1_-_Revised_Standard_Specifications_(RSS)_04-16-21.pdf

REVISED STANDARD SPECIFICATIONS DATED

04-16-21

ORGANIZATION

Revised standard specifications are under headings that correspond with the main-section headings of the Standard Specifications. A main-section heading is a heading shown in the table of contents of the Standard Specifications. A date under a main-section heading is the date of the latest revision to the section.

Each revision to the Standard Specifications begins with a revision clause that describes or introduces a revision to the Standard Specifications. For a revision clause that describes a revision, the date on the right above the clause is the publication date of the revision. For a revision clause that introduces a revision, the date on the right above a revised term, phrase, clause, paragraph, or section is the publication date of the revised term, phrase, clause, paragraph, or section. For a multiple-paragraph or multiple-section revision, the date on the right above a paragraph or section is the publication date of the paragraphs or sections that follow.

Any paragraph added or deleted by a revision clause does not change the paragraph numbering of the Standard Specifications for any other reference to a paragraph of the Standard Specifications.

DIVISION I GENERAL PROVISIONS

1 GENERAL

04-16-21 Add between the 1st and 2nd paragraphs of section 1-1.01:

10-19-18 Global revisions are changes to contract documents not specific to a section of the Standard Specifications. In each contract document at each occurrence, interpret the following terms as shown:

Term Interpretation Conditions Fed-Std-595 AMS Std 595 --

04-17-20 Grade SS1 Grade SS-1 -- Grade SS1h Grade SS-1h -- Grade CSS1 Grade CSS-1 -- Grade CSS1h Grade CSS-1h -- Grade QS1h Grade QS-1h -- Grade CQS1h Grade CQS-1h --

Add to the table in the 1st paragraph of section 1-1.06:

04-19-19

CSC conductor signal cable 04-17-20

NDS National Design Specification for Wood Construction BWC Bonded wearing course

Replace the row for 12 in the table in the 1st paragraph of section 1-1.08 with:

04-17-20

12 Orange (Ora)

1750 E 4TH ST

STE 100

SANTA ANA CA

1750 E 4TH ST

STE 100

SANTA ANA CA 92705-3909

Replace the 9th row in the table of section 1-1.11 with:

Department of Conservation, Division of Mine Reclamation http://www.conservation.ca.gov/dmr

Add to the table in section 1-1.11:

Authorized ADSC Standard Mitigation Plan https://dot.ca.gov/-/media/dot-media/programs/engineering/docum ents/20201214-caltransapprovedadscstandardmitiga tionplan-a11y.pdf

Data Interchange for Materials Engineering https://dime.dot.ca.gov MATERIALS

ENGINEERING AND

TESTING SERVICES

DEPARTMENT OF

TRANSPORTATION

5900 FOLSOM BLVD

SACRAMENTO CA

95819-4612

(916) 227-5238

SWRCB, Land Disposal Program https://www.waterboards.ca.gov/wat er_issues/programs/land_disposal/w alist.html

2 BIDDING

Replace the 8th paragraph of section 2-1.06B with:

04-16-21

If bridge as-built drawings are available, submit a request to the Office of Structure Maintenance and Investigations electronic mailbox address BIRIS@dot.ca.gov. Include in your request:

1. Business name and address

2. Contact information: name, email address, and telephone number

3. Contract number

4. District-County-Route

5. Bridge number

Replace the 5th paragraph of section 2-1.12B(1) with:

10-19-18

You are responsible to verify at bid opening the DBE firm is certified as a DBE by the California Unified Certification Program and possesses the most specific available NAICS codes or work codes applicable to the type of work the firm will perform on the Contract.

Replace section 2-1.12B(2) with:

2-1.12B(2) DBE Commitment Submittal Submit DBE information under section 2-1.33.

Submit a copy of the quote from each DBE shown on the DBE Commitment form that describes the type and dollar amount of work shown on the form no later than 4 p.m. on the 5th day after bid opening. If the last day for submitting the quote falls on a Saturday or holiday, it may be submitted on the next business day with the same effect as if it had been submitted on the 5th day.

Submit a DBE Confirmation form for each DBE shown on the DBE Commitment form to establish that it will be participating in the Contract in the type and dollar amount of work shown on the form. If a DBE is participating as a joint venture partner, submit a copy of the joint venture agreement.

Failure to submit a completed DBE Confirmation form and a copy of the quote from each DBE will result in disallowance of the DBE's participation.

Add between the 4th and 5th paragraphs of section 2-1.15B:

Submit a copy of the quote from each DVBE listed on the Certified DVBE Summary form that describes the type and dollar amount of work shown on the form no later than 4 p.m. on the 4th business day after bid opening.

Add between the 3rd and 4th paragraphs of section 2-1.15C(1):

Submit a copy of the quote from each DVBE listed on the Certified DVBE Summary form that describes the type and dollar amount of work shown on the form no later than 4 p.m. on the 4th business day after bid opening.

Add between the 1st and 2nd paragraphs of section 2-1.18C:

Failure to submit a completed Certified Small Business Listing for the Non–Small Business Preference form by 4 p.m. on the 2nd business day after bid opening will result in a nonresponsive bid.

Replace section 2-1.33B with:

2-1.33B Bid Form Submittal Schedules 2-1.33B(1) General The Bid book includes forms specific to the Contract. The deadlines for the submittal of the forms vary depending on the requirements of each Contract. Determine the requirements of the Contract and submit the forms based on the applicable schedule specified in section 2-1.33B.

