RFP 5-3337 EXHIBIT A

SCOPE OF WORK

Preparation of Plans, Specifications, and Estimates (PS&E) for the OC Streetcar Project

1.0 INTRODUCTION

The Orange County Transportation Authority (OCTA) is embarking on the development of a transit capital improvement project to improve mobility and connectivity in the most densely populated and highly transit dependent area in central Orange County. The OC Streetcar Project (the Project), formerly known as the Santa Ana/Garden Grove Streetcar, will extend 4.15 miles from the Santa Ana Regional Transportation Center (SARTC) through and into the eastern portion of the City of Garden Grove and will operate both within the public street and the Rights-of Way.

The Orange County Transportation Authority (OCTA) is seeking a Design Consultant (DC) to develop Plans, Specifications, and Estimates (PS&E) for OCTA’s bid and award of design-bid-build construction contracts to implement the Project. The DC shall produce the PS&E packages with all necessary approvals in a timely manner to meet the project budget and targeted bid dates. The DC shall manage and lead an efficient final design process that results in PS&E packages that are as free from conflicts, ambiguities, omissions, and errors as possible. This is Orange County’s first modern urban rail transit system. The Project will be funded by the Federal Transit Administration (FTA). It will be a high-profile project with extensive oversight.

2.0 OBJECTIVES

The objective of the DC’s work efforts are summarized into the following key components:

• Provide the required staff, resources, and expertise to effectively produce quality PS&E packages on schedule and within the design and construction budgets.

• Ensure compliance with all federal, state, and local laws, regulations, rules, mandates, and standards applicable to OCTA and the project.

• Work cooperatively and comply with the requirements of OCTA, FTA, the Cities of Santa Ana and Garden Grove (Cities), Department of Transportation (Caltrans), California Public Utilities Commission (CPUC), Southern California Regional Rail Authority (SCRRA), County of Orange, Utility Owners, and other federal, state, and local regulatory agencies as required.

3.0 BACKGROUND

3.1 Project Overview

The Project is being developed by OCTA and the Cities to accomplish the following overall objectives:

• Improve transit accessibility and mobility.

• Be financially feasible and cost efficient to construct, operate and maintain.

• Reduce automobile trips and improve air quality.

• Support economic vitality and job growth.

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• Encourage pedestrian and bicycle activity.

• Be sensitive to the character of the community.

• Support plans for transit-oriented development.

The Project will provide east-west transit service between the SARTC and a new transportation hub located near the intersection of and Westminster Avenue in Garden Grove. This is shown in Exhibit 1.

Exhibit 1: OC Streetcar Project

The Project will utilize modern streetcar technology and primarily operate at street grade in mixed traffic, with some exclusive right-of- way, and will operate using an overhead power supply. The Project will utilize the Pacific Electric Right-of-Way (PE ROW, owned by OCTA) through the western half of its alignment and substantially operate along Santa Ana Boulevard and 4th Street along the eastern half of its alignment. The system will have a route length of about 4.15 miles (8.30 track miles), with 12 stations in each direction and an anticipated fleet size of seven vehicles. The City of Santa Ana estimates ridership to range between 3,770 and 8,410 in daily boardings (2035). Also, the City of Santa Ana estimates the capital cost for the Project is $238 million in 2011 dollars. Updated ridership and capital cost estimates will be prepared by the Project Management Consultant (PMC) shortly after commencement of this design contract.

The Project is a component of Measure M2, the half-cent sales tax approved by Orange County voters in 2006, which, among other transportation improvements, increases service on between Fullerton and Laguna Niguel/Mission Viejo and Project S, within Measure M2, creates transit connections between Metrolink stations and nearby activity and employment centers. The other Project S fixed-guideway transit project, currently advancing through environmental clearance, is the (ARC) Project, which will operate from the Anaheim Regional Intermodal Center (ARTIC) through the Platinum Triangle and the Anaheim Resort. Given that less than three miles separates the two proposed modern streetcar projects on Harbor Boulevard, they could potentially be joined into a single system in the future. On July 8, 2013, the OCTA Board of Directors (Board) directed OCTA staff to “work with the City of

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Anaheim to ensure that the development of their locally preferred alternative (LPA) provides for compatibility with the proposed Santa Ana-Garden Grove Streetcar Project” (now OC Streetcar). In addition, the Central Harbor Boulevard Transit Corridor Planning study will begin during the Summer of 2015 which will evaluate transit connections along Harbor Boulevard between Westminster Boulevard in the City of Santa Ana to Commonwealth Avenue in the City of Fullerton. While this contract will only include design for the OC Streetcar Project, it will be important that the design consider the possibility of these future extensions and how a larger system in the future might affect how the Project should be designed.

Vehicle procurement will be conducted by OCTA, with support from the Project Management Consultant (PMC), in parallel with Final Design. Given that future vehicle procurements resulting from service expansions, line extensions, and vehicle replacements could result in a different vehicle than the initial order, it will be important that the design accommodate as wide a range of the characteristics of modern streetcar vehicles as possible. The “OCTA Streetcar Basis of Design”, should be used as the starting point for a more detailed Project Design Criteria to be developed by the DC prior to the initial plan submittal.

The Project Environmental Assessment/Draft Environmental Impact Report (EA/DEIR), Revised Environmental Assessment/Final Environmental Impact Report (REA/FEIR) and Alternatives Analysis (AA) were completed in 2014 and 2015, respectively.

The LPA recommendation was approved by the Santa Ana City Council on August 5, 2014. It includes Streetcar Alternative 1, Maintenance and Storage Facility (MSF) Site B (near the intersection of 5th Street and Raitt Street), and 4th Street Parking Scenario A (replacement of diagonal parking with parallel parking on the south side of the street).

A Notice of Determination (NOD) was issued by the City of Santa Ana on January 20, 2015 and a Finding of No Significant Impact (FONSI) was issued by FTA on March 10, 2015, providing environmental clearance for the Project.

On August 11, 2014, the OCTA Board approved OCTA to serve as the lead agency for project development, engineering, construction, operations, and maintenance. As the project sponsor, OCTA will pursue FTA Section 5309 New Starts funding for the Project. On February 13, 2015, OCTA requested approval to enter into project development from the FTA, the first phase of the New Starts project, under the FTA Capital Investment Grant Program. OCTA anticipates receiving acceptance into project development in May 2015. Once approved to enter into project development, OCTA will have two years, per FTA requirements, to complete as much engineering and design work on the Project as needed to confirm project scope and cost.

To realize Project efficiencies, and consistent with Measure M2 (M2) Project S: Transit Extensions to Metrolink Program, the Cities will serve in the following roles:

• Support in the continued development, engineering, and construction of the Project.

• Provide ten percent annual operating contribution (from the City of Santa Ana).

• Assist with necessary Right-of-Way (ROW) acquisitions, approvals, and permits, as well as utilities and utility relocation.

• Assist with outreach to community members, residents, business owners, and other stakeholders.

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On February 23, 2015, the OCTA Board engaged a PMC for the Project to assist OCTA with the management of project development, design, Right-of-Way acquisition, vehicle procurement, construction, establishment of operations, and start-up and testing through to the initiation of service.

3.2 Project Schedule

The anticipated Project schedule is as follows:

• 2014 to 1st Quarter 2015: Pre-Project Development.

• 2nd Quarter 2015 to 4th Quarter 2015: Project Development.

• 1st Quarter 2016 to 2nd Quarter 2017: Engineering.

• 3rd Quarter 2017 to 3rd Quarter 2019: Construction.

• 4th Quarter 2019: Testing/Start-Up and Revenue Operations.

3.3 Project Budget

The City of Santa Ana estimated that the capital cost of the Project is $238 million in 2011 dollars. Project costs, including construction of the guideway and the maintenance facility, vehicle procurement, Right-of-Way acquisition, utility relocation, final design, and other soft costs, shall not exceed the budget limit. If any of the cost estimate updates exceeds the project budget, the DC shall recommend and implement alternatives for reducing the project costs to within the budget.

3.4 Federal Requirements

The Project is expected to obtain federal funding through the FTA Capital Investment Grant Program (also known as The New Starts/Small Starts Program). As such, all work, including work under the DC’s contract, is subject to federal requirements as may be updated during the course of the project. Relevant federal requirements are generally identified in the following regulations, FTA circulars, and guidance and are available at http://www.fta.dot.gov/.

Regulations

• Project Management Oversight, 49 C.F.R. Part 633.

• Major Capital Investment Projects, 49 C.F.R. Part 611.

• Joint FTA/FHWA regulations, Metropolitan Planning, 23 C.F.R. Part 450.

• Joint FTA/FHWA regulations, Environmental Impact and Related Procedures, 23 C.F.R. Part 771.

• U.S. Department of Transportation (DOT) regulation, Uniform Relocation Assistance and Real Property Acquisition for Federal and Federally Assisted Programs, 49 C.F.R. Part 24.

FTA Circulars

• C4220.1F, Third Party Contracting Guidance.

• C5010.1D, Grant Management Guidelines.

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• FTA Master Agreement.

• C5800/1, Safety and Security Management Plan.

• Best Practices Procurement Manual.

Guidance

• Guidance for Transit Financial Plans, June 2000.

• Reporting Instructions for the Section 5309 New Starts Criteria.

• Interim Guidance on Design-Build.

• Quality Assurance and Quality Control Guidelines.

• Project and Construction Management Guidelines, July 2011.

• Value Engineering Process Overview, January 1998.

• Transit Cooperative Research Program (TCRP) G-08 - A Guidebook for the Evaluation of Project Delivery Methods.

The above list is to be used as a reference guide only, and is not intended to be inclusive of all federal requirements required for compliance with project implementation. The Project must comply with the Americans with Disabilities Act and Buy America legislation. The DC shall be responsible to assure compliance with all federal requirements during project implementation, whether or not they are listed above.

3.5 State and Local Requirements

Work shall conform to the governing standards and current requirements of state and local agencies such as OCTA, City of Santa Ana, City of Garden Grove, Caltrans, and the California Public Utilities Commission (CPUC). In addition, work shall conform to the guidance and best practices of transportation organizations such as the American Public Transit Association (APTA), American Association of State Highway and Transportation Officials (AASHTO), American Society for Testing and Materials (ASTM), and the National Association of City Transportation Officials (NACTO). Other conformance documents/requirements shall include California Title 24, Building Codes, Fire Protection Codes, Occupational Safety and Health (OSHA) requirements, the Manual on Uniform Traffic Control Devices (MUTCD), OCTA Standards for Contract Documents including General Provisions, Special Provisions, and Technical Specifications, and the OCTA Right of Way Manual.

3.6 Reference Materials

DC shall utilize the latest edition of the following documents (note the listing of reference materials below is not all-inclusive):

• American Railway Engineering and Maintenance of Way Association (AREMA).

• FTA Policies, Procedures, and Requirements.

• California Public Utilities Commission (CPUC) General Orders Requirements.

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• California Regional Water Quality Control Board Requirements.

• California Department of Toxic Substances Control Board Requirements.

• California State Water Resources Control Board Requirements.

• Standard Specifications for Public Works Construction (SSPWC).

• Orange County Hydrology Manual.

• City Drainage Master Plans.

• OCTA Right of Way Manual.

• OCTA Standards for Contract Documents including General Provisions, Special Provisions, and Technical Specifications.

• City Standard Drawings and Specifications (Each City as Appropriate).

• Applicable Local Codes and Manuals.

• Construction Best Management Practices (BMP’s).

• CEQA and NEPA Handbooks.

• A Policy on Geometric Design of Highways and Streets (AASHTO).

• Manual of Uniform Traffic Control Devices (MUTCD).

• California MUTCD.

• Caltrans DOS Structures Manuals, including Information & Procedures Guide, Design Details, Aids, Practice and Memo to Designers Manuals.

• Caltrans Project Development Procedures Manual.

• Caltrans Environmental Guidelines & Manuals.

• Caltrans Plans Preparation Manual.

• Caltrans CADD Users Manual.

• Caltrans Highway Planting and Irrigation Manual.

• Caltrans Guide for Submittal of PS&E.

• Caltrans RTL Guide.

• Caltrans Standard Plans and Standard Specifications.

• Caltrans Storm Water Quality Handbooks.

• Caltrans Right of Way Engineering Procedures Handbook.

• Caltrans Surveys Manual.

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• Caltrans District 12 R/W Engineering Requirements for the Preparation of Documents and Maps.

• Santa Ana and Garden Grove Fixed Guideway Corridor Alternatives Analysis Report.*

• Santa Ana and Garden Grove Fixed Guideway Project Environmental Assessment/Draft Environmental Impact Report (EA/DEIR) and Appendices, including Preliminary Jurisdictional Delineation, Biological Technical Report, Community Impact Assessment, Section 4(f) Evaluation, Visual Impact Assessment, Cultural Resources Evaluation, Paleontