RSS_A04-15-22__2018.pdf

REVISED STANDARD SPECIFICATIONS DATED

04-15-22

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

04-15-22 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 --

10-15-21 Temporary railing Temporary barrier system Except Standard Plans

T3A, T3B, T4 Temporary railing (Type K) Temporary barrier system Except section 12-3.20, Standard Plans T3A, T3B, T4

Transportation Laboratory METS -- Type K temporary railing Temporary barrier system Except section 12-3.20, Standard Plans T3A, T3B, T4

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

04-15-22 ALR Area of Localized Roughness IRI International Roughness Index MRI Mean Roughness Index PPF Pavement Profile Format ProVal Profile Viewer and Analyzer UAS unmanned aircraft systems

Replace the row for FDR in the table in the 1st paragraph of section 1-1.06 with:

10-15-21

FDR full depth recycling

Replace the definition of schedule in section 1-1.07B with:

schedule:

1. baseline schedule: Initial schedule showing the original work plan starting on the date of Contract approval. This schedule shows no completed work to date and no negative float or negative lag to any activity.

2. update schedule: Current schedule developed from the accepted baseline and any subsequent accepted update schedules through regular monthly review to incorporate actual past progress.

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:

04-16-21

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

04-15-22 Division of Safety: MASH devices https://dot.ca.gov/programs/safety-programs/mash

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 paragraph of section 5-1.37B(3) with:

You may cross the bridge with pneumatic-tired material hauling equipment that exceeds the size and weight limits specified but that does not exceed the load limits shown on the "Material Hauling Equipment Loading" chart.

Replace items 3 and 4 in the 3rd paragraph of section 5-1.37B(3) with:

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

4. Allow at most 1 piece of equipment on the bridge at one time.

Add to the list in the 3rd paragraph of section 5-1.37B(3):

5. Operate equipment at a maximum speed of 25 mph.

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 with:

5-1.43E Alternative Dispute Resolution 5-1.43E(1) General 5-1.43E(1)(a) General The ADR process must be used for the timely resolution of disputes that arise out of the work.

You must comply with section 5-1.43E to pursue a claim, file for arbitration, or file for litigation.

The ADR process is not a substitute for submitting an RFI or a potential claim record.

Do not use the ADR process for disputes between you and subcontractors or suppliers that have no grounds for a legal action against the Department. If you fail to comply with section 5-1.43 for a potential claim on behalf of a subcontractor or supplier, you release the Department of the subcontractor's or supplier's potential claim.

Do not use the ADR process for quantification of disputes for overhead expenses or costs. For a dispute for overhead expenses or costs, comply with section 9-1.17D.

Each party and the DRA or DRB must complete the Dispute Resolution Advisor Agreement form or Dispute Resolution Board Agreement form and comply with the provisions of the agreement. For these forms, go to the Department's Division of Construction website.

No DRA- or DRB-related meetings are allowed until each party and the DRA or DRB, execute the agreement. However, each party and the DRA or DRB, may agree to sign and execute the agreement at the initial project meeting.

DRA or DRB members must attend each meeting with the parties.

DRA or DRB members must submit an updated disclosure statement whenever there is change in status.

The Department furnishes the DRA or DRB with the Contract documents and provides meeting facilities at no cost to you.

Neither party may meet nor discuss Contract progress or issues with the DRA or DRB members outside of progress meetings, traditional dispute meetings, and informal dispute meetings unless the other party is present or included in the communication.

5-1.43E(1)(b) Definitions dispute meeting: Traditional and informal dispute meeting.

DRA: 1-member board established by the parties to assist in resolving disputes.

DRB: 3-member board established by the parties to assist in resolving disputes.

party: You or the Department.

1. the parties: You and the Department jointly.

2. each party: You and the Department severally.

outside technical services: Consultants with no prior direct involvement in the Contract.

5-1.43E(1)(c) Establishment of Procedures Upon selecting the DRA or DRB, the parties must have an initial project meeting at the start of job site activities with the DRA or DRB to establish and agree to procedures for:

1. Submitting documents

2. Conducting hearings

3. Providing recommendations

4. Performing associated tasks

The established procedures must comply with the Contract and the Dispute Resolution Advisor Agreement or Dispute Resolution Board Agreement. The procedures need not comply with laws of evidence.

5-1.43E(1)(d) Progress Meetings The parties must periodically meet with the DRA or DRB at the job site so the DRA or DRB members can keep abreast of construction activities and become familiar with the work in progress.

The meetings must be held at the start of job site activities and at least once every 3 months after that.

The parties may agree to waive the scheduled meetings when the only work remaining is plant establishment work or permanent erosion control establishment work.

5-1.43E(1)(e) Traditional Dispute Meetings You must follow the traditional dispute meeting process to pursue a potential claim.

Either party may refer a dispute to the DRA or DRB. To request a dispute meeting, a party must submit a copy of the referral and supporting documentation to the DRA or DRB and the other party. The documentation must describe the dispute in individual discrete segments such that resolved and unresolved segments are differentiated. The party must include an estimate of the cost of the affected work and impacts to the work completion date.

If the dispute involves a subcontractor, the subcontractor's superintendent or project manager must attend the meeting otherwise your position paper is considered as your entire position.

Only the following persons are allowed to participate and present information at the meeting:

1. Engineer

2. Department's area construction engineer

3. Department's structure representative

4. Your superintendent

5. Your project manager

6. Either party's employees that have direct knowledge of the dispute and direct involvement in the project

7. Consultants directly involved in the development of the estimate or construction

8. Subcontractor's superintendent or project manager if the dispute involves a subcontractor

The person presenting information at the meeting must have been directly involved in the project at the time the dispute occurred.

The following persons are not allowed to attend the meeting:

1. Attorneys

2. Claim consultants

3. Outside technical services not employed by either party unless requested by the DRA or DRB

If the DRA or DRB needs outside technical services to help the DRA or DRB make a recommendation, the parties must agree to the services before they are provided. If the parties and the DRA or DRB agree, the technical services may be provided by technical staff who works for either party.

During a dispute meeting, each party presents its position, makes rebuttals, furnishes relevant documents, and responds to DRA or DRB questions and requests. The following is not allowed:

1. Testimony under oath

2. Cross-examination

3. Reporting of the procedures by a shorthand reporter or by electronic means

If either party fails to attend a dispute meeting, all documents submitted by the nonattending party is considered as the nonattending party's entire position, and the DRA or DRB and the attending party may proceed with the dispute process.

5-1.43E(1)(f) Informal Dispute Meetings The parties may resolve small and uncomplicated disputes using an informal process. The parties may use this process only if the parties and the DRA or DRB agree its use is appropriate for resolving the dispute.

The informal dispute meeting process is independent from the traditional process. The Department does not grant time extensions for the traditional dispute process if the informal dispute process is used.

Each party furnishes the DRA or DRB a 1-page brief description of the dispute with supporting documentation and any additional information requested by the DRA or DRB.

In an informal dispute meeting, each party presents its position and receives the DRA's or DRB's recommendation orally on the same day the dispute is heard. The DRA or DRB furnishes a 1-page report confirming the recommendation within 5 business days.

Either party may ask for clarification of the DRA's or DRB's recommendation at the dispute meeting.

If the dispute remains unresolved, the parties must notify the DRA or DRB within 5 business days after receipt of the DRA's or DRB's written confirmation of the recommendation.

The DRA or DRB will not be bound by its informal recommendation if a dispute is later heard in a traditional dispute meeting.

If the dispute is not resolved using the informal dispute meeting process, the parties must comply with the traditional dispute meeting specifications.

5-1.43E(1)(g) Recommendations Recommendations must be based on the Contract and contract documents.

Recommendations resulting from the ADR process are nonbinding.

If the parties resolve the dispute with the aid of the DRA's or DRB's recommendation, the parties must implement the resolution.

5-1.43E(1)(h) Completion of Alternative Dispute Resolution All ADR activities must be completed before Contract acceptance. Accelerated timeframes may be used if the parties and the DRA or DRB agree.

If a dispute becomes an unresolved claim after Contract acceptance, comply with section 9-1.17D(2).

Neither party may call the DRA or DRB members who served on the Contract as a witness in arbitration or other proceedings that may arise from the Contract.

The parties must indemnify and hold harmless the DRA or DRB members from and against all claims, damages, losses, and expenses, including attorney's fees, arising out of and resulting from the findings and recommendations of the DRA or DRB.

5-1.43E(1)(i) Payment 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 time and expenses, transportation, lodging, 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 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's 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.

5-1.43E(2) Dispute Resolution Advisor 5-1.43E(2)(a) General Section 5-1.43E(2) applies if a bid item for dispute resolution advisor on-site meeting is shown on the Bid Item List.

Dispute Resolution Advisors must be on the Department's Dispute Resolution Advisor Candidates List at the Department's Division of Construction website.