Bid forms and information on the form that are due after the time of bid may be submitted at the time of bid.

2-1.33B(2) Federal-Aid Contracts 2-1.33B(2)(a) General Section 2-1.33B(2) applies to a federal-aid contract.

2-1.33B(2)(b) Contracts with a DBE Goal 2-1.33B(2)(b)(i) General Section 2-1.33B(2)(b) applies if a DBE goal is shown on the Notice to Bidders.

2-1.33B(2)(b)(ii) Bid Form Submittal Submit the bid forms according to the schedule shown in the following table:

Bid Form Submittal Schedule for a Federal-Aid Contract with a DBE Goal

Form Submittal deadline

Bid to the Department of Transportation Time of bid except for the public works contractor registration number

Copy of the Bid to the Department of Transportation as submitted at the time of bid with the public works contractor registration number

10 days after bid opening

Subcontractor List Time of bid except for the public works contractor registration number

Copy of the Subcontractor List as submitted at the time of bid with the public works contractor registration number

10 days after bid opening

Small Business Status Time of bid Opt Out of Payment Adjustments for Price Index Fluctuationsa Time of bid

DBE Commitment No later than 4 p.m. on the 5th day after bid openingb

DBE Confirmation No later than 4 p.m. on the 5th day after bid openingb

DBE Good Faith Efforts Documentation No later than 4 p.m. on the 5th day after bid openingb aSubmit only if you choose the option.

bIf the last day for submitting the bid form falls on a Saturday or holiday, it may be submitted on the next business day with the same effect as if it had been submitted on the day specified.

2-1.33B(2)(b)(iii) Reserved 2-1.33B(2)(c) Contracts without a DBE Goal 2-1.33B(2)(c)(i) General Section 2-1.33B(2)(c) applies if a DBE goal is not shown on the Notice to Bidders.

2-1.33B(2)(c)(ii) Bid Form Schedule Submit the bid forms according to the schedule shown in the following table:

Bid Form Submittal Schedule for a Federal-Aid Contract without a DBE Goal

Form Submittal deadline

Bid to the Department of Transportation Time of bid except for the public works contractor registration number

Copy of the Bid to the Department of Transportation as submitted at the time of bid with the public works contractor registration number

10 days after bid opening

Subcontractor List Time of bid except for the public works contractor registration number

Copy of the Subcontractor List as submitted at the time of bid with the public works contractor registration numbers

10 days after bid opening

Small Business Status Time of bid Opt Out of Payment Adjustments for Price Index Fluctuationsa Time of bid aSubmit only if you choose the option.

2-1.33B(2)(c)(iii) Reserved 2-1.33B(2)(d)–2-1.33B(2)(h) Reserved 2-1.33B(3) Non-Federal-Aid Contracts 2-1.33B(3)(a) General Section 2-1.33B(3) applies to non-federal-aid contracts.

2-1.33B(3)(b) Contracts with a DVBE Goal 2-1.33B(3)(b)(i) General Section 2-1.33B(3)(b) applies if a DVBE goal is shown on the Notice to Bidders.

2-1.33B(3)(b)(ii) Bid Form Submittal Submit the bid forms according to the schedule shown in the following table:

Bid Form Submittal Schedule for a Non-Federal-Aid Contract with a DVBE Goal

Form Submittal deadline

Bid to the Department of Transportation Time of bid except for the public works contractor registration number for a joint-venture contract

For a joint-venture contract, copy of the Bid to the Department of Transportation as submitted at the time of bid with the public works contractor registration number

10 days after bid opening

Subcontractor List Time of bid Opt Out of Payment Adjustments for Price Index Fluctuationsa Time of bid

Certified DVBE Summary No later than 4 p.m. on the 4th business day after bid opening

California Company Preference Time of bid Request for Small Business Preference or Non– Small Business Preferencea Time of bid

Certified Small Business Listing for the Non– Small Business Preferencea

No later than 4 p.m. on the 2nd business day after bid opening aSubmit only if you choose the option or preference.

2-1.33B(3)(b)(iii) Reserved 2-1.33B(3)(c) Contracts without a DVBE Goal 2-1.33B(3)(c)(i) General Section 2-1.33B(3)(c) applies if a DVBE goal is not shown on the Notice to Bidders.

2-1.33B(3)(c)(ii) Bid Form Submittal Submit the bid forms according to the schedule shown in the following table:

Bid Form Submittal Schedule for a Non-Federal-Aid Contract without a DVBE Goal

Form Submittal deadline

Bid to the Department of Transportation Time of bid except for the public works contractor registration number for a joint-venture contract

For a joint-venture contract, copy of the Bid to the Department of Transportation as submitted at the time of bid with the public works contractor registration number

10 days after bid opening

Subcontractor List Time of bid Opt Out of Payment Adjustments for Price Index Fluctuationsa Time of bid

California Company Preference Time of bid

Certified DVBE Summaryb No later than 4 p.m. on the 4th business day after bid opening

Request for Small Business Preference or Non– Small Business Preferencea Time of bid

Certified Small Business Listing for the Non–Small Business Preferencea

No later than 4 p.m. on the 2nd business day after bid opening aSubmit only if you choose the option or preference.

bSubmit only if you obtain DVBE participation or you are the apparent low bidder, 2nd low bidder, or 3rd low bidder and you choose to receive the specified incentive.

2-1.33B(3)(c)(iii) Reserved 2-1.33B(3)(d)–2-1.33B(3)(h) Reserved 2-1.33B(4)–2-1.33B(9) Reserved

3 CONTRACT AWARD AND EXECUTION

Replace the 1st paragraph of Section 3-1.04 with:

Submit any bid protest to the Office Engineer before contract award.

