T O R a s p r o v i d e d
i n t h i s O R C O A 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 t o b y R C T C a n d O C T A , a s s e t f o r t h h e r e i n , a n d s h a l l b e s u b j e c t t o 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 a n d i n t h e M a s t e r C u s t o d i a l A g r e e m e n t .
O C T A R C T C _ _ _ _ _ _ ~
" 1 C O N T R A C T O R a c k n o w l e d g e s t h a t C O N T R A C T O R i s a n i n t e r m e d i a r y o f R C T C a n d O C T A h e r e u n d e r a n d h a s n o b e n e f i c i a l
i n t e r e s t i n a n y f u n d s p r o c e s s e d b y C O N T R A C T O R , o r h e l d o r d i s t r i b u t e d b y t h e C u s t o d i a n .
C O N T R A C T O R _ _ _ _ _ _ _ _ _
" A 2 - 1
ORCOA Exhibit A
Attachment 3 -Express Lane Operation Statistics
This Attachment contains the following Express Lane Operation Statistics:
1) Current Anaheim and Corona Facilities
2) Weekly Status Updates
3) List of User Fees
1. Current Anaheim and Corona Facilities
Anaheim Facilitv
As part of the acquisition of the 91 Express Lanes franchise, OCTA retained the office space
located in Anaheim, California, which houses staff supporting the day-to-day operations of the
91 Express Lanes including violations and other mail processing, accounting and information
systems functions, and traffic operations.
The Anaheim processing department receives approximately
160,000 pieces of US Mail annually and processes over 47,000
customer and violation payments for the Orange County portion of
the 91 Express lanes. It is anticipated these volumes will increase
to approximately 175,000 pieces of mail and 80,000 customer and
violations payments commensurate with the expected increase in
the number of active accounts related to the opening of the Express Lanes in Riverside County.
Many customers of the OCTA express lanes will use the contiguous express lanes in Riverside
County supporting more efficient cooperative toll operations.
The Anaheim facility is also home to the Traffic
Operations Center (TOC), which is staffed 24 hours a
day, 7 days per week. In this center, traffic conditions
on the SR91 general-purpose lanes and 91 Express
Lanes are monitored and the 91 Express Lanes
Customer Assistance Patrol is dispatched and/or the
California Highway Patrol notified, when needed.
The traffic operations staff also assists with license plate reviews of vehicles that enter the 91
Express Lanes without a transponder or which have a defective transponder. On average, staff
conducts a total of 120,000 reviews each month for the Orange County portion of the 91
Express Lanes. It is anticipated license plate reviews will increase commensurate with the
growth in total transactions resulting from the opening of the Riverside County Express Lanes .
A3-1
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O R C O A E x h i b i t A
A t t a c h m e n t 3 - E x p r e s s L a n e O p e r a t i o n S t a t i s t i c s
A n a h e i m F a c i l i t y A d d r e s s :
1 8 0 N . R i v e r v i e w D r i v e , S u i t e 2 0 0 a n d 2 5 5
A n a h e i m , C A
C o r o n a F a c i l i t y
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 S e r v i c e C e n t e r i s l o c a t e d i n R i v e r s i d e C o u n t y , i n C o r o n a . T h i s
4 , 2 0 0 s q u a r e f e e t f a c i l i t y h o u s e s t h e c u s t o m e r s e r v i c e r e p r e s e n t a t i v e s w h o o p e r a t e t h e c a l l
c e n t e r a n d w a l k - i n s e r v i c e a r e a . C u s t o m e r s a t t h i s f a c i l i t y c a n o p e n a c c o u n t s , u p d a t e t h e i r
e x i s t i n g a c c o u n t s o r i n q u i r e a b o u t t h e i r a c c o u n t s t a t u s . A p p r o x i m a t e l y 1 , 0 0 0 c u s t o m e r s v i s i t t h e
C u s t o m e r S e r v i c e C e n t e r o n a m o n t h l y b a s i s . O n a v e r a g e , t h e c a l l c e n t e r r e c e i v e s 7 , 0 0 0 c a l l s
w e e k l y , w i t h c u s t o m e r s e r v i c e r e p r e s e n t a t i v e s h a n d l i n g o v e r 5 0 p e r c e n t o f t h e c a l l s , a n d t h e
i n t e r a c t i v e v o i c e r e s p o n s e ( I V R ) t e l e p h o n e s y s t e m h a n d l i n g t h e b a l a n c e . I t i s a n t i c i p a t e d
i n c o m i n g c a l l s w i l l i n c r e a s e c o m m e n s u r a t e w i t h e x p e c t e d g r o w t h i n t h e n u m b e r o f a c c o u n t s
r e l a t e d t o t h e o p e n i n g o f t h e E x p r e s s L a n e s i n R i v e r s i d e C o u n t y .
I n a d d i t i o n t o h o u s i n g t h e C u s t o m e r S e r v i c e C e n t e r ,
t h e C o r o n a f a c i l i t y h a s a t r a n s p o n d e r f u l f i l l m e n t a r e a .
H e r e , s t a f f i s r e s p o n s i b l e f o r m a n a g e m e n t o f t h e
t r a n s p o n d e r i n v e n t o r y , w h i c h i n c l u d e s r e c e i p t , s t o r a g e ,
d i s t r i b u t i o n , w a r r a n t y a d m i n i s t r a t i o n , r e p l a c e m e n t a n d
d i s p o s a l . O v e r t h e l a s t t e n y e a r s t r a n s p o n d e r
d i s t r i b u t i o n h a s a v e r a g e d a n e t o f a p p r o x i m a t e l y 1 2 0 0
p e r y e a r . I t i s a n t i c i p a t e d t r a n s p o n d e r d i s t r i b u t i o n w i l l
i n c r e a s e c o m m e n s u r a t e w i t h t h e e x p e c t e d g r o w t h i n t h e n u m b e r o f a c c o u n t s r e s u l t i n g f r o m t h e
o p e n i n g o f t h e E x p r e s s l a n e s i n R i v e r s i d e C o u n t y . P r i o r t o s t a r t u p o f t o l l i n g o n t h e R i v e r s i d e
s e c t i o n , s t a f f i n g w i l l b e i n c r e a s e d a n d t r a i n e d i n p r e p a r a t i o n .
C u s t o m e r S e r v i c e C e n t e r A d d r e s s :
2 2 7 5 S a m p s o n S t r e e t , S u i t e 1 0 0
C o r o n a , C A
A 3 - 2
ORCOA Exhibit A
Attachment 3-Express Lane Operation Statistics
2. Weekly Status Updates
Weekly status updates shall be provided to OCTA and RCTC in a format consistent with the
format used under the Existing Operator Agreement, and satisfactory to the AGENCIES. The
weekly status updates shall include the following:
• traffic and revenue including weekly trip and revenue statistics
• month to date trip information
• fiscal year to date data
• weekday peak volume information
• customer service center in violation processing performance measure report
including
o transponder distribution
o incoming call activity
o carpool account update
o incoming e-mail activity
o congestion related complaints
o tore update
• operation highlights including
o on Road operations
o ETIM/information systems
o finance and administration
o marketing support
• follow-up items
• upcoming calendar of activities
• upcoming tours
A3-3
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" O R C O A E x h i b i t A
A t t a c h m e n t 3 - E x p r e s s L a n e O p e r a t i o n S t a t i s t i c s
3 . L i s t o f U s e r F e e s
W h e n r e q u i r e d , t h e C O N T R A C T O R s h a l l e n t e r t h e f o l l o w i n g u s e r f e e s i n t o t h e s y s t e m .
F e e s D e s c r i p t i o n F e e
A m o u n t
F e e R e c u r r e n c e
C o n v e n i e n c e P l a n F e e $ 7 5
O n e - t i m e f e e p e r T r a n s p o n d e r e n r o l l m e n t , o r a d d i t i o n
o f t r a n s p o n d e r t o a c c o u n t
E x p r e s s C l u b M e m b e r s h i p F e e $ 2 0 E a c h c a l e n d a r m o n t h p e r T r a n s p o n d e r
E x p r e s s C l u b A A A
$ 1 8 E a c h c a l e n d a r m o n t h p e r T r a n s p o n d e r M e m b e r s h i p F e e
S t a n d a r d P l a n M i n i m u m F e e
$ 7 I n t o l l s . E a c h c a l e n d a r m o n t h p e r T r a n s p o n d e r ( t r a v e l o n t h e 9 1 o n l y }
P r e p a i d T o l l A m o u n t T o O p e n
$ 4 0 A C r e d i t C a r d A c c o u n t
I n t e r n a l I E x t e r n a l A n y t r a n s p o n d e r a d d e d t o a c a s h a c c o u n t w i l l i n c u r a
J r a n s p o n d e r D e p o s i t C a s h $ 8 5 / $ 3 5 ( i n t e r n a l t a g ) o r $ 5 0 { e x t e r n a l t a g ) f e e . A d e p o s i t o f
$ 1 0 0 $ 5 0 i s r e q u i r e d f o r e v e r y t r a n s p o n d e r o n a c a s h A c c o u n t
a c c o u n t .
A u t o m a t i c a l l y R e p l e n i s h / E a c h t i m e a c c o u n t b a l a n c e f a l l s b e l o w $ 1 0 , o r o n e -
$ 3 0 w e e k ' s u s a g e a v e r a g e d o v e r a t h r e e - m o n t h p e r i o d C r e d i t C a r d A c c o u n t
( w h i c h e v e r i s g r e a t e r }
A u t o m a t i c a l l y R e p l e n i s h /
$ 5 0 E a c h t i m e a c c o u n t b a l a n c e f a l l s b e l o w $ 2 5 C a s h A c c o u n t
D e a c t i v a t i o n F e e $ 2 5
C r e d i t C a r d N o t S u f f i c i e n t
$ 2 5 F u n d s F e e
R e t u r n C h e c k N o t S u f f i c i e n t
$ 2 5 F u n d s F e e
A d d i t i o n a l S t a t e m e n t $ 2
" A 3 - 4
ORCOA Exhibit A
Attachment 3 -Express Lane Operation Statistics
Fees Description Fee
~mount Fee Recurrence
Internal Mount Transponder
$35 trransponder is lost, stolen or damaged Replacement
External-Mount Transponder
$50 External Transponder is lost, stolen or damage Replacement
Fail to return internal mount
$35 Upon termination or deactivation of account !Transponder
Fail to return External-Mount
!Transponder $50 Upon termination or deactivation of account
The user fee may be amended in the AGENCIES' sole discretion. Amendments to the user fees
shall be effective after 30 days of delivery of a revised fee schedule. Any such revised fee
schedule shall replace this list of User Fees.
A3-5
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O R C O A E x h i b i t A
A t t a c h m e n t 4 - C O N T R A C T O R E x p e n s e R e s p o n s i b i l i t i e s
D e p t 1 0 - A d m i n i s t r a t i o n
1 Q u a r t e r l y A V O c o u n t s a s s p e c i f i e d i n t h e S C A G M O U
2 O f f i c e b u s i n e s s l i c e n s e
3 D o c u m e n t d e s t r u c t i o n - A n a h e i m a n d C o r o n a
4 C o m p a n y b u s i n e s s c h e c k s
s S t o r a g e o f C S C r e c o r d s
6 I n s p e c t i o n & c e r t i f i c a t i o n o f f i r e e x t i n g u i s h e r s
7 P l a n t c a r e a t A n a h e i m
8 O f f i c e c l e a n i n g - C o r o n a
9 A n a h e i m r e c o r d s t o r a g e
1 0 D r a i n c l e a n i n g & p l u m b i n g I s s u e s - A n a h e i m & C o r o n a k i t c h e n
1 1 C o u r i e r s e r v i c e s a r r a n g e d b y C O N T R A C T O R p e r s o n n e l
1 2 S h i p p i n g c h a r g e s r e l a t e d t o n o r m a l b u s i n e s s
1 3
1 4
1 5
1 6
E q u i p m e n t l e a s e s f o r c o p i e r s
O f f i c e s u p p l i e s - p r i n t e r c o n s u m a b l e s
L u n c h r o o m s u p p l i e s ( e . g . k i t c h e n m a t s , d r a i n s t o p p e r , e t c . )
O f f i c e s u p p l i e s - C o n s u m a b l e s u p p l i e s s u c h a s p a p e r , p e n s ,
p e n c i l s , b o x e s , f o l d e r s , e t c .
1 7 L e t t e r o f C r e d i t F e e
T r a f f i c c o u n t s w i l l n o t b e r e q u i r e d f o r R C T C
E x c l u d e s u n i t s r e q u i r e d f o r n e w s e c u r i t y
m e a s u r e s
E x c l u d e s a n y a d d i t i o n a l u n i t s o r u p g r a d e u n i t s a s
r e q u e s t e d b y A G E N C I E S t o s t o r e m a t e r i a l s o t h e r
t h a n w h a t i s c u r r e n t l y b e i n g s t o r e d a n d r e q u i r e d
f o r n e w s e c u r i t y m e a s u r e s .
S p e c i a l s e r v i c e s f o r A G E N C I E S f o r
m a r k e t i n g / o t h e r p i c k u p s a r e c h a r g e d t o
A G E N C I E S
S h i p p i n g c h a r g e s f o r r e t u r n s o n
p a r t s / i n v e n t o r y / e q u i p m e n t o r i g i n a l l y p a i d f o r b y
A G E N C I E S w i l l b e A G E N C I E S o b l i g a t i o n
A n a h e i m a n d C o r o n a
A G E N C I E S p u r c h a s e p r i n t e r s a n d p a y f o r
m a i n t e n a n c e a g r e e m e n t ( C a r e P a c k ) .
D o e s n o t i n c l u d e m e e t i n g s u p p l i e s f o r A G E N C I E S '
m e e t i n g s s u c h a s d r i n k s a n d l u n c h e s
D o e s n o t i n c l u d e s m a l l o f f i c e e q u i p m e n t s u c h a s
c a l c u l a t o r s , h e a d s e t s , s p e c i a l r e q u e s t e d s u p p l i e s ,
e t c . ,
" A 4 - 1
----------------------------·--------------··-·-
ORCOA Exhibit A
Attachment 4 -CONTRACTOR Expense Responsibilities •
Dept 35 -Information Technology (IT)
1 McAfee Anti Virus Excludes any vendor program changes.
2 Minor parts such as cables or connectors Minor corrective maintenance. Excludes major
hardware change out.
Monitoring of security system. Excludes
3 Security System for Offices, Tollbooths & Data Centers upgrades/repairs/contract exclusions. Additional
cost as a result of added security measures or
upgrades shall be AGENCIES' obligation.
Does not include additional storage units to store
4 Tape Storage for Daily Backup Tapes materials other than what is currently being
stored as the result of changes in AGENCIES
policy
Combined both long distance and local charge.
s Telephone Charges -including tele/web conferencing Excludes any changes in current
coverage/repairs/replacements/upgrades.
6 Internet Services Excludes any changes in current
coverage/repairs/replacements/upgrades.
7 T-1 Lines Excludes any changes in current
coverage/repairs/replacements/upgrades • 8 Private Phone Line - OMV
Excludes any changes in current
coverage/repairs/replacements/upgrades
9 Security Audits PCl/DSS related audits
A4-2 •
" O R C O A E x h i b i t A
A t t a c h m e n t 4 - C O N T R A C T O R E x p e n s e R e s p o n s i b i l i t i e s
D e p t 2 0 - O p e r a t i o n s - R o a d w a y
1 E m p t y c e s s p o o l & s e p t i c t a n k s f o r b o o t h s R o u t i n e s e r v i c e o n l y - D o e s n o t i n c l u d e r e p a i r s o r
m a i n t e n a n c e
2 C h a n g e l o c k s , r e p l a c e k e y s f o r b o o t h s D o o r a n d l o c k r e p a i r s n o t i n c l u d e d
3 R o a d w a y d r a i n c l e a n i n g R o u t i n e c l e a n i n g - D r a i n c l e a n i n g a s a r e s u l t o f
c o n s t r u c t i o n o r u n u s u a l e v e n t s n o t i n c l u d e d
4 M a i n t e n a n c e o f o n - r o a d b o o t h g e n e r a t o r s
s S m a l l p a r t s & t o o l s & m i n o r r e p a i r s u p p l i e s
6 L a n d s c a p e m a i n t e n a n c e o n r o a d R o u t i n e w e e d c o n t r o l a n d g e n e r a l m a i n t e n a n c e .
7 V e h i c l e D e c a l s
8 M i n o r p l u m b i n g r e p a i r s f o r b o o t h s
M i n o r m a i n t e n a n c e o f h i g h w a y s i g n a g e - D o e s
9 H i g h w a y s i g n a g e n o t i n c l u d e r e p a i r a n d r e p l a c e m e n t . C h a n g e s i n
d e s i g n / l o g o s n o t i n c l u d e d . R e l a t e s t o g r a f f i t i
r e m o v a l .
R o u t i n e g l a r e - g u a r d s c r e e n r e p l a c e m e n t -
1 0 G l a r e g u a r d s c r e e n s R e p l a c e m e n t d u e t o d a m a g e o r d e s t r u c t i o n b y
a c c i d e n t s n o t i n c l u d e d .
1 1 C h a n n e l i z e r s A p p l i e s t o n o r m a l r e p l a c e m e n t . S p e c i a l p r o j e c t s , " s p a c i n g c h a n g e s o r c o n s t r u c t i o n n o t i n c l u d e d .
A p p l i e s t o n o r m a l r e p l a c e m e n t . R e p l a c e m e n t f o r
1 2 S a l e s t a x f o r c h a n n e l i z e r s s p e c i a l p r o j e c t s , s p a c i n g c h a n g e s o r c o n s t r u c t i o n
n o t i n c l u d e d .
R o u t i n e r e p l a c e m e n t d u e t o u s e - R e p l a c e m e n t
1 3 R o a d w a y r e f l e c t o r s r e l a t e d t o s p a c i n g c h a n g e s , c o n s t r u c t i o n o r o t h e r
s p e c i a l p r o j e c t s n o t i n c l u d e d
1 4 U t i l i t i e s - O n - r o a d w a t e r
1 5 T o w t r u c k f u e l
1 6 T o w t r u c k m a i n t e n a n c e
1 7 P a r t s f o r m i n o r r e p a i r s o f v e h i c l e s
1 8 V e h i c l e c l e a n i n g & l i c e n s e s
1 9 D r i v e r & M a n a g e r u n i f o r m s
" A 4 - 3
ORCOA Exhibit A
Attachment 4 -CONTRACTOR Expense Responsibilities •
'Dept 22 -Operations -ETTM
Traffic Systems, Electronic Toll Systems, Violation Systems and Phone Systems Maintenance
;,~m, Expense Description Comments
I '' ' ' ·'' ' ,,
Yearly preventative maintenance contractor for air 6 Bi-monthly service inspections. On call duty 24-
7 and includes filters. Does not cover costs for 1 conditioning units located at tollbooths and the Liebert 5-
repairs and parts replacements. Does not cover ton backup units in Anaheim
emergency maintenance and/or bad parts.
Covers annual oil, air filter and element
2 Yearly preventative maintenance for Anaheim generator replacement and disposal of same. Does not cover
costs for repairs and parts replacements.
3 Fire Suppression System for Data Center Does not cover costs for repairs and parts
replacements.
Costs incurred due to damage/upgrades not
included. AGENCIES responsible for all costs for
4 VMS light bulbs, pixel boards, and filters repairs/upgrades outside routine costs of
replacement parts for light bulbs, pixel boards and
filters.
Minor electrical connections, maintenance
supplies and small hand tools such as connectors,
5 Miscellaneous electrical connections, maintenance supplies splicers, breakers, wire nuts, wire cutters,
& tools insulation strippers, screw drivers, pliers, work
gloves, screws, nuts, bolts, fuses, duct tape, drill
bits, shovels, etc. • On-road maintenance related to Cofiroute USA
6 Provides Lane Closures for on-road maintenance maintenance obligations. Closures for Caltrans
maintenance performed by Caltrans.
For corrective maintenance purposes -Does not
include upgrades. OCTA high mast lights can be
7 Light sensors relay for high-mast road lights lowered for maintenance. No lift needed. If lift
required to reach lights, AGENCY responsible for
cost of lift.
For corrective maintenance purposes -OCTA high
8 High-mast light bulbs mast lights can be lowered for maintenance. No
lift needed. If lift required to reach lights, AGENCY
responsible for cost of lift.
9 UPS System Maintenance -Toll booths and Data Center Does not include TOC data closet.
10 UPS batteries for Toll booths
Waterproofing and minor roof repair. AGENCIES
11 Toll booth roof repair/waterseal responsible for roof replacement and major
repairs.
12 On road -Trash disposal
13 On road -Electricity
14 Service truck fuel
15 Service truck maintenance
16 Misc main, parts, cleaning & registration
17 Staff uniforms
A4-4 •
" O R C O A E x h i b i t A
A t t a c h m e n t 4 - C O N T R A C T O R E x p e n s e R e s p o n s i b i l i t i e s
D e p t 2 8 - P r o c e s s i n g
' .
1 ' . f t e f ! i " E x p e n s e D e s c r i p t i o n C o m m e n t s '
~ ~ ~ T : ~ ~ l
- ~ ~ 1 . : : ~ :
"
1 A d m i n i s t r a t i v e h e a r i n g D o e s n o t i n c l u d e a n y c h a n g e s t o c u r r e n t p o l i c y
2 H e a r i n g a d m i n i s t r a t i o n c o r r e s p o n d e n c e p o s t a g e D o e s n o t i n c l u d e a n y c h a n g e s t o c u r r e n t p o l i c y
R o u t i n e m a i l i n g s - D o e s n o t i n c l u d e a d d i t i o n a l
3 C u s t o m e r s t a t e m e n t p r e p a r a t i o n , m a i l i n g a n d p o s t a g e i n s e r t s r e q u e s t e d b y A G E N C I E S o r c h a n g e s i n
p o l i c y
4 C o p i e r l e a s e
S u p p o r t s t h e C S C p o s t a g e m e t e r , i n c l u d i n g
5 m a i n t e n a n c e / r e p a i r , p u r c h a s e o f m e t e r t a p e , i n k , o t h e r
s u p p l i e s , e t c .
6 P r e s o r t c h a r g e s f o r b u l k m a i l - Y e a r l y m e t e r p o r t i o n o f
p o s t a g e m a c h i n e l e a s e p a i d t o U S P S
7 P o s t a g e m a c h i n e s u p p l i e s
8 P O B o x D o e s n o t i n c l u d e a d d i t i o n s t o e x i s t i n g n u m b e r o f
P O b o x e s r e q u i r e d b y A G E N C I E S
R o u t i n e p o s t a g e c o s t s r e l a t e d t o c u s t o m e r " t r a n s p o n d e r s , a l l v i o l a t i o n a n d r o u t i n e c u s t o m e r
9 P o s t a g e f o r o u t g o i n g m a i l c o r r e s p o n d e n c e D o e s n o t i n c l u d e s p e c i a l
m a i l i n g s , s p e c i a l p r o j e c t s , m a r k e t i n g , r e q u e s t e d
b y A G E N C I E S o r c h a n g e s i n p o l i c y .
1 0 F o l d i n g a n d m a i l e r m a c h i n e l e a s e s
R e p r i n t s c a u s e d b y l o g o / g r a p h i c c h a n g e s n o t
1 1 O f f i c e s u p p l i e s . l e t t e r h e a d , e n v e l o p e s i n c l u d e d . D o e s n o t i n c l u d e s p e c i a l m a i l i n g s f o r
m a r k e t i n g o r o t h e r n o n - r o u t i n e m a i l i n g s .
" A 4 - 5
ORCOA Exhibit A
Attachment 4 -CONTRACTOR Expense Responsibilities •
T 40 -Customer Service Center (CSC)
~n,i:, Expense Description Comments ~*,~< /" ;,. l;f~.:,,. ~
~~~~~\~ ·-~
Includes replacement name tags only. Does not
1 Name plates for cubicles & offices include additional names tags related to added
cubicles.
2 Plant care at Corona
Does not include destruction of transponders
3 Transponder destruction resulting from AGENCY policy change (e.g.
recall/vendor change/transponder upgrade)
Does not include transponder pickup resulting
4 Transponder pickup from AGENCY policy change (e.g. recall/vendor
change/transponder upgrade)
s PO Box Does not include additions to existing number of
PO boxes required by AGENCIES
6 Supplies for postage meter
7 Out-going voice messaging Does not include AGENCY policy change
8 Lease on Corona postage machine and scale
9 Velcro for transponders
10 Sales tax on velcro
11 letterhead, envelopes, transponder address labels
Materials within the welcome kit are AGENCIES' • 12 Welcome Kit holder/cover obligation. Reprints caused by logo/graphic
changes not included.
13 General office supplies (staples, paper, pens)
14 Transponder envelopes
A4-6 •
"
"
O R C O A E x h i b i t A
A t t a c h m e n t S - R e p o r t i n g R e q u i r e m e n t s
R e p o r t s s h a l l b e s u b m i t t e d a s d e t e r m i n e d b y C O N T R A C T O R a n d A G E N C I E S , u n l e s s
o t h e r w i s e s p e c i f i e d . C O N T R A C T O R s h a l l p r o v i d e r e p o r t s t o t h e A G E N C I E S i n c o m p l i a n c e
w i t h t h e f o l l o w i n g r e p o r t i n g r e q u i r e m e n t s .
" P r e p a i d c u s t o m e r d e p o s i t s r e p o r t b y c u s t o m e r , i n c l u d i n g c u s t o m e r a c c o u n t ,
n a m e a n d b a l a n c e , w i t h t h e a b i l i t y t o i n t e r f a c e w i t h E x c e l . T h e s u m o f t h e d e t a i l
r e c o r d s m u s t a g r e e w i t h t o t a l p r e p a i d d e p o s i t s . T h i s r e p o r t m u s t h a v e t h e a b i l i t y
t o b e r u n f o r s p e c i f i c t i m e p e r i o d s a n d a s o f s p e c i f i c d a t e s a n d m u s t r e c o n c i l e t o
t h e g e n e r a l l e d g e r .
" T r a n s p o n d e r d e p o s i t s r e p o r t b y c u s t o m e r , i n c l u d i n g c u s t o m e r a c c o u n t , n a m e a n d
d e p o s i t , w i t h t h e a b i l i t y t o i n t e r f a c e w i t h E x c e l . T h i s r e p o r t m u s t h a v e t h e a b i l i t y t o
b e r u n f o r s p e c i f i c t i m e p e r i o d s a n d a s o f s p e c i f i c d a t e s a n d m u s t r e c o n c i l e t o
t h e g e n e r a l l e d g e r .
" C u s t o m e r r e f u n d s r e p o r t b y c u s t o m e r , i n c l u d i n g c u s t o m e r a c c o u n t , n a m e
a n d r e f u n d d u e , w i t h t h e a b i l i t y t o i n t e r f a c e w i t h E x c e l . T h i s r e p o r t m u s t
h a v e t h e a b i l i t y t o b e r u n f o r s p e c i f i c t i m e p e r i o d s a n d a s o f s p e c i f i c d a t e s
a n d m u s t r e c o n c i l e t o t h e g e n e r a l l e d g e r .
" C o p i e s o f n e t t i n g 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 C o r r i d o r s A g e n c y ( T C A )
i n t e r o p e r a b i l i t y t r a n s a c t i o n s o n a m o n t h l y b a s i s . T h e n e t t i n g s c h e d u l e
s h o u l d s h o w d a i l y a m o u n t s i n v o i c e d b y T C A , d a i l y a m o u n t s a c c e p t e d b y
t h e A G E N C I E S , d a i l y c r e d i t c a r d f e e s , a n d d a i l y c r e d i t m e m o s
( d i f f e r e n c e b e t w e e n a m o u n t s i n v o i c e d a n d a c c e p t e d ) . T h e n e t t i n g
s c h e d u l e s h o u l d a l s o s h o w d a i l y a m o u n t s i n v o i c e d b y t h e A G E N C I E S t o T C A ,
d a i l y a m o u n t s a c c e p t e d b y T C A , d a i l y c r e d i t c a r d f e e s , d a i l y c r e d i t m e m o s
( b e t w e e n a m o u n t s i n v o i c e d a n d a c c e p t e d ) , a n d t h e n e t a m o u n t o w e d .
" I n f o r m a t i o n a n d d o c u m e n t a t i o n r e g a r d i n g t h e T o l l R o a d f i n a n c i a l
i n f o r m a t i o n s h a l l b e p r o v i d e d t o t h e A G E N C I E S a s r e q u e s t e d a s w e l l a s a n y
a d h o c d e t a i l e d a n d s u m m a r y r e p o r t s .
" W e e k d a y p e a k v o l u m e r e p o r t t o b e u s e d i n c a l c u l a t i n g t h e p o i n t a t
w h i c h t o l l r a t e s s h o u l d b e a d j u s t e d e i t h e r u p o r d o w n . T h i s r e p o r t w i l l
b e p r o d u c e d f o r O C T A a n d R C T C s e p a r a t e l y , c o v e r i n g t h e i r r e s p e c t i v e
r o a d w a y s e c t i o n s .
" Q u a r t e r l y a n a l y s i s o f a c c o u n t s r e c e i v a b l e s / b a d d e b t f o r v i o l a t i o n s a n d
c o l l e c t i o n c u s t o m e r s , i n c l u d i n g h i s t o r i c a l c o l l e c t a b i l i t y d a t a a n d a
d e t a i l b y c u s t o m e r / v i o l a t o r a c c o u n t a n d a m o u n t .
" A 5 - 1
ORCOA Exhibit A
Attachment 6 -Violation Fees
Violation Fees
Violation Notice 1 Violation Notice 2
(Notice of Toll Evasion Violation (Notice of Delinquent Toll Evasion Violation or NDTEV)
or NTEV)
Toll +$Initial penalty fee if paid Toll +$initial penalty fee if paid within 15 days of mailing
within 30 days of NDTEV
Toll +$additional penalty fee if paid after 15 days of
mailing of NDTEV
If there is no response to the Notice of Toll Evasion, or if there is no response to the Notice of
Delinquent Toll Evasion Violation within 60 days of the mailing of the Notice of Delinquent Toll
Evasion Violation, the delinquent penalties shall be considered to be a debt due and owing the
•
AGENCIES, and the AGENCIES may seek recovery in any lawful manner, pursuant to Section •
40267 of the Code.
Collections Stage Penalty***
Notice ofToll Evasion Assignment/OMV Hold Additional penalty fee
Subsequent Demand Notices $100 for the first violation within
one year, $150 for the second
violation within one year and -up
to $****$200 for each additional
violation within one year
***Paid in addition to the toll amount.
**** the maximum penalty assessed by the AGENCIES for any single toll violation shall be no
greater than 20 times the assessing agency's highest system toll in effect as of the date on which
the violation occurs. In no event shall the AGENCIES be required to reduce its maximum penalty
per violation below $150.00.
A6-1 •
"
"
"
O R C O A E x h i b i t A
A t t a c h m e n t 6 - V i o l a t i o n F e e s
T h e V i o l a t i o n F e e s m a y b e a m e n d e d i n t h e A G E N C I E S ' s o l e d i s c r e t i o n . A m e n d m e n t s t o t h e
V i o l a t i o n F e e s s h a l l b e e f f e c t i v e 3 0 d a y s a f t e r d e l i v e r y o f a r e v i s e d v e r s i o n o f t h i s A t t a c h m e n t
A n y s u c h r e v i s e d V i o l a t i o n F e e s s h a l l r e p l a c e t h i s A t t a c h m e n t .
A 6 - 2
OCTA Agreement Number: C-3-1529 •
EXHIBITS
EXHIBIT B
OR CO A
OCTA RCTC CUSA Operating Agreement
AUTHORITY
STATEMENT OF WORK
FOR
91 EXPRESS LANES
Bl
•
•
OCTA Agreement Number: C-3-1529 •
EXHIBITB
RAMS SOFTWARE LICENSE FEE
Capitalized terms used in this Exhibit B. and not otherwise defined herein, shall have the
meaning set forth in the Agreement.
In accordance with this Exhibit B, CONTRACTOR shall invoice AUTHORITY for the following:
1. AUTHORITY's share of the fee due under the Software Installation and license
Agreement, as such agreement may be amended to include COMMISSION as a party. The
annual fee due under the Software Installation and license Agreement shall be divided into
twelve monthly lump sum payments of Seven Thousand Six Hundred Fifty Six Dollars ($7,656).
An amount equal to one-half of the foregoing specified monthly lump sum payment shall be
invoiced to AUTHORITY in accordance with Article 7(C)(l)(b), as applicable, of the Agreement.
Notwithstanding any other provision of the Agreement, the monthly lump sum payment for the
Software Installation and license Agreement, as set forth herein, shall not be subject to
escalation.
2. Any "Additional Fees" payable by AUTHORITY to CONTRACTOR for RAMS changes which
are requested by AUTHORITY pursuant to Section 6(b) of the Software Maintenance
Agreement, as it may be amended from time to time, or any successor provision, not to exceed
One Hundred Fifty Thousand Dollars ($150,000) per year.
3. The sum, agreed upon in writing by AUTHORITY and CONTRACTOR, for non-recurring or
special services performed by CONTRACTOR for the AUTHORITY in respect of the 91 Express
Lanes pursuant to Article 7(B)(l)(b) or 7(C)(l)(c) of the Agreement.
B3
•
•
"
"
"
E X H I B I T C
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T C
O R C O A
O C T A R C T C C U S A O p e r a t i n g A g r e e m e n t
C O M M I S S I O N
S T A T E M E N T O F W O R K
F O R
9 1 E X P R E S S L A N E S
C 1
"
"
"
P R E - O P E R A T I O N S P E R I O D
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T C
1 . C a p i t a l i z e d t e r m s u s e d i n t h i s E x h i b i t C , a n d n o t o t h e r w i s e d e f i n e d h e r e i n , s h a l l
h a v e t h e m e a n i n g s e t f o r t h i n t h e A g r e e m e n t .
2 . I n a c c o r d a n c e w i t h A r t i c l e 4 ( D ) o f t h e A g r e e m e n t , t h e a d d i t i o n a l s e r v i c e s a n d
r e q u i r e m e n t s s p e c i f i e d b e l o w i n c l u d e t h o s e 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 r e q u i r e d o f
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 w h i c h a r e a b o v e a n d b e y o n d w h a t w i l l b e
p r o v i d e d u n d e r t h e J o i n t S t a t e m e n t o f W o r k , E x h i b i t A , a n d i n c l u d e c o s t s a s s o c i a t e d
w i t h t h e P r e - O p e r a t i o n s a n d m o b i l i z a t i o n a c t i v i t i e s , s e r v i c e s a n d w o r k n e c e s s a r y t o
b r i n g t h e R C T C P o r t i o n i n t o o p e r a t i o n w i t h t h e O C T A P o r t i o n ( " P r e - O p e r a t i o n s
S e r v i c e s " ) . T h e P r e - O p e r a t i o n s S e r v i c e s t o b e p r o v i d e d b y C O N T R A C T O R u n d e r t h i s
C O M M I S S I O N S t a t e m e n t o f W o r k s h a l l c o m m e n c e o n t h e E f f e c t i v e D a t e a n d s h a l l b e
c o m p l e t e d b y t h e P r o j e c t e d O p e n i n g D a t e , w h i c h i s i n t e n d e d t o b e a p e r i o d n o t t o
e x c e e d s i x m o n t h s , u n l e s s a n e a r l i e r d a t e i s s p e c i f i e d i n t h e t a b l e b e l o w .
3 . S i x t y ( 6 0 ) d a y s p r i o r t o t h e E f f e c t i v e D a t e C O N T R A C T O R s h a l l s u b m i t t o
C O M M I S S I O N , f o r C O M M I S S I O N ' s r e v i e w a n d w r i t t e n a p p r o v a l , C O N T R A C T O R ' s w o r k
p l a n , i n c l u d i n g a s c h e d u l e , s t a f f i n g p l a n a n d d e t a i l e d c o s t e s t i m a t e b y t h e c a t e g o r i e s
b e l o w , a l o n g w i t h f u l l y b u r d e n e d h o u r l y r a t e s ( u n i t l a b o r r a t e s ) a n d a n e s t i m a t e o f o t h e r
d i r e c t c o s t s a n d e x p e n s e s , f o r t h e P r e - O p e r a t i o n s S e r v i c e s . C O N T R A C T O R s h a l l r e c e i v e
c o m p e n s a t i o n f o r i t s a c t u a l c o s t s , p l u s a m a r k - u p o n d i r e c t l a b o r c o s t s b a s e d o n i t s
C O M M I S S I O N a p p r o v e d a u d i t e d o v e r h e a d r a t e , a g r e e d u p o n p r o f i t , a n d a u t h o r i z e d
r e i m b u r s e m e n t s , f o r a l l P r e - O p e r a t i o n s S e r v i c e s u n d e r t h i s E x h i b i t C a t t h e r a t e s s e t
f o r t h i n C O N T R A C T O R ' s a p p r o v e d w o r k p l a n . T h e w o r k p l a n s h a l l n o t i n c l u d e a m a r k - u p
f o r o t h e r d i r e c t c o s t s . T h e t o t a l c o m p e n s a t i o n f o r t h e P r e - O p e r a t i o n s S e r v i c e s t o b e
p r o v i d e d u n d e r t h i s E x h i b i t C s h a l l n o t e x c e e d $ 1 , 0 7 8 , 6 1 6 w i t h o u t 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 R e p r e s e n t a t i v e . E x t r a W o r k m a y b e a u t h o r i z e d , a s d e s c r i b e d b e l o w ,
a n d i f a u t h o r i z e d , w i l l b e c o m p e n s a t e d a t t h e r a t e s s e t f o r t h i n C O N T R A C T O R ' S
a p p r o v e d w o r k p l a n .
3 . 1 C O N T R A C T O R s h a l l s u b m i t t o C O M M I S S I O N a b i - w e e k l y s t a t e m e n t w h i c h
i n d i c a t e s t h e P r e - O p e r a t i o n s S e r v i c e s c o m p l e t e d , t o t a l c o s t s a n d h o u r s o f s e r v i c e s
r e n d e r e d b y C O N T R A C T O R . T h e s t a t e m e n t s h a l l d e s c r i b e t h e a m o u n t o f s e r v i c e s , w o r k
a n d s u p p l i e s p r o v i d e d s i n c e t h e i n i t i a l c o m m e n c e m e n t d a t e o f t h i s E x h i b i t C , o r s i n c e t h e
s t a r t o f t h e s u b s e q u e n t b i l l i n g p e r i o d s , a s a p p r o p r i a t e , t h r o u g h t h e d a t e o f t h e
s t a t e m e n t . C O M M I S S I O N s h a l l , w i t h i n 4 5 d a y s o f r e c e i v i n g s u c h s t a t e m e n t , r e v i e w t h e
s t a t e m e n t a n d p a y a l l a p p r o v e d c h a r g e s t h e r e o n .
C 3
3.2
RCTC Agreement Number: 13-31-105-00
EXHIBITC
CONTRACTOR shall not be reimbursed for any expenses unless detailed
herein, or authorized in writing by the COMMISSION Representative.
4. For procurement of any materials, equipment or supplies over $1,000 and up to
$25,000 associated with this Exhibit C, Contractor shall obtain a minimum of three
quotes (bids) and select the supplier that provides the lowest responsive bid. Any
materials, equipment or supplies in excess of $25,000 will be procured by Commission,
unless directed otherwise and provided for herein as Extra Work.
5. COMMISSION may request that CONTRACTOR perform Extra Work under this
Exhibit C. As used in this Exhibit C, "Extra Work" means any work which is determined
by COMMISSION to be necessary for the proper completion of the Pre-Operations
Services, but which the parties did not reasonably anticipate would be necessary at the
execution of the Agreement. CONTRACTOR shall not perform, nor be compensated for,
Extra Work without written authorization from the COMMISSION Representative.
6. Cost estimates included in this Exhibit C for Pre-Operations are escalated to FY
2016/2017 dollars, and shall not be subject to escalation pursuant to Article 7(F) of the
Agreement.
1
2
Training for a full-time Office <:oordinator to provide
administrative and logistics support of the Pre-Operations
period and process. This work includes:
• Necessary training and set up of communications and
document control programs and tracking tools, weekly
and monthly reporting requirements and preparation
and toll policy scheduling
Administrative support to all managers, departments
and staff, working with Accounting and IT to facilitate
supplies and equipment requests.
Training for a full-time Accounting Supervisor to provide:
• Knowledge of business process, procedures and
accounting functions related to the Express Lanes.
• Supervision support and oversight of all revenue
distribution and reporting, including training on RCTC
Eden accounting system.
• Support procurement, and other accounting activities
C4
5
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3
4
" 5
6
" 7
R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T C
t h a t w i l l o c c u r f o r t h e d u r a t i o n 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 u c h a s p r o c u r e m e n t o f s u p p l i e s a n d
e q u i p m e n t , a s s e t t r a c k i n g , a n d t o f a c i l i t a t e t h e
i m p l e m e n t a t i o n a n d m o n i t o r i n g o f f i s c a l c o n t r o l s
s p e c i f i c t o t h e r a m p u p p e r i o d .
T r a i n i n g f o r t w o - ( 2 ) f u l l - t i m e A c c o u n t i n g A n a l y s t s t o p r o v i d e : 2
" K n o w l e d g e o f b u s i n e s s p r o c e s s , p r o c e d u r e s a n d
a c c o u n t i n g f u n c t i o n s r e l a t e d t o t h e E x p r e s s L a n e s ,
i n c l u d i n g t r a i n i n g o n R C T C E d e n a c c o u n t i n g s y s t e m .
" K n o w l e d g e o f r e v e n u e d i s t r i b u t i o n a n d r e p o r t i n g , a n d
p a y a b l e s .
T r a i n i n g f o r a f u l l - t i m e I n f o r m a t i o n T e c h n o l o g y P r o j e c t 6 ( 1 )
m a n a g e r t o p r o v i d e :
" T e c h n i c a l P r o j e c t M a n a g e m e n t , c o o r d i n a t i n g a n y
i n t e r f a c e n e e d s b e t w e e n v e n d o r s b e t w e e n S l l C a n d
O p e n i n g .
T r a i n i n g f o r a f u l l - t i m e B u s i n e s s A n a l y s t / ( B A / B l ) t o p r o v i d e : 5
" D e v e l o p m e n t o f r e p o r t s a n d r e p o r t i n g n e e d s f o r R C T C
t o m a t c h O C T A .
" F a c i l i t a t e a n y i s s u e r e s o l u t i o n a n d t e s t i n g t h a t m a y
e x i s t .
" D e v e l o p a n d f i n a l i z e r e p o r t s s p e c i f i c t o o p e r a t i o n s a n d
m a i n t e n a n c e i n v o l v i n g t r a c k i n g t r i p s , t r i p r e v e n u e , a n d
o t h e r o p e r a t i o n s s t a t i s t i c s a n d a r e u s e d t o p e r f o r m
v a r i o u s f u n c t i o n s , m o n i t o r s t a f f p e r f o r m a n c e a n d
p r o v i d e s u p p o r t i n g f i s c a l c o n t r o l s t h a t m u s t b e c r e a t e d
b y t h e B A / B l f o r R C T C .
" W o r k c l o s e l y w i t h R C T C u s e r s t o d e s i g n t h e R e p o r t s .
F a c i l i t a t e f i n a l i z a t i o n o f a n y i n t e r f a c e s o r o t h e r w o r k
t h a t w i l l b e d e e m e d i m p o r t a n t f o r " g o l i v e " .
T r a i n i n g f o r a f u l l - t i m e A s s i s t a n t O p e r a t i o n s m a n a g e r t o 2
p r o v i d e :
" K n o w l e d g e o f o p e r a t i n g s y s t e m s i n R C T C l a n e s .
" U n d e r s t a n d s u p e r v i s i o n a n d a c c o u n t i n g d i v i s i o n
b e t w e e n R C T C a n d O C T A .
" K n o w l e d g e o f e m e r g e n c y r e s p o n s e a n d p r o t o c o l .
T r a i n i n g f o r a f u l l - t i m e C u s t o m e r A s s i s t a n c e S p e c i a l i s t ( C A S ) 2
c s
RCTC Agreement Number: 13-31-105-00
EXHIBITC
8
9
Lead personnel to provide:
• Knowledge and practice operating systems in RCTC
lanes.
• Road safety training, emergency response protocol
and new agencies involved.
• Road level working knowledge of new lanes with
unknown hazard spots.
Training for four-(4) full-time CAS Drivers to provide:
• Road safety training.
• Emergency response protocol and new agencies
involved.
• Road level working knowledge of new lanes with
unknown hazard spots.
Training for two-(2) full-time ETIM specialists to provide:
• Technical knowledge of all operating systems in RCTC
lanes.
• Road safety training
10 Training for a full-time TOC lead personnel to provide:
• Knowledge of and practice with operating systems in
RCTC lanes.
• Monitoring of new cameras and image review
protocol.
• Knowledge of emergency response and new agencies
involved.
2
2
2
11 Training for four-(4) full-time TOC Specialists to provide: 2
• Knowledge of monitoring new cameras and image
review protocol.
• Knowledge of emergency response and new agencies
involved.
12 Training for a full-time Processing lead personnel to provide:
• Knowledge of business process, procedures and
functions related to the Express Lanes.
• Supervision support and oversight of incoming
customer and violation transaction updates to the
back-office system.
13 Training for three-(3) full-time processing representatives to
C6
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R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T C
p r o v i d e :
" K n o w l e d g e o f b u s i n e s s p r o c e s s , p r o c e d u r e s a n d
f u n c t i o n s r e l a t e d t o t h e E x p r e s s L a n e s w i t h r e g a r d s t o
i n c o m i n g c u s t o m e r a n d v i o l a t i o n t r a n s a c t i o n u p d a t e s
t o t h e b a c k - o f f i c e s y s t e m .
1 4 T r a i n i n g f o r a f u l l - t i m e M a i l r o o m C l e r k t o p r o v i d e : 2
" K n o w l e d g e o f b u s i n e s s p r o c e s s , p r o c e d u r e s a n d
f u n c t i o n s r e l a t e d t o t h e E x p r e s s L a n e s w i t h r e g a r d s t o
a l l o u t g o i n g a n d i n c o m i n g c u s t o m e r a n d v i o l a t i o n
c o r r e s p o n d e n c e a c t i v i t i e s .
1 5 T r a i n i n g f o r a f u l l - t i m e S c a n n i n g c l e r k t o p r o v i d e : 2
" K n o w l e d g e o f b u s i n e s s p r o c e s s , p r o c e d u r e s a n d
f u n c t i o n s r e l a t e d t o t h e E x p r e s s L a n e s w i t h r e g a r d s t o
s c a n n i n g d o c u m e n t a t i o n r e q u i r e m e n t s h o u s e d i n t h e
b a c k - o f f i c e s y s t e m .
1 6 T r a i n i n g f o r t w o - ( 2 ) f u l l - t i m e t e m p o r a r y p r o c e s s i n g
r e p r e s e n t a t i v e s t o p r o v i d e :
" K n o w l e d g e o f b u s i n e s s p r o c e s s , p r o c e d u r e s a n d
f u n c t i o n s r e l a t e d t o t h e E x p r e s s L a n e s w i t h r e g a r d s t o
i n c o m i n g c u s t o m e r a n d v i o l a t i o n t r a n s a c t i o n u p d a t e s
t o t h e b a c k - o f f i c e s y s t e m .
1 7 T r a i n i n g f o r a f u l l - t i m e L e a d C u s t o m e r S e r v i c e C e n t e r
R e p r e s e n t a t i v e t o p r o v i d e :
" K n o w l e d g e o f b u s i n e s s p r o c e s s , p r o c e d u r e s a n d
f u n c t i o n s r e l a t e d t o t h e E x p r e s s L a n e s .
" S u p e r v i s i o n s u p p o r t a n d o v e r s i g h t o f i n c o m i n g c a l l s
a n d f r o n t c o u n t e r c u s t o m e r a n d v i o l a t i o n a c t i v i t i e s .
1 8 T r a i n i n g f o r s e v e n - ( 7 ) f u l l - t i m e C u s t o m e r S e r v i c e
r e p r e s e n t a t i v e s t o p r o v i d e :
" K n o w l e d g e o f b u s i n e s s p r o c e s s , p r o c e d u r e s a n d
f u n c t i o n s r e l a t e d t o t h e E x p r e s s L a n e s w i t h r e g a r d s t o
i n c o m i n g c a l l s a n d f r o n t c o u n t e r c u s t o m e r a c t i v i t i e s .
1 9 T r a i n i n g f o r a f u l l - t i m e T r a n s p o n d e r C l e r k t o p r o v i d e :
" K n o w l e d g e o f b u s i n e s s p r o c e s s , p r o c e d u r e s a n d
f u n c t i o n s r e l a t e d t o t h e E x p r e s s L a n e s w i t h r e g a r d s t o
t r a n s p o n d e r d i s t r i b u t i o n a n d m a i n t e n a n c e o f
i n v e n t o r y c o n t r o l .
2 0 T r a i n i n g f o r t h r e e - ( 3 ) f u l l t i m e t e m p o r a r y C u s t o m e r S e r v i c e
C 7
2
2
2
2
2
·-----------------------------.
representatives to provide:
RCTC Agreement Number: 13-31-105-00
EXHIBITC
• Knowledge of business process, procedures and
functions related to the Express Lanes with regards to
incoming calls and front counter activities.
21 Procure necessary office equipment and supplies for CSRs to
provide for Customer Service support with regards to
incoming calls and front counter activities. This office
equipment (2) shall be comprised of the following:
• 11 Headphones
• 24 Desk-phones
• 11 Soft-phones
• 2500 Welcome Kits
• 19 Transponder Envelope Boxes
• Misc Supplies
22 Misc Office Equipment and Supplies (2):
• Office Supplies/Letterhead
• Priority Mailing System Lease
• Postage
• Scanners
• Printer -Admin
23 Procure necessary roadside supplies to provide: Screwdriver
Sets, Metric Combination Ignition Wrench Set; Laptop
computer; drive socket module; Cushion grip adjustable
wrench set; Tool set with bag; Homeowner Tool Set; Fluke 80
series V (five) multimeter; Tie wraps; Allen wrenches; Vault
puller; Tape measure; Head Lamp; Industrial alcohol wipes;
Crimping tool; Set of cutters & pliers & wire strippers; Small
set screw driver; BNC crimp tool; Network Cat 5 crimp tool;
Genger changer 9 pin for RS232 serial cables; Drill Set bits;
Electric Drill; Soldering work station; Infrared viewer; Infrared
temperature meter; Video Camera viewer; Computer
Vacuum; Label maker; Shovels; Hats, reflective vests, safety
glasses; Wire cutter scissors; Equipment & Tools for Service
Pick Up; First Aid Kit; Air Hose; Push Broom; Shovel; 5 gal.
Diesel Can; 5 gal. Unleaded Can; 5 Gal. Water Can; Floor Jack;
Thin Wall Socket Set (for impact); Tire Iron; Fire Extinguisher;
Long funnel; Bolt Cutters; WO 40; Jumper Cables; Box Wrench
and Socket Set {SAE and Metric); Adjustable Pliers; Needle
CB
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R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T C
N o s e P l i e r s ; R u b b e r M a l l e t ; H a m m e r ; E l e c t r i c a l a n d D u c t
T a p e ; B a i l i n g W i r e ; P r y B a r ; S a f e t y C h a i n s ; R o l l O v e r C h a i n s ; 5
L B S l e d g e H a m m e r ; D r a g L i g h t s ; 4 x 4 x 1 2 W o o d p i e c e ; 4 x 4 x 4 8
W o o d p i e c e ; B r e a k e r B a r ; A r r o w B a r ; J a c k S t a n d ; F l a s h L i g h t s ;
C l i p b o a r d / P o s s e ; S t r a p s o n e p a i r ; T i r e P l u g s ; S a n d C o n t a i n e r s
( S m a l l M e t a l T r a s h C a n s ) ; H a n d H e l d T o o l B o x ; B u n g e e C o r d s ;
F l a r e s ; T o o l B o x f o r I m p a c t W r e n c h ; Y e l l o w B l a n k e t ( W e u s e
f o r F a t a l ) ; B o x C u t t e r ; B a s k e t C h a i n / S t r a p ( T i e c a r t o l i f t ) ;
C r e s c e n t W r e n c h ; T i r e G a u g e ; D r i v e r & M a n a g e r U n i f o r m s ;
S t a f f U n i f o r m s ; V M S F i l t e r s ; D a t a L o g g e r S y s t e m ;
M i s c e l l a n e o u s S u p p l i e s & T o o l s ; M i s c e l l a n e o u s E l e c t r i c a l
C o n n e c t i o n s & S u p p l i e s
2 4 6 M o n t h s o f O p e r a t i n g c o s t s p r i o r t o o p e n i n g c o n s i s t i n g o f :
" S e c u r i t y M o n i t o r i n g
" T o w T r u c k F u e l
" T o w T r u c k M a i n t e n a n c e
" S e r v i c e T r u c k F u e l
" S e r v i c e T r u c k M a i n t e n a n c e
" U P S M a i n t e n a n c e
" F i r e S u p p r e s s i o n f o r 3 T U B s
2 5 P r e - O p e r a t i o n s p e r i o d s t a t u s m e e t i n g s t o p r o v i d e r e v i e w o f 6
s t a t u s a n d t o i d e n t i f y r i s k / i s s u e i t e m s .
2 6 M i s c C o s t s :
" M a r k e t i n g S u p p o r t
" C o n t r a c t N e g o t i a t i o n s
" M o d i f y D e p t M a n u a l s
N o t e s :
( 1 ) S i n c e t h e r e i s a n o v e r l a p , c u r r e n t C O N T R A C T O R s t a f f w i l l p r o v i d e s u p p o r t f o r t h e
S l l C a n d N e w H i r e w i l l b e d e d i c a t e d t o I T s u p p o r t d u r i n g R a m p - u p .
( 2 ) D e s k t o p a n d l a p t o p c o m p u t e r s , s o f t w a r e , a n d m a i l r o o m p r i n t e r t o b e p u r c h a s e
b y C O M M I S S I O N . A n y m a t e r i a l s , e q u i p m e n t o r s u p p l i e s i n e x c e s s o f $ 2 5 , 0 0 0 w i l l
b e p r o c u r e d b y C o m m i s s i o n , u n l e s s d i r e c t e d o t h e r w i s e a n d p r o v i d e d f o r h e r e i n
a s E x t r a W o r k .
C 9
RAMS SOFTWARE LICENSE FEE
RCTC Agreement Number: 13-31-105-00
EXHIBIT C
Capitalized terms used in this Exhibit C, and not otherwise defined herein, shall have the
meaning set forth in the Agreement.
In accordance with this Exhibit C, CONTRACTOR shall invoice COMMISSION for the
following:
1. COMMISSION's share of the fee due under the Software Installation and License
Agreement, as such agreement may be amended to include COMMISSION as a party.
The annual fee due under the Software Installation and License Agreement shall be
divided into twelve monthly lump sum payments of Seven Thousand Six Hundred Fifty
Six Dollars ($7,656). An amount equal to one-half of the foregoing specified monthly
lump sum payment shall be invoiced to COMMISSION in accordance with Article
7(C)(2)(b), as applicable, of the Agreement. Notwithstanding any other provision of the
Agreement, the monthly lump sum payment for the Software Installation and License
Agreement, as set forth herein, shall not be subject to escalation.
2. Any "Additional Fees" payable by COMMISSION to CONTRACTOR for RAMS
changes which are requested by COMMISSION pursuant to Section 6(b) of the Software
Maintenance Agreement, as it may be amended from time to time, or any successor
provision, not to exceed One Hundred Fifty Thousand Dollars ($150,000) per year.
3. The sum, agreed upon in writing by COMMISSION and CONTRACTOR, for non-
recurring or special services performed by CONTRACTOR for the COMMISSION in
respect of the 91 Express Lanes pursuant to Article 7(B)(2)(b) or 7(C)(2)(c) of the
Agreement.
C10
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R C T C A g r e e m e n t N u m b e r : 1 3 - 3 1 - 1 0 5 - 0 0
E X H I B I T C
( 2 ) D e s k t o p a n d l a p t o p c o m p u t e r s , s o f t w a r e , a n d m a i l r o o m p r i n t e r t o b e p u r c h a s e
b y C O M M I S S I O N . A n y m a t e r i a l s , e q u i p m e n t o r s u p p l i e s i n e x c e s s o f $ 2 5 , 0 0 0 w i l l
b e p r o c u r e d b y C o m m i s s i o n , u n l e s s d i r e c t e d o t h e r w i s e a n d p r o v i d e d f o r h e r e i n
a s E x t r a W o r k .
R A M S S O F T W A R E L I C E N S E F E E
C a p i t a l i z e d t e r m s u s e d i n t h i s E x h i b i t C , a n d n o t o t h e r w i s e d e f i n e d h e r e i n , s h a l l h a v e t h e
m e a n i n g s e t f o r t h i n t h e A g r e e m e n t .
I n a c c o r d a n c e w i t h t h i s E x h i b i t C , C O N T R A C T O R s h a l l i n v o i c e C O M M I S S I O N f o r t h e
f o l l o w i n g :
1 . C O M M I S S I O N ' s s h a r e o f t h e f e e d u e u n d e r t h e S o f t w a r e I n s t a l l a t i o n a n d L i c e n s e
A g r e e m e n t , 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 t o i n c l u d e C O M M I S S I O N a s a p a r t y .
T h e a n n u a l f e e d u e u n d e r t h e S o f t w a r e I n s t a l l a t i o n a n d L i c e n s e A g r e e m e n t s h a l l b e
d i v i d e d i n t o t w e l v e m o n t h l y l u m p s u m p a y m e n t s o f S e v e n T h o u s a n d S i x H u n d r e d F i f t y
S i x D o l l a r s ( $ 7 , 6 5 6 ) . A n a m o u n t e q u a l t o o n e - h a l f o f t h e f o r e g o i n g s p e c i f i e d m o n t h l y
l u m p s u m p a y m e n t s h a l l b e i n v o i c e d t o C O M M I S S I O N i n a c c o r d a n c e w i t h A r t i c l e
7 ( C ) ( 2 ) ( b ) , a s a p p l i c a b l e , o f t h e A g r e e m e n t . 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 e
A g r e e m e n t , t h e m o n t h l y l u m p s u m p a y m e n t f o r t h e S o f t w a r e I n s t a l l a t i o n a n d L i c e n s e
A g r e e m e n t , a s s e t f o r t h h e r e i n , s h a l l n o t b e s u b j e c t t o e s c a l a t i o n .
2 . A n y " A d d i t i o n a l F e e s " p a y a b l e b y C O M M I S S I O N t o C O N T R A C T O R f o r R A M S
c h a n g e s w h i c h a r e r e q u e s t e d b y C O M M I S S I O N p u r s u a n t t o S e c t i o n 6 ( b ) o f t h e S o f t w a r e
M a i n t e n a n c e A g r e e m e n t , a s i t 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 , o r a n y s u c c e s s o r
p r o v i s i o n , n o t t o e x c e e d O n e H u n d r e d F i f t y T h o u s a n d D o l l a r s ( $ 1 5 0 , 0 0 0 ) p e r y e a r .
3 . T h e s u m , a g r e e d u p o n i n w r i t i n g b y C O M M I S S I O N a n d C O N T R A C T O R , f o r n o n -
r e c u r r i n g o r s p e c i a l s e r v i c e s p e r f o r m e d b y C O N T R A C T O R f o r t h e C O M M I S S I O N i n
r e s p e c t o f t h e 9 1 E x p r e s s L a n e s p u r s u a n t t o A r t i c l e 7 ( B ) ( 2 ) ( b ) o r 7 ( C ) ( 2 ) ( c ) o f t h e
A g r e e m e n t .
C 1 1
State Route 91
Operator Agreement
For
W~stern Riyerside County
;.l99SCPTC
Opens the
91 Express
Lanes
~1~fojects Ct>n~mlttee ,, " >
,":<',, '81hon RCTC, W2011 RCTC and OCTA, and
.2008/2009
RCTC Obtains
OCTA Execute Cof1route
Finalize Cooperative
Agreement Operator
Agreement
Purchases 91
State and
Federal Tolling
Authority
Express
Lanes
4/23/2013
1
Q: Why an Operator Agreement so soon before we open the lanes?
A: Support project financing with cost and operational certainty
4/23/2013
2
[R~,;;P:~;;P~;i~ct·t~;··Rcrc.9J.
I Express Lanes:
I • Hiring/training Cofiroute
i staff
I • Procurement tow trucks,
i computers, and equipment
i • Complete tolling
I infrastructure I Three-Party Contract: OCTA,
1 RCTC, and Cofiroute
!
RCTC 91 Express Lanes
and joint operation of entire
91 Express Lanes
Three-Party Contract: OCTA,
RCTC, and Cofiroute
4/23/2013
3
" C o n s i s t e n c y i 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 , j o i n t a g e n c y d i r e c t i o n
" I n e m e r g e n c i e s , u s e 9 1 E x p r e s s L a n e s r e s o u r c e s o f b o t h a g e n c i e s t o e n s u r e p u b l i c s a f e t y
" P r o c u r e a n d m a i n t a i n i n s u r a n c e o f t h e t y p e s a n d a m o u n t s s p e c i f i e d
" 1 " l e v e l : A g e n c y / c o m p a n y r e p r e s e n t a t i v e s ( O C T A G e n e r a l M a n a g e r , R C T C T o l l P r o g r a m D i r e c t o r ,
a n d C o f i r o u t e P r o g r a m M a n a g e r )
" 2 � " l e v e l : E x e c u t i v e s ( O C T A C E O , R C T C E x e c u t i v e D i r e c t o r , a n d C o f i r o u t e C E O )
" A r b i t r a t i o n f o r d i s p u t e s < $ 5 0 0 , 0 0 0
H i r e s t a f f
T r a i n s t a f f
" A c c o u n t i n g , i n f o r m a t i o n t e c h n o l o g y
" c u s t o m e r s e r v i c e , a d m i n i s t r a t i o n
" o p e r a t i o n s , t o l l , a n d t r a f f i c
m a n a g e m e n t
" L e a r n b u s i n e s s p r o c e s s e s a n d
p r o c e d u r e s
" D e v e l o p t e c h n i c a l k n o w l e d g e a n d
e x p e r t i s e
" O p e r a t i o n s p l a n n i n g
" I s s u e r e s o l u t i o n a n d
t r o u b l e s h o o t i n g
" E q u i p m e n t , t o o l s , a n d s u p p l i e s
" C o m p u t e r h a r d w a r e
4 / 2 3 / 2 0 1 3
4
Transactions
and Violations
Key
assumptions
MC:ounts and
Contracts Operations Administration Maintenance
OCTA and the Commission split costs equally during the
Ongoing Operations Period
Commission pays for all additional costs during the
Pre-Operations Period due to SR-91 CIP startup work
Use of current business rules and operating procedures
Continued use of the Traffic Operations Center and Customer
Service Center -matching existing operations
4/23/2013
5
Sole source award governed by Commission's Procurement Policy Manual,
Ch. 7, Sect. 1.0(A)(11) which authorizes a sole source award under the
following circumstance: " ... a non-competitive procurement is in the public
interest and in the best interest of the Commission."
4/23/2013
6
4/23/2013
7
"
A G E N D A I T E M 1 0
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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 : A p r i l 2 2 , 2 0 1 3
T O : 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
F R O M : 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 : C a t h y B e c h t e l , P r o j e c t D e v e l o p m e n t D i r e c t o r
S U B J E C T : 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 P r o g r a m R e g i o n a l A r t e r i a l
F u n d s - C i t y o f P e r r i s P r o g r a m m i n g R e q u e s t
S T A F F R E C O M M E N D A T J O N :
T h i s i t e m i s f o r t h e C o m m i t t e e t o :
1 )
2 )
3 )
A p p r o v e t h e r e q u e s t b y t h e c i t y o f P e r r i s t o p r o g r a m 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 ) R e g i o n a l A r t e r i a l f u n d s i n t h e a m o u n t o f $ 1 . 3 6 m i l l i o n
f o r t h e P e r r i s B o u l e v a r d w i d e n i n g p r o j e c t f r o m R a m o n a E x p r e s s w a y t o P e r r y
S t r e e t ;
A c c e p t $ 2 , 3 8 8 , 0 0 0 m i l l i o n i n f e d e r a l S u r f a c e T r a n s p o r t a t i o n P r o g r a m ( S T P )
f u n d s f r o m t h e P e r r i s B o u l e v a r d p r o j e c t f o r r e p r o g r a m m i n g a t t h e d i s c r e t i o n
o f t h e C o m m i s s i o n ; '
A p p r o v e A g r e e m e n t N o . 0 8 - 7 2 - 0 9 7 - 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 8 - 7 2 - 0 9 7 - 0 0 , w i t h t h e c i t y o f P e r r i s t o a d d T U M F f u n d i n g f o r t h e
c o n s t r u c t i o n p h a s e ;
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 t h e a m e n d 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 ; a n d
5 ) F o r w a r d t o t h e C o m m i s s i o n f o r f i n a l a c t i o n .
B A C K G R O U N D I N F O R M A T I O N :
T h e c i t y o f P e r r i s i s r e q u e s t i n g t h e p r o g r a m m i n g o f $ 1 . 3 6 m i l l i o n i n T U M F R e g i o n a l
A r t e r i a l f u n d s f o r t h e P e r r i s B o u l e v a r d w i d e n i n g p r o j e c t f r o m R a m o n a E x p r e s s w a y
t o P e r r y S t r e e t . T h e o r i g i n a l T U M F p r o j e c t l i m i t s w e r e f r o m R a m o n a E x p r e s s w a y ,
n o r t h t o t h e P e r r i s V a l l e y S t o r m D r a i . n L a t e r a l B , w h i c h i s a b o u t o n e m i l e i n l e n g t h
a n d e s t i m a t e d a t a p p r o x i m a t e l y $ 4 m i l l i o n t o c o n s t r u c t . H o w e v e r , t w o
d e v e l o p m e n t p r o j e c t s a l o n g t h e p r o j e c t s e g m e n t r e s u l t e d i n a d v a n c i n g t h e
c o n s t r u c t i o n o f P e r r i s B o u l e v a r d t o s i x l a n e s b e t w e e n M a r k h a m S t r e e t a n d t h e
n o r t h e r l y c i t y l i m i t s . T h e r e f o r e , t h e w i d e n i n g o f P e r r i s B o u l e v a r d f r o m R a m o n a
E x p r e s s w a y t o P e r r y S t r e e t i s t h e l a s t s e g m e n t r e m a i n i n g t o b e w i d e n e d t o s i x
l a n e s . T h e c o s t o f t h e r e m a i n i n g s e g m e n t i s e s t i m a t e d a t $ 1 . 7 m i l l i o n .
A g e n d a I t e m 1 0
3 0
According to the Western Riverside Council of Government's {WR COG) TUMF
Nexus Study, the Perris Boulevard project is eligible for $1. 7 million in TUMF
construction funding. The original project was also to be funded with federal
Surface Transportation Project {STP) funds in the amount of $2,388,000 million.
Given that segments were funded with local developer dollars and were cleared
under the California Environmental Quality Act {CEQA), the city of Perris would like
to return the federal STP funds for future project programming at the discretion of
the Commission.
The current TUMF Regional Arterial programming balance is approximately
$3 million. Due to this low funding balance, priority for programming TUMF
Regional Arterial funding is limited to projects that are ready for construction. The
city of Perris is ready to move forward with construction upon Commission
approval of the $1.36 million in TUMF funding with the city contributing $340,000
in local city funds. Staff recommends approval of the city of Perris' request as
presented.
Financial Information
In Fiscal Year Budget: I Yes I Year: I FY 13/14 Amount: I $1,360,000
Source of Funds: I TUMF Regional Arterial funds Budget Adjustment: I No
GL/Project Accounting No.: 005128 81301 210 72 81301 $1,360,000 (TUMF
construction)
Fiscal Procedures Approved: ~~ I Date: I 04/15/13
Agenda Item 10
31
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A G E N D A I T E M 1 1 �
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-.. , ....•... . .
I I
.t
\
• ....• "·.···. ':''
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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 : A p r i l 2 2 , 2 0 1 3
T O : 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
F R O M : 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
T H R O U G H : M a r l i n F e e n s t r a , P r o j e c t D e l i v e r y D i r e c t o r
S U B J E C T : A m e n d m e n t w i t h S T V I n c o r p o r a t e d t o P r o v i d e D e s i g n S u p p o r t
D u r i n g C o n s t r u c t i o n 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
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 t t e e t o :
1 ) A p p r o v e A g r e e m e n t N o . 0 7 - 3 3 - 1 2 3 - 1 0 , A m e n d m e n t N o . 1 0 t o A g r e e m e n t
0 7 - 3 3 - 1 2 3 - 0 0 , w i t h S T V I n c o r p o r a t e d ( S T V ) f o r d e s i g n s u p p o r t d u r i n g
c o n s t r u c t i o n 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 ) i n t h e a m o u n t o f $ 6 , 8 4 1 , 7 4 9 ,
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 m i l l i o n , f o r a t o t a l a m o u n t n o t t o e x c e e d
2 )
3 )
4 )
$ 7 , 8 4 1 , 7 4 9 , a n d a t o t a l a u t h o r i z e d c o n t r a c t v a l u e o f $ 4 8 , 6 7 3 , 3 8 6 ;
A u t h o r i z e t h e C h a i r o r 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 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 ;
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 o r d e s i g n e e , 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 a p p r o v e t h e u s e o f t h e c o n t i n g e n c y 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
F o r w a r d t o t h e C o m m i s s i o n f o r f i n a l a c t i o n .
B A C K G R O U N D I N F O R M A T I O N :
A t i t s S e p t e m b e r 1 2 , 2 0 0 7 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 s e l e c t i o n
p r o c e s s a n d a w a r d e d A g r e e m e n t N o . 0 7 - 3 3 - 1 2 3 - 0 0 t o S T V t o p r o v i d e p l a n n i n g ,
e n v i r o n m e n t a l , a n d p r e l i m i n a r y e n g i n e e r i n g s e r v i c e s f o r t h e P V L c o n t i n g e n t 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 ( F T A ) a p p r o v a l t o e n t e r i n t o p r e l i m i n a r y e n g i n e e r i n g ,
w h i c h w a s r e c e i v e d o n D e c e m b e r 1 4 , 2 0 0 7 .
D u r i n g t h e p a s t f i v e y e a r s , s i g n i f i c a n t p r o g r e s s h a s b e e n m a d e i n c l u d i n g 1 0 0
p e r c e n t d e s i g n , a p p r o v a l o f t h e s t a t e 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 ( E I R ) a n d t h e
f e d e r a l 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 A s s e s s m e n t ( S E A ) , a n d t h e d e v e l o p m e n t o f b i d
p a c k a g e s f o r i n v i t a t i o n f o r b i d i s s u e d o n O c t o b e r 3 1 , 2 0 1 2 . O f t h e n i n e
a m e n d m e n t s i s s u e d t o S T V , t w o o f t h e s e a r e b e i n g a m e n d e d a s f o l l o w s :
A g e n d a I t e m 1 1
3 2
"
"
A t i t s O c t o b e r 8 , 2 0 0 8 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 A g r e e m e n t N o .
0 7 - 3 3 - 1 2 3 - 0 2 , A m e n d m e n t N o . 2 i n t h e a m o u n t o f $ 2 5 5 , 0 0 0 f o r p r e l i m i n a r y
l a n d s c a p e d e s i g n f o r t h e G r e e n w a y C o r r i d o r T r a n s p o r t a t i o n E n h a n c e m e n t
p r o j e c t . T h e b a l a n c e o f t h i s a m e n d m e n t ( $ 1 7 1 , 1 6 4 ) a n d t h e a p p r o v e d
c o n t i n g e n c y ( $ 2 3 , 9 9 3 ) w i l l b e d e l e t e d i n t h e c u r r e n t a m e n d m e n t .
A t i t s D e c e m b e r 8 , 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 A g r e e m e n t N o .
0 7 - 3 3 - 1 2 3 - 0 6 , A m e n d m e n t N o . 6 i n t h e a m o u n t o f $ 2 5 5 , 0 0 0 f o r c l o s e d
c i r c u i t t e l e v i s i o n d e s i g n . T h e b a l a n c e o f t h i s a m e n d m e n t ( $ 1 8 , 0 9 4 ) a n d t h e
a p p r o v e d c o n t i n g e n c y ( $ 2 3 , 7 1 5 ) w i l l b e d e l e t e d i n t h e c u r r e n t a m e n d m e n t .
A d d i t i o n a l S e r v i c e s f o r A m e n d m e n t N o . 1 0
S t a f f i s r e q u e s t i n g t h e C o m m i s s i o n t o a p p r o v e A m e n d m e n t N o . 1 0 t o r e p l e n i s h t h e
b u d g e t f o r d e s i g n s e r v i c e s d u r i n g c o n s t r u c t i o n a n d p r o v i d e a d d i t i o n a l f u n d i n g f o r
t h e e x t e n s i o n o f d e s i g n s e r v i c e s d u r i n g c o n s t r u c t i o n . A m e n d m e n t N o . 1 0 f u n d s
w i l l a l s o b e u s e d t o s u p p o r t t h e c o m p l e t i o n o f t h e e n t i t l e m e n t a n d p e r m i t t i n g
p r o c e s s , i n c l u d i n g f e e s t o e x t e r n a l a g e n c i e s a n d j u r i s d i c t i o n s , a n d t o s u p p o r t
s c h e d u l e e x t e n s i o n o f d e s i g n s e r v i c e s d u r i n g c o n s t r u c t i o n , a s s u m m a r i z e d b e l o w :
"
"
"
I n c r e a s e i n c o n s t r u c t i o n s u p p o r t , t h r e e m o n t h s o f p r o j e c t c l o s e o u t s u p p o r t ,
a n d S m a l l S t a r t s G r a n t A g r e e m e n t d e l a y ( $ 2 , 0 0 8 , 7 8 2 ) ;
E n v i r o n m e n t a l s u p p o r t a n d a d d i t i o n a l s e r v i c e s i n c l u d i n g s u p p o r t f o r O r a n g e
E m p i r e R a i l w a y M u s e u m , U n i o n P a c i f i c R a i l r o a d ( U P R R ) , c i t y o f R i v e r s i d e ,
R i v e r s i d e U n i f i e d S c h o o l D i s t r i c t , 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 , a n d S o u t h e r n
C a l i f o r n i a R e g i o n a l R a i l A u t h o r i t y ( S C R R A ) ( $ 5 9 9 , 4 8 3 ) ;
E x t e n s i o n o f a d m i n i s t r a t i v e s e r v i c e s , a n d a d d i t i o n a l d e s i g n w o r k
( $ 3 , 1 9 6 , 5 8 3 ) ;
" U n a n t i c i p a t e d d e s i g n r e q u e s t s g e n e r a t e d t h r o u g h t h e e n t i t l e m e n t p r o c e s s
( $ 2 0 0 , 0 0 0 ) ; a n d
" A d d i t i o n a l p r o j e c t a n a l y s i s ( $ 8 3 6 , 9 0 1 ) .
T h i s a d d i t i o n a l w o r k i n c l u d e s , b u t i s n o t l i m i t e d t o , t h e f o l l o w i n g d e s i g n a c t i v i t i e s :
" A n u n a n t i c i p a t e d i n c r e a s e i n a d m i n i s t r a t i v e p r o j e c t c o s t s r e l a t e d t o t i m e
e x t e n s i o n s n o t i n c l u d e d i n o t h e r d e s i g n t r e n d c h a n g e n o t i c e s ;
" C o n s t r u c t i o n s u p p o r t o f t h e M a r l b o r o u g h c o n n e c t i o n w i t h t h e U P R R d u e t o
t h e a b a n d o n m e n t o f t h e U n i o n P a c i f i c R i v e r s i d e I n d u s t r i a l L e a d ( U P R I L ) ;
" A n a l y s i s o f s o i l m a n a g e m e n t p r o g r a m t o r e d u c e o v e r a l l c o n s t r u c t i o n c o s t s
r e l a t e d t o e x c e s s s o i l ;
" A d d i t i o n a l d e s i g n e f f o r t t o a d d r e s s p r o j e c t c l a r i f i c a t i o n r e q u e s t s f r o m t h e c i t y
o f P e r r i s a n d S C R R A ;
" D e v e l o p m e n t o f a d d i t i o n a l s u r v e y s u p p o r t a n d l e g a l d e s c r i p t i o n s a n d p l a t s f o r
r e q u i r e d e a s e m e n t s ;
A g e n d a I t e m 1 1
3 3
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A d d i t i o n a l g e o t e c h n i c a l i n v e s t i g a t i o n s u p p o r t f o r a d d i t i o n a l d e s i g n w o r k
r e s u l t i n g f r o m d e s i g n c l a r i f i c a t i o n s ; a n d
U n a n t i c i p a t e d w o r k r e l a t e d t o d e s i g n c l a r i f i c a t i o n s r e s u l t i n g f r o m t h e
e n t i t l e m e n t a p p r o v a l p r o c e s s .
D u r i n g t h e p a s t f e w y e a r s , a n u m b e r o f s i g n i f i c a n t i s s u e s a n d d e c i s i o n s h a v e
r e s u l t e d f r o m j o i n t C o m m i s s i o n - S C R R A - F T A c o n s u l t a t i o n o n t h e p r o j e c t i n c l u d i n g :
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C o o r d i n a t e d w i t h 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 S C R R A t o d e v e l o p
t h e T h r e a t H a z a r d A n a l y s i s ;
R e c e i v e d " F i n d i n g s o f N o S i g n i f i c a n t I m p a c t " f r o m t h e F T A f o r t h e S E A ;
A d v a n c e d t h e p r o j e c t t o a 1 0 0 p e r c e n t d e s i g n l e v e l a n d d e v e l o p e d t h e b i d
p a c k a g e d o c u m e n t s ;
S e l e c t e d t h e f i n a l s t a t i o n d e s i g n s a n d d e v e l o p e d t h o s e d e s i g n s t o t h e
1 0 0 p e r c e n t l e v e l ;
C o m m e n c e d t h e e n t i t l e m e n t a n d p e r m i t t i n g p r o c e s s f o r t h e s t a t i o n s ;
I d e n t i f i e d c o n f l i c t i n g u t i l i t i e s a n d i n i t i a t e d r e s o l u t i o n o f t h o s e c o n f l i c t s , w h i c h
i n c l u d e d m e e t i n g s w i t h u t i l i t y c o m p a n i e s t o f a c i l i t a t e r e q u i r e d r e l o c a t i o n s ;
C o m p l e t e d a n u m b e r o f e x i s t i n g u t i l i t y r e l o c a t i o n s ;
E l i m i n a t e d t h e U P R R d i a m o n d c r o s s i n g a t M a r l b o r o u g h A v e n u e t h a t w a s
r e p l a c e d b y a s w i t c h t r a c k c o n n e c t i n g t h e S a n J a c i n t o B r a n c h L i n e t o t h e
U P R I L ;
D e v e l o p e d a n d i m p l e m e n t e d t h e c o n t r a c t o r p r e q u a l i f i c a t i o n p r o c e s s ;
R e l e a s e d t h e p r o j e c t d e s i g n f o r b i d . B i d s r e c e i v e d w e r e c o n s i s t e n t w i t h t h e
e n g i n e e r ' s e s t i m a t e a n d a n a p p a r e n t l o w b i d d e r c o n t r a c t o r h a s b e e n
s e l e c t e d ;
" C o m p l e t e d v a l u e e n g i n e e r i n g r e v i s i o n s t o d e s i g n d o c u m e n t s w h i c h r e d u c e d
t h e o v e r a l l p r o j e c t b u d g e t t h r o u g h d e s c o p i n g o r d e s i g n a l t e r n a t i v e s
c o n s i d e r e d i n t h e b i d p a c k a g e ;
" C o o r d i n a t e d w i t h t h e C a l i f o r n i a P u b l i c U t i l i t y C o m m i s s i o n ( C P U C ) o n c r o s s i n g
d e s i g n s a n d C P U C a p p r o v a l o f t h e 1 8 g r a d e c r o s s i n g a p p l i c a t i o n s ( i n c l u d i n g
t w o n e w p e d e s t r i a n c r o s s i n g s ) ;
" P r e p a r e d a n d s u b m i t t e d t h e d r a f t S S G A t o t h e F T A ;
" O b t a i n e d a p p r o v a l o f t h e d e s i g n c r i t e r i a c h e c k l i s t a n d c e r t i f i c a t e s o f
c o n f o r m a n c e f r o m 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 C o m m i t t e e ; a n d
" R e s o l v e d l e v e l b o a r d i n g i s s u e s a t t h e s t a t i o n s f o r t h e F T A .
B u d g e t S u m m a r y
S T V p r o v i d e d a d e t a i l e d s c o p e o f w o r k , c o s t , a n d s c h e d u l e f o r p r o p o s e d
A m e n d m e n t N o . 1 0 . T h e i n f o r m a t i o n p r o v i d e d w a s r e v i e w e d i n d e t a i l b y s t a f f , a n d
n e g o t i a t i o n s w e r e h e l d w i t h S T V t o o b t a i n t h e b e s t v a l u e f o r t h e p r o p o s e d w o r k .
T h e t o t a l c o s t f o r t h e p r o p o s e d s e r v i c e s i s $ 6 , 8 4 1 , 7 4 9 p l u s a c o n t i n g e n c y o f
$ 1 m i l l i o n f o r a t o t a l a m o u n t n o t t o e x c e e d $ 7 , 8 4 1 , 7 4 9 .
A g e n d a I t e m 1 1
3 4
The Commission approved a total of $41,068,603 to STV through the original •
agreement and Amendments No. 1 through 9. With the removal of the remaining
funds associated to Amendments No. 2 and No. 6 and approval of proposed
Amendment No. 10, the total authorized amount for the STV agreement will be
$48,673,386.
Financial Information
In Fiscal Year Budget: I Yes I I FY 2013/14 Amount: I $4,669,000
N/A Year: FY 2014/15 + $3, 172, 749
Source of Funds: Local Agency Reimbursements, Budget Adjustment: I No
Measure A, FT A N/A
003800 81304 221 33 81301 $ 57,000
003823 81304 2213381301 $3,798,000
003823 81020 221 33 81101 $ 350,000
003827 81304 221 33 81301 $ 13,000
GL/Project 003829 81304 221 33 81301 $ 28,000
Accounting Nos.: 003830 81304 221 33 81301 $ 28,000
003831 81304 221 33 81301 $ 8,000
003832 81304 221 33 81301 $ 12,000
003834 81304 221 33 81301 $ 375,000
FY 2013/14 Total $4,669,000
Fiscal Procedures Approved: I ~~ I Date: I 04/16/13
Attachment: STV Amendment Log
Agenda Item 11
35
•
•
" A t t a c h m e n t 1
S u m m a r y o f S T V A g r e e m e n t N o . 0 7 - 3 3 - 1 2 3 - 0 0
C o m m i s s i o n C o m m i s s i o n C o m m i s s i o n
A u t h o r i z e d A u t h o r i z e d A u t h o r i z e d S T V C o n t r a c t
A m o u n t C o n t i n g e n c y T o t a l
O r i g i n a l $ 1 2 , 0 0 0 , 0 0 0 $ 5 , 3 0 0 , 0 0 0 $ 1 7 , 3 0 0 , 0 0 0 � . $ 1 4 , 8 3 2 , 9 5 1 A u t h o r i z a t i o n :
I
A m e n d m e n t s -
1 - - - � � , : -
2 2 3 1 , 0 0 7 2 3 , 9 9 3 2 5 5 , 0 0 0 j ; ~ ~ 2 3 1 , 0 0 7
3 * - - � : � " � 1 , 4 2 7 , 6 0 0
/ ' { ; ! : �
4 * * 1 4 , 2 4 7 , 9 3 5 1 , 9 0 0 , 0 0 0 1 6 , 1 4 7 , 9 3 5 . 1 3 , 6 8 3 , 0 5 2
' } : ; " 5 * - - 1 , 9 0 0 , 0 0 0
6 2 3 1 , 2 8 5 2 3 , 7 1 5 2 5 5 , 0 0 0 2 3 1 , 2 8 5
. . �
7 * * * 5 , 5 1 0 , 6 6 8 1 , 6 0 0 , 0 0 0 7 , 1 1 0 , 6 6 8 7 , 1 1 5 , 0 0 0 .
8 - - -
9 * * : : 1 , 6 4 7 , 7 0 8
S u b t o t a l $ 3 2 , 2 2 0 , 8 9 5 $ 8 , 8 4 7 , 7 0 8 $ 4 1 , 0 6 8 , 6 0 3
( ' .
$ 4 1 , 0 6 8 , 6 0 3
1 0 A * * * * ( p r o p o s e d ) $ ( 1 8 9 , 2 5 8 ) $ ( 4 7 , 7 0 8 ) $ ( 2 3 6 , 9 6 6 ) k . . " $ ( 2 3 6 , 9 6 6 ) >
1 O B ( p r o p o s e d ) $ 6 , 8 4 1 , 7 4 9 $ 1 , 0 0 0 , 0 0 0 $ 7 , 8 4 1 , 7 4 9 . $ 6 , 8 4 1 , 7 4 9
T o t a l s $ 3 8 , 8 7 3 , 3 8 6 $ 9 , 8 0 0 , 0 0 0 $ 4 8 , 6 7 3 , 3 8 6 $ 4 7 , 6 7 3 , 3 8 6
* I n c l u d e s u s e o f c o n t i n g e n c y
* * I n c l u d e s u s e o f c o n t i n g e n c y a n d u n s p e n t f u n d s
* * * I n c l u d e s u s e o f u n s p e n t f u n d s
* * * * I n c l u d e s r e m o v a l o f r e m a i n i n g u n s p e n t f u n d s a n d c o n t i n g e n c y f r o m A m e n d m e n t s N o . 2 a n d 6 " R e v . 0
3 6