To be listed on the Department's Dispute Resolution Candidates List, candidates must:

1. Submit a completed Candidate Application for Dispute Resolution Board (DRB) Member / Dispute Resolution Advisor (DRA) form

2. Meet the minimum qualifications for experience

3. Have completed training by the Department

4. Have served on at least 3 dispute resolution boards on a Department contract as a member or at least 2 dispute resolution boards on a Department contract as the chairman

Candidates must submit an updated resume on Dispute Resolution Board (DRB) Member / Dispute Resolution Advisor (DRA) Resume form annually or whenever there is a change in status of active DRAs or DRBs.

5-1.43E(2)(b) DRA Selection Within 30 days after Contract approval, the parties must select a DRA using the following procedure:

1. Each party nominates 3 DRA member candidates, each candidate must:

1.1. Be knowledgeable in the contract documents and the type of construction anticipated in the

Contract

1.2. Have no prior direct involvement on the Contract

1.3. Have no financial interest in the Contract or with the parties, subcontractors, suppliers, consultants, or associated legal or business services within 6 months before award and during the Contract except for payments for Department DRA or DRB services or payments for retirement or pensions from either party not tied to, dependent on, or affected by the net worth of the party

2. The parties must request a disclosure statement from each nominated DRA candidate and must furnish them to the other party. Each statement must include:

2.1. Current resume of the candidate's experience

2.2. Declaration statement that describes past, present, anticipated, and planned professional or personal relationships with each of the following:

2.2.1. Each party involved in the Contract

2.2.2. Each party's principals

2.2.3. Each party's counsel

2.2.4. Associated subcontractors and suppliers

3. The parties are allowed:

3.1. One-time objection to any of the three candidates without stating a reason

3.2. Objection to any of the other party's subsequent candidates based on a specific breach of the candidate's responsibilities or qualifications under items 1 and 2 above

4. The parties must select 1 of the candidates to be the DRA. If the parties cannot agree on 1 candidate, each party must select 1 of the candidates nominated by the other and the DRA is decided between the 2 candidates by a coin toss.

5-1.43E(2)(c) DRA Replacement The services of the DRA may end at any time with a notice of at least 15 days if either of the following occurs:

1. DRA resigns.

2. Either party replaces the DRA for failing to comply with the required employment or financial disclosure conditions of the DRA as described in the Contract and the Dispute Resolution Advisor Agreement.

A DRA replacement is selected the same way as the original DRA. The selection of a replacement DRA must start upon determination of the need for a replacement and must be completed within 15 days. The Dispute Resolution Advisor Agreement must be amended to reflect the change of the DRA.

5-1.43E(2)(d) DRA Traditional Dispute Meeting If you choose to pursue a potential claim, refer the dispute to the DRA within 5 business days after receiving the Engineer's response to your Supplemental Potential Claim Record. The dispute meeting must be held no later than 25 days after the DRA receives the referral unless the parties agree otherwise.

At least 10 days before the scheduled dispute meeting, each party must furnish documentation to the DRA that supports its position and any additional information requested by the DRA. Upon receipt of both parties' position documentation, the DRA will provide each party the other party’s position documentation.

If the DRA requests additional information within 5 business days after the dispute meeting, the party receiving the request must provide this information to the DRA and the other party within 5 business days after receiving the request.

The DRA furnishes a written recommendation within 10 days after the dispute meeting unless the parties agree to allow more time.

Within 5 business days after receiving the DRA's recommendation, either party may request clarification of any part of the recommendation. The DRA furnishes a written response within 2 business days of the request. Only 1 request for clarification from each party is allowed per dispute.

Within 10 days after receiving the DRA's recommendation, each party must furnish a written response to the DRA and the other party indicating acceptance or rejection of the recommendation. If a party rejects the recommendation and has new information that supports its position, the party may request reconsideration. The reconsideration request must be made within 10 days after receiving the DRA’s recommendation. Only 1 reconsideration request from each party is allowed per dispute.

If the parties accept the DRA's recommendation but cannot agree on the time or payment adjustment within 30 days after accepting the recommendation, either party may request that the DRA recommend an adjustment.

5-1.43E(3) Dispute Resolution Board 5-1.43E(3)(a) General Section 5-1.43E(3) applies if a bid item for dispute resolution board on-site meeting is shown on the Bid Item List.

Dispute Resolution Board Members must be on the Department's Dispute Resolution Board Candidates List at the Department's Division of Construction website.

To be listed on the Department's Dispute Resolution Board Candidates List, candidates must:

1. Submit a completed Candidate Application for Dispute Resolution Board (DRB) Member / Dispute Resolution Advisor (DRA) form

2. Meet the minimum qualifications for experience

3. Have completed training by the Department

Candidates must submit an updated resume on Dispute Resolution Board (DRB) Member / Dispute Resolution Advisor (DRA) Resume form annually or whenever there is a change in status of active DRAs or DRBs.

5-1.43E(3)(b) DRB Member Selection Within 45 days after Contract approval, the parties must select DRB members and establish the DRB using the following procedure:

1. Each party nominates a DRB member candidate, each candidate must:

1.1. Be knowledgeable in the contract documents and the type of construction anticipated in the

Contract

1.2. Have no prior direct involvement on the Contract

1.3. Have no financial interest in the Contract or with the parties, subcontractors, suppliers, consultants, or associated legal or business services within 6 months before award and during the Contract except for payments for Department DRA or DRB services or payments for retirement or pensions from either party not tied to, dependent on, or affected by the net worth of the party

2. The parties must request a disclosure statement from each nominated DRB member candidate and must each furnish it to the other party. Each statement must include:

2.1. Current resume of the candidate's experience

2.2. Declaration statement that describes past, present, anticipated, and planned professional or personal relationships with each of the following:

2.2.1. Each party involved in the Contract

2.2.2. Each party’s principals

2.2.3. Each party’s counsel

2.2.4. Associated subcontractors and suppliers

3. The parties are allowed:

3.1. One-time objection to the other party's candidate without stating a reason

3.2. Objection to the other party's candidate based on a specific breach of the candidate's responsibilities or qualifications under items 1 and 2 above

4. If either party objects to the other party's candidate, the party whose candidate was objected to must nominate another DRB candidate within 5 business days.

5. The 1st candidate from a party that receives no objection becomes that party's selected DRB member.

6. Each party furnishes written notification to its selected DRB member.

7. Within 15 days after their notifications, the selected DRB members recommend to the parties the 3rd

DRB member candidate and furnish that candidate’s disclosure statement. If the 2 DRB members cannot agree on the 3rd DRB candidate, they will submit a list of two candidates to the parties for the final selection and approval.

8. Within 10 days after the recommendation, each party must notify the first 2 DRB members whether the party approves of or objects to the recommended 3rd DRB member candidate. Objections may be allowed based on item 3 above.

9. The 3 selected DRB members then decide who will act as the DRB chairman. If the parties do not agree with the selected chairman, the 3rd member will act as the DRB chairman.

5-1.43E(3)(c) DRB Member Replacement The services of a DRB member may end at any time with a notice of at least 15 days if any of the following occurs:

1. A member resigns.

2. The Department replaces its selected member.

3. You replace your selected member.

4. The Department's and your selected members replace the 3rd member.

5. Either party replaces any member for failing to comply with the required employment or financial disclosure conditions of the DRB membership as described in the Contract and in the Dispute Resolution Board Agreement.

Replacing any DRB member must be accomplished by written notification to the DRB and the other party with substantiation for replacing the member.

A replacement DRB member is selected the same way as the original DRB member. The selection of a replacement DRB member must start upon determination of the need for a replacement and must be completed within 15 days. The Dispute Resolution Board Agreement must be amended to reflect the change to the DRB.

5-1.43E(3)(d) DRB Traditional Dispute Meeting If you choose to pursue a potential claim, refer the dispute to the DRB within 21 days after receiving the Engineer's response to your Supplemental Potential Claim Record unless a facilitated dispute resolution is included in the signed original partnering charter, in which case, make the referral within 41 days after receiving the response. The dispute meeting must be held no sooner than 30 days and no later than 60 days after the DRB receives the referral unless the parties otherwise agree.

At least 15 days before the scheduled dispute meeting, each party must provide documentation to the DRB that supports its position and any additional information requested by the DRB. Upon receipt of both parties' position documentation, the DRB chairman will provide each party the other party’s position documentation.

If the DRB requests additional information at the dispute meeting, the party receiving the request must provide this information to the DRB and the other party within 10 days after receiving the request.

The DRB furnishes a written recommendation report within 30 days after the dispute meeting unless the parties agree to allow more time.

Within 10 days after receiving the DRB's recommendation report, either party may request clarification of any part of the recommendation. The DRB furnishes a written response within 7 days of the receipt of request. Only 1 request for clarification from each party is allowed per dispute.

Within 30 days after receiving the DRB's recommendation, each party must furnish a written response to the DRB and the other party indicating acceptance or rejection of the recommendation. If a party rejects the recommendation, the party must include a list of specific reasons for the rejection.