4 SCOPE OF WORK

Add to the end of the 2nd paragraph of section 4-1.05A:

04-16-21

If you disagree with the terms of a Change Order, submit an RFI within 10 days of receipt of the approved Change Order.

Add to the end of section 4-1.05B:

Submit an RFI for an ordered change that materially changes the character of work within 10 days of the change.

Replace section 4-1.07 with:

4-1.07 VALUE ENGINEERING

4-1.07A General Reserved

4-1.07B Value Engineering Change Proposal You may submit a VECP to reduce any of the following:

1. Total cost of construction

2. Construction activity duration

3. Traffic congestion

4. Right-of-way delay or third-party utility delay

5. Public impact

Before preparing a VECP, meet with the Engineer to discuss:

1. Proposal concept

2. Permit issues

3. Impact on other projects

4. Project impacts, including traffic, schedule, and later stages

5. Peer reviews

6. Overall proposal merits

7. Review times required by the Department and other agencies

The VECP must not impair the project's essential functions or characteristics, including:

1. Service life

2. Operation economy

3. Maintenance ease

4. Desired appearance

5. Design and safety

The VECP must include:

1. Description of the Contract specifications and drawing details for performing the work and the proposed changes.

2. Itemization of Contract specifications and plan details that would be changed.

3. Detailed cost estimate for performing the work under the existing Contract and under the proposed change. Determine the estimates under section 9-1.04.

4. Deadline for the Engineer to decide on the changes.

5. Bid items affected and resulting quantity changes.

Submit a VECP using the Value Engineering Change Proposal Submittal form to the Engineer and the electronic mailbox on the form. The Engineer will acknowledge receipt of a VECP within 5 business days.

The Department makes every effort to consider a VECP. If a VECP is similar to a change in the plans or specifications being considered by the Department at the time the proposal is submitted or if the proposal is based on or similar to plans or specifications adopted by the Department before Contract award, the Department may make these changes without VECP payments. A VECP concept based on an alternative not chosen, but contemplated by the Department before bid, will be considered as a VECP.

If the Department does not approve a Change Order before the deadline stated in the VECP or other date you subsequently stated in writing, the VECP is rejected. The Department does not adjust time or payment for a rejected VECP.

The Department decides whether to accept a VECP and the estimated net construction-cost savings from adopting the VECP or parts of it. The Department may require you to accept a share of the investigation cost as a condition of reviewing a VECP. In determining the estimated net construction-cost savings, the Department excludes your VECP preparation cost and the Department’s VECP investigation costs, including parts paid by you. After written acceptance, the Department considers the VECP and deducts the agreed cost of the investigation.

If the Department accepts the VECP or parts of it, the Department issues a Change Order that:

1. Incorporates changes in the Contract necessary to implement the VECP or the parts adopted

2. Includes the Department's acceptance conditions

3. States the estimated net construction-cost savings resulting from the VECP

4. Adjusts the payment so that the Change Order results in a credit to the Department of 50 percent of the estimated net construction-cost savings, except if the VECP provides a reduction in traffic congestion or avoids traffic congestion

If a VECP providing for a reduction in traffic congestion or avoiding traffic congestion is accepted by the Department, the Department adjusts the payment that results in a credit to the Department of 40 percent of the estimated net construction-cost savings attributable to the VECP. Submit detailed traffic handling comparisons between the existing Contract and the proposed change, including estimates of the traffic volumes and congestion.

If a VECP providing for a reduction in working days is accepted by the Department, 50 percent of the reduction is deducted from the Contract time.

The Department may apply an accepted VECP for general use on other contracts.

If an accepted VECP is adopted for general use, the Department pays only the contractor who first submitted the VECP and only for the contracts awarded to that contractor before the submission of the accepted VECP.

If the Department does not adopt a general-use VECP, an identical or similar submitted proposal is eligible for acceptance.

4-1.07C Preconstruction Value Engineering Meeting You may request a preconstruction value engineering meeting by submitting a request after Contract approval and before the start of Contract time.

The preconstruction value engineering meeting creates opportunity for the Contractor and Department personnel involved in daily construction of the project to examine the Contract prior to the start of Contract time to identify potential cost or time saving proposals.

The Department offers the preconstruction value engineering meeting to:

1. Allow real-time feedback on ideas from either the Contractor or Department construction personnel

2. Expedite the process of developing and approving a VECP

The Department may postpone the start of Contract time based on the time required to develop and obtain approval of the VECP if:

1. Meeting results in a viable conceptual VECP

2. Project critical path method schedule is affected

Postponement of the start of Contract time does not apply to a cost-plus-time Contract.

4-1.07D Value Analysis Workshop Section 4-1.07D applies to a non-building-construction contract with a total bid of over $5 million.

You may request a value analysis workshop by submitting a request after Contract approval.

The Department offers a value analysis workshop to:

1. Identify value-enhancing opportunities

2. Consider changes to the Contract that will reduce the total cost of construction, construction activity duration, or traffic congestion without impairing the essential functions specified for a VECP in section 4-1.07B

If the request is authorized, you and the Engineer:

1. Schedule a value analysis workshop

2. Select a facilitator and workshop site

3. Agree to other workshop administrative details

The workshop must be conducted under the methods described in the Department's Value Analysis Team Guide. For the guide, go to the Department's Division of Design website.

The facilitator must be a certified value specialist as recognized by the Society of American Value Engineers.

The Department reimburses you for 1/2 of the workshop cost. The workshop cost is the sum of the workshop-facilitator cost and the workshop-site cost. The Engineer determines the workshop cost based on the facilitator and workshop-site invoice prices minus any available or offered discounts. The Department does not reimburse you for any other associated costs.

5 CONTROL OF WORK

Replace section 5-1.09B with:

10-16-20

5-1.09B Partnering Meetings 5-1.09B(1) General Reserved

5-1.09B(2) Partnering Facilitator, Workshops, and Meetings The Engineer sends you a written invitation to enter into a partnering relationship after Contract approval.

Respond within 15 days to accept the invitation and request the initial partnering workshop. After the Engineer receives the request, you and the Engineer cooperatively:

1. Select a partnering facilitator that offers the service of a monthly partnering-evaluation survey with a 5-point rating and agrees to follow the Department’s Partnering Facilitator Standards and Expectations available at the Department’s Division of Construction website.

2. Determine the initial workshop date, duration, and site location.

3. Discuss when, where, and how the project close-out partnering workshop will be held.

4. Agree to other workshop administrative details.

During the initial partnering workshop, determine the schedule for follow-up partnering team meetings.

Monthly follow-up partnering team meetings are encouraged through Contract acceptance. Quarterly follow-up partnering team meetings are required if monthly team meetings are not held. Additional partnering workshops may be held outside the scheduled partnering team meetings as determined by you and the Engineer.

5-1.09B(3) Facilitated Dispute Resolution The Department encourages the project team to exhaust the use of partnering meetings in dispute resolution before engaging an objective third party.

For certain disputes a facilitated dispute resolution session may be appropriate and effective in clarifying issues and resolving all or part of a dispute before referring the dispute to a DRA or DRB.

For projects with a DRB, an additional 20 days can be added before referring the dispute to a DRB traditional dispute meeting in accordance with section 5-1.43E(3)(d). This additional time affords the project team time to plan and hold the facilitated dispute resolution session. To allow this additional referral time, the project team must document its agreement and intention in the partnering charter as part of the dispute resolution plan.

Replace the 6th paragraph of section 5-1.13B(2) with:

If the Department authorizes the termination or substitution of a listed DBE, make good faith efforts to find another DBE. The substitute DBE must (1) perform at least the same dollar amount of work as the original DBE under the Contract to the extent needed to meet the DBE goal and (2) be certified as a DBE with the most specific available NAICS or work code applicable to the type of work the DBE will perform on the Contract at the time of your request for substitution. Submit your documentation of good faith efforts within 7 days of your request for authorization of the substitution. The Department may authorize a 7-day extension of this submittal period at your request. Refer to 49 CFR 26 app A for guidance regarding evaluation of good faith efforts to meet the DBE goal.

Replace the 2nd sentence in the 2nd paragraph of section 5-1.13C with:

The substitute must be another DVBE, unless DVBEs are not available. The substitute must perform the work originally stated.

Replace the 6th paragraph of section 5-1.13C with:

If a DVBE substitute is not available, requests for substitutions of a listed DVBE must include:

1. Contact with the DVBE advocate from the Department and the Department of Veteran Affairs

2. Search results from the Department of General Services' website of available DVBEs

3. Communication with a DVBE community organization nearest the job site, if applicable

4. Documented communication with DVBEs describing the work to be performed, the percentage of the total bid, the corresponding dollar amount, and the responses to the communication

Add to the list in the 1st paragraph of section 5-1.16:

10-16-20

5. Coordinate and manage project safety work

Replace section 5-1.24 with:

5-1.24 CONSTRUCTION SURVEYS

5-1.24A General The Department places stakes and marks under chapter 12, "Construction Surveys," of the Department's Surveys Manual.

Submit your request for Department-furnished stakes:

1. Once staking area is ready for stakes

2. On a Request for Construction Staking form

After your submittal, the Department starts staking within 2 business days.

Preserve stakes and marks placed by the Department. If the stakes or marks are destroyed, the Department replaces them at the Department's earliest convenience and deducts the cost.

Replace section 5-1.26 with:

5-1.26 RESERVED

Replace section 5-1.28 with:

5-1.28 PROJECT SAFETY REVIEWS

Your assigned project safety representative must perform and document project safety reviews with the Engineer:

1. At least 3 business days before the start of job site activities

2. Every other week after the start of job site activities and after any incident that results in serious injury, illness, or fatality to your personnel, subcontractor’s and supplier’s personnel, and any other persons present at the job site at the request of you or your subcontractors

3. Submit project safety review documentation to the Engineer and correct deficiencies within 3 business days from the day the project safety review is completed or sooner as directed by the Engineer

Upon Contract acceptance, your project safety representative must participate in a safety meeting with the Engineer.

Replace section 5-1.29 with:

5-1.29 JOB HAZARD ANALYSES

Prepare a job hazard analysis for each work activity to be performed on the job site as required by CA Code of Regs § 3203(a)(4) and 1511(b).

Submit each job hazard analysis as an informational submittal.

Each job hazard analysis must identify the following:

1. Work activity description

2. Existing and predictable hazards associated with the work activity

3. Hazard control measures, preventative, or corrective actions to be taken for the work activity

Submit each job hazard analysis at least 5 working days before the start of a work activity. During the project safety reviews required under Section 5-1.28, discuss job hazard analyses for active work activities and work activities planned to start within 5 working days.

Submit a revised job hazard analysis when equipment or methods change results in a change to the hazards previously identified. Submit a revised job hazard analysis within one working day of the identified change.

Replace the 2nd and 3rd paragraphs of section 5-1.43A with:

10-18-19

Submit potential claim records using the Department's Internet potential claim system. For information on submittal of potential claim records using the Internet potential claim system, go to the Department's Division of Construction website.

A potential claim record that you submit using the Internet potential claim system is the same as the originator of the claim and you signing the potential claim record.

For the Internet potential claim system, potential claim records are:

1. Initial Potential Claim Record form

2. Supplemental Potential Claim Record form

3. Full and Final Potential Claim Record form

4. Closed Potential Claim Record form

Submit a Closed Potential Claim Record form if you choose not to pursue an Initial Potential Claim Record that has been submitted.

Replace item 3.3.4 in the list in the 2nd paragraph of section 5-1.43D with:

3.3.4. Equipment rates at the rental rates listed in Labor Surcharge and Equipment Rental Rates in effect when the affected work related to the potential claim was performed

Add between the 2nd and 3rd paragraphs of section 5-1.43D:

If the total potential claim cost exceeds $500,000, include an independent CPA cost audit report. Submit the audit report within 70 days of the completion of the potentially claimed work. The CPA's cost audit must be performed as an examination-level engagement under the attestation engagements in the Government Auditing Standards published by the Comptroller General of the United States. The attest documentation prepared by the CPA in connection with the audit must be submitted for review with the audit report. Within 20 days of the Engineer's request, make your financial records available for an audit by the State for verifying the actual cost described in your audit. The Department does not participate in costs for the report where no entitlement is determined. If entitlement is determined, the Department pays for 1/2 the cost of the report; the Contractor pays for the other 1/2. The cost is determined under section 9-1.05 except no markup is allowed.

Replace section 5-1.43E(1)(i) with:

5-1.43E(1)(i) Payment 04-17-20

Pay the DRA or each DRB member $2,000 per day for the DRA's or DRB member's participation at each on-site meeting.

On-site meetings include:

1. Initial project meeting

2. Progress meetings

3. Dispute meetings

The payment includes full compensation for on-site time, travel expenses, transportation, lodging, travel time, and incidentals for each day or portion thereof.

Before a DRA or DRB member spends any time reviewing the plans or specifications, evaluating positions, preparing recommendations, completing forms, or performing any other off-site DRA- or DRB-related tasks, the parties must agree to pay for the tasks. Pay the DRA or DRB member $200 per hour for these off-site tasks. This payment includes full compensation for incidentals such as expenses for telephone, fax, and computer services.

The Department does not pay for (1) any DRA- or DRB-related work performed after Contract acceptance or (2) your cost of preparing for or attending ADR resolution meetings.

The Department pays:

1. $2,000 for each DRA on-site meeting

2. $6,000 for each DRB on-site meeting

3. $200 per hour for agreed off-site DRA- or DRB-related tasks

The Department does not adjust the unit price for an increase or decrease in the quantity of:

1. DRA on-site meeting

2. DRB on-site meeting

3. Hourly off-site DRA- or DRB-related tasks

Within 60 days of receipt of Department payment, submit copies of associated invoices and supporting documents in the form of a canceled check or bank statement for DRA- or DRB- payment verification.

Replace section 5-1.43E(2)(a) with:

10-16-20

5-1.43E(2)(a) General

Section 5-1.43E(2) applies to a contract with an estimated cost from $3 million to $10 million.

Replace item 1.2 in the list in the 1st paragraph of section 5-1.43E(2)(b) with:

1.2. Have completed training by the Department

Replace section 5-1.43E(3)(a) with:

5-1.43E(3)(a) General

Section 5-1.43E(3) applies to a contract with an estimated cost of over $10 million.

Replace item 1.2 in the list in the 1st paragraph of section 5-1.43E(3)(b) with:

1.2. Have completed training by the Department

6 CONTROL OF MATERIALS

Replace section 6-1.03 with:

04-19-19

6-1.03 LOCAL MATERIALS

6-1.03A General Local material must be rock, sand, gravel, earth, or mineral material other than local borrow, or selected material obtained or produced from a source in the work vicinity, specifically for use on the project. Local borrow must not be a material from an established commercial source.

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

Add to section 6-1:

6-1.06 RESERVED

6-1.07 PROHIBITIONS ON MATERIALS, EQUIPMENT, AND SERVICES

6-1.07A General Reserved

6-1.07B Telecommunications and Video Surveillance Equipment or Services Do not enter into, extend, or renew a contract to procure or obtain telecommunications and video surveillance equipment or services as described in 2 CFR 200.216 and 2 CFR 200.471.

Furnish telecommunications and video surveillance equipment with a certificate of compliance. The certificate must state telecommunications and video surveillance equipment was not procured or obtained from manufacturers identified in section 889 of the National Defense Authorization Act for Fiscal Year 2019 (Pub. L. 115-232).

6-1.07C–6-1.07G Reserved

7 LEGAL RELATIONS AND RESPONSIBILITY TO THE PUBLIC

Replace item 1.3 in the list in the 2nd paragraph of section 7-1.02K(3) with:

1.3. Last four digits of social security number pursuant to Labor Code § 226(a)

Delete the 4th paragraph of section 7-1.02K(3).

Replace the 6th through 10th paragraphs of section 7-1.02K(3) with:

Submit certified payroll records electronically using the Department’s contracted certified payroll internet system LCPtracker Pro. For information on submittal of certified payroll records using LCPtracker Pro, go to the LCPtracker website:

https://www.lcptracker.com/solutions/lcptracker

Request user account for your designated representative by submitting LCPtracker Vendor Access Request form.

Replace the 12th paragraph of section 7-1.02K(3) with:

Make all payroll records, including employee's complete social security number, available for inspection and copying or furnish a copy upon request of a representative of the:

1. Department

2. Division of Labor Standards Enforcement of the Department of Industrial Relations

3. Division of Apprenticeship Standards of the Department of Industrial Relations

Replace the 1st sentence in the 5th paragraph of section 7-1.02K(6)(a) with:

Submit copies of your Injury and Illness Prevention Program, Code of Safe Practices, and permits required by Cal/OSHA as informational submittals.

Replace section 7-1.02K(6)(j)(iii) with:

7-1.02K(6)(j)(iii) Unregulated Earth Material Containing Lead Reserved

Replace Reserved in section 7-1.02M(2) with:

Submit the names and emergency telephone numbers of the nearest fire suppression agencies before the start of job site activities as an informational submittal. Post the names and phone numbers at a prominent place at the job site.

Submit a copy of your fire prevention plan required by Cal/OSHA as an informational submittal before the start of job site activities.

04-19-19 Cooperate with fire prevention authorities in performance of the work.

Immediately report fires occurring within and near the project limits by dialing 911 and to the nearest fire suppression agency by using the emergency phone numbers retained at the job site.

Prevent project personnel from setting open fires that are not part of the work.

Prevent the escape of and extinguish fires caused directly or indirectly by job site activities.

Replace the 2nd paragraph of section 7-1.02M(3) with:

For the list of permitted sites, go to the Department of Conservation, Division of Mine Reclamation website.

Replace the 13th paragraph of section 7-1.03 with:

For a taper on a bridge deck or approach slab, construct the taper with rapid setting concrete under section 60-3.02B(2) or polyester concrete under section 60-3.04B(2). Prepare the surface to receive the taper under section 60-3.02C(7). For tapers with aggregate fillers, rake conform edges to ensure smooth transitions. Cure the taper for at least 3 hours or the minimum time recommended by the manufacturer before opening to traffic.

Replace the 4th sentence in the 16th paragraph of section 7-1.03 with:

When not described and if ordered, providing flaggers is change order work.

Replace the 3rd sentence in the 7th paragraph of section 7-1.04 with:

When not described and if ordered, providing flaggers is change order work.

Replace the 13th paragraph of section 7-1.04 with:

Equipment must enter and leave the highway via existing ramps and crossovers and must move in the direction of traffic. All movements of workers and construction equipment on or across lanes open to traffic must be performed in a manner that do not endanger the public. Your vehicles or other mobile equipment leaving an open traffic lane to enter the construction area must slow down gradually in advance of the location of the turnoff to give the traffic following an opportunity to slow down. When leaving a work area and entering a roadway carrying traffic, your vehicles and equipment must yield to traffic. Compensation for flaggers, used for all movement of workers and construction vehicles and equipment on or across lanes open to traffic, is included in the bid items of work involved.

Replace section 7-1.06 with:

7-1.06 INSURANCE

7-1.06A General Nothing in the Contract is intended to establish a standard of care owed to any member of the public or to extend to the public the status of a third-party beneficiary for any of these insurance specifications.

7-1.06B Casualty Insurance Obtain and maintain insurance on all of your operations with companies acceptable to the State as follows:

1. Keep all insurance in full force and effect from the start of the work through Contract acceptance.

2. Maintain completed operations coverage with a carrier acceptable to the State through the expiration of the patent deficiency in construction statute of repose set forth in Civ Pro Code § 337.1.

3. All insurance must be with an insurance company with a rating from A.M. Best Financial Strength

Rating of A- or better and a Financial Size Category of VII or better.

7-1.06C Workers' Compensation and Employer's Liability Insurance Under Labor Code § 1860, secure the payment of worker's compensation under Labor Code § 3700.

Submit to the Department the following certification before performing the work (Labor Code § 1861):

I am aware of the provisions of Section 3700 of the Labor Code which require every employer to be insured against liability for workers' compensation or to undertake self-insurance in accordance with the provisions of that code, and I will comply with such provisions before commencing the performance of the work of this contract.

Contract signing constitutes your submittal of this certification.

Provide Employer's Liability Insurance in amounts not less than:

1. $1,000,000 for each accident for bodily injury by accident

2. $1,000,000 policy limit for bodily injury by disease

3. $1,000,000 for each employee for bodily injury by disease

Coverage shall contain a waiver of subrogation in favor of the State, including its officers, directors, agents, and employees.

If there is an exposure of injury to your employees under the US Longshoremen's and Harbor Workers' Compensation Act, the Jones Act, or under laws, regulations, or statutes applicable to maritime employees, coverage must be included for such injuries or claims.

7-1.06D Liability Insurance 7-1.06D(1) General Evidence General Liability and Umbrella or Excess Liability Insurance covering all operations by or on behalf of you providing insurance for bodily injury liability, property damage liability, and personal and advertising injury for the limits outlined in 7-1.06D(2). Coverage must extend to premises, operations and mobile equipment, personal and advertising injury, products and completed operations, and contractual liability. Coverage shall not contain a cross-suits exclusion barring coverage for a suit brought by or between Caltrans and another Insured in the policy. Coverage shall also not contain an exclusion for explosion, collapse and underground hazards. Such policies must contain an annual reinstatement of limits during construction operations.

7-1.06D(2) Liability Limits/Additional Insureds The limits of liability must be at least the values shown in the following table:

Liability Limits Total bid For each occurrencea Aggregate for products/completed operation General aggregateb Umbrella or excess liabilityc ≤ $1,000,000 $1,000,000 $2,000,000 $2,000,000 $5,000,000 > $1,000,000 $1,000,000 $2,000,000 $2,000,000 $10,000,000 ≤ $10,000,000

> $10,000,000 $2,000,000 $2,000,000 $4,000,000 $15,000,000 ≤ $25,000,000 > $25,000,000 $2,000,000 $2,000,000 $4,000,000 $25,000,000 aCombined single limit for bodily injury and property damage.

bThis limit must apply separately to your work under this Contract.

cThe umbrella or excess policy must contain a clause stating that it takes effect (drops down) in the event the primary limits are impaired or exhausted. The required umbrella liability limits are separate from and in addition to the required general liability limits. The umbrella or excess policies shall not contain exclusions barring follow-form coverage for required coverages in this specification.

Do not require a small business subcontractor to carry liability insurance that exceeds the limits shown in the preceding table. For a small business subcontractor, interpret Total Bid in the table as the dollar amount of subcontracted work.

As used in section 7-1.06D(2), a small business:

1. For a non-federal-aid contract is defined in 2 CA Code of Regs § 1896 and is incorporated by this reference

2. For a federal-aid contract is defined in 13 CFR 121.201 and is incorporated by this reference

The State, including its officers, directors, agents (excluding agents who are design professionals), and employees, must be named as additional insureds under the General Liability and Umbrella Liability Policies with respect to liability arising out of or connected with work or operations performed by or on behalf of you under this Contract. Coverage for such additional insureds does not extend to liability:

1. Arising from any defective or substandard condition of the roadway which existed at or before the time you started work, unless such condition has been changed by the work or the scope of the work requires you to maintain existing roadway facilities and the claim arises from your failure to maintain;

2. For claims occurring after the work is completed and accepted unless these claims are directly related to alleged acts or omissions of you that occurred during the course of the work; or

3. To the extent prohibited by Ins Code § 11580.04.

Additional insured coverage must be provided by a policy provision or by an endorsement providing coverage at least as broad as Additional Insured endorsement form CG 2010 and CG 2037 (for completed operations), as published by the Insurance Services Office (ISO), or equivalent form as approved by the Department.

7-1.06D(3) Contractor's Insurance Policies are Primary The policy must stipulate that the insurance afforded the additional insureds applies as primary insurance.

Any other insurance or self-insurance maintained by the State is excess only and must not be called upon to contribute with this insurance.

7-1.06D(4) Contractor's Insurance - Waiver of Subrogation The policy must stipulate that coverage contains a waiver of subrogation in favor of the State, including its officers, directors, agents (excluding agents who are design professionals), and employees.

7-1.06D(5) Contractor's Insurance - Separation of Insureds The policy must stipulate that coverage shall apply separately to each insured against whom claim is made or suit is brought, except with respect to the limits of the insurer’s liability.

7-1.06E Automobile Liability Insurance 7-1.06E(1) General Evidence automobile liability insurance, including coverage for all owned, hired, and non-owned automobiles. The primary limits of liability must be not less than $1,000,000 combined single limit for each accident for bodily injury and property damage liability.

7-1.06E(2) Automobile Liability Insurance Scheduled on Excess Liability Policies The umbrella or excess liability coverage required under section 7-1.06D(2) also applies to automobile liability. The required limits of liability can be achieved by any combination of primary and excess policies.

Automobile liability coverage must be scheduled on excess liability policies in order to meet the required automobile liability limits.

7-1.06F Policy Forms, Endorsements, and Certificates Provide your General Liability Insurance under Commercial General Liability policy form no. CG0001 as published by the Insurance Services Office (ISO) or under a policy form at least as broad as policy form

no. CG0001.

7-1.06G Deductibles The State may expressly allow deductible clauses, which it does not consider excessive, overly broad, or harmful to the interests of the State. Regardless of the allowance of exclusions or deductions by the State, you are responsible for any deductible amount and must warrant that the coverage provided to the State complies with section 7-1.06.

7-1.06H Enforcement The Department may assure your compliance with your insurance obligations. Ten days before an insurance policy lapses, expires, or is canceled during the Contract period you must submit to the Department evidence of renewal through a binder or specimen copies of such policies or complete replacement of the policy.

If you fail to maintain any required insurance coverage, the Department may maintain this coverage and withhold or charge the expense to you or terminate your control of the work.

Any failure to comply with the reporting provisions of your policy shall not affect coverage provided to the State, including its officers, directors, agents (excluding agents who are design professionals), and employees.

You are not relieved of your duties and responsibilities to indemnify, defend, and hold harmless the State, its officers, agents, and employees by the Department's acceptance of insurance policies and certificates.

The minimum insurance coverage amounts do not relieve you for liability in excess of such coverage, nor do they preclude the State from taking other actions available to it, including the withholding of funds under this Contract.

7-1.06I Self-Insurance Self-insurance programs and self-insured retentions in insurance policies are subject to separate annual review and approval by the State.

If you use a self-insurance program or self-insured retention, you must provide the State with the same protection from liability and defense of suits as would be afforded by first-dollar insurance. Execution of the Contract is your acknowledgment that you will be bound by all laws as if you were an insurer as defined under Ins Code § 23 and that the self-insurance program or self-insured retention shall operate as insurance as defined under Ins Code § 22.

Replace section 7-1.09 with:

7-1.09 UNSHELTERED INDIVIDUALS ENCAMPMENTS

Notify the Engineer at least 10 days prior to needing access to areas in the right of way with encampments that affect performance of the work. The Department will remove encampments including encampment debris.

8 PROSECUTION AND PROGRESS

Replace the row for Safety in the table in the 2nd paragraph of section 8-1.03 with:

10-19-18

Safety Injury and Illness Prevention Program, Code of Safe Practices, and job site posters

Add to the end of the 4th paragraph of section 8-1.05:

If you disagree with a Weekly Statement of Working Days report, submit an RFI within 5 business days of receipt of the report.

Replace the 2nd paragraph of section 8-1.07C with:

Losses for idle equipment, idle workers, and moving or transporting equipment are eligible for delay-related payment adjustments.

Replace item 3 in the list in the 3rd paragraph of section 8-1.07C with:

3. Delay days exclude Saturdays and holidays.

Add to section 8-1.07C:

If you claim additional costs due to impacts from an excusable delay, you must comply with section 5-

1.42. Support your claim for additional costs based on the difference between the cost to perform the work as planned and the cost to perform the work as changed as determined under section 9-1.04. The Department adjusts payment for the work portion that was impacted.

Replace section 8-1.14E with:

8-1.14E Payment Adjustment for Termination If the Department issues a termination notice, the Engineer determines the payment for termination during the performance period, from contract approval date to contract acceptance date, based on the following:

1. Direct cost for the work performed:

1.1. Including:

1.1.1. Mobilization

1.1.2. Demobilization

1.1.3. Securing the job site for termination

1.1.4. Losses from the sale of materials

1.2. Not including:

1.2.1. Cost of materials you keep

1.2.2. Profit realized from the sale of materials

1.2.3. Cost of material damaged by:

1.2.3.1. Act of God

1.2.3.2. Act of a public enemy

1.2.3.3. Fire

1.2.3.4. Flood.

1.2.3.5. Governor-declared state of emergency

1.2.3.6. Landslide

1.2.3.7. Tsunami

1.2.4. Other credits

2. Cost of remedial work, as estimated by the Engineer, is not reimbursed.

3. Allowance for profit not to exceed 4 percent of the cost of the work performed where a likelihood of having made a profit had the Contract not been terminated is shown.

4. Material handling costs for material returned to the vendor or disposed of as ordered.

5. Costs in determining the payment adjustment due to the termination, excluding attorney fees and litigation costs.

6. Overhead costs.

Termination of the Contract does not relieve the surety of its obligation for any just claims arising out of the work performed.

9 PAYMENT

Add between the 1st and 2nd paragraphs of section 9-1.04A:

04-17-20

The Tentative Daily Extra Work Agreement form is used to identify the labor, materials, and equipment used on change order work paid at force account. Signatures on this form do not constitute final agreement regarding payment.

Replace the 2nd paragraph of section 9-1.06B with:

If the payment for the number of units of a bid item in excess of 125 percent of the Bid Item List is less than $15,000 at the unit price, the Engineer may not adjust the unit price unless you request it.

Replace section 9-1.07B(5) with:

9-1.07B(5) Hot Mix Asphalt Containing Reclaimed Asphalt Pavement The Engineer calculates the quantity of asphalt in HMA containing RAP using the following formula:

Qrap = HMARTT x Xaa where:

Xaa = Xta – [(Xrap x Xra x (Xta-100)) / (100 x (Xra – 100))] and:

Qrap = quantity in tons of asphalt used in HMA containing RAP HMARTT = HMA containing RAP, total tons placed Xaa = asphalt content of HMA containing RAP adjusted to exclude the asphalt content in RAP, expressed as a percentage of the total weight of HMA containing RAP Xta = total theoretical asphalt content in HMA containing RAP from the job mix formula, expressed as a percentage of the total weight of HMA containing RAP Xrap = RAP percentage in HMA containing RAP from the job mix formula, expressed as a percentage of the total dry weight of aggregate in HMA containing RAP Xra = average asphalt content of RAP from the job mix formula, expressed as percentage of total weight of RAP

Replace item 1.2 in the list in the 2nd paragraph of section 9-1.11C with:

1.2. Superintendents

Replace the 2nd sentence in the 7th paragraph of section 9-1.11E with:

The cost is determined under section 9-1.05 except no markup is allowed.

Replace section 9-1.16C with:

9-1.16C Materials On Hand A material on hand but not incorporated into the work is eligible for a progress payment if:

1. Compliant with other Contract parts

2. Material cost exceeds either of the following:

2.1. $50,000

2.2. $25,000 if the requestor is certified as one or more of the following:

2.2.1. DVBE

2.2.2. DBE

2.2.3. Small business as certified by Department of General Services, Office of Small

Business and Disabled Veteran Business Enterprise Services

3. Purchased

4. Invoice is submitted

5. Stored within the State and you submit evidence that the stored material is subject to the

Department's control

6. Protected from weather and contamination

7. Water pollution control measures are established and maintained

8. Requested on the Department-furnished form

Replace the 1st paragraph of section 9-1.16E(3) with:

During each estimate period you fail to comply with a Contract part, including the submittal of a document as specified, such as QC plans, schedules, traffic control plans and water pollution control submittals, the Department withholds a part of the progress payment except as specified below for the failure to submit a document during the last estimate period.

Replace section 9-1.16F with:

9-1.16F Retentions The Department does not retain moneys from progress payments due to the Contractor for work performed.

Replace the 3rd paragraph of section 9-1.17C with:

If you claim that the total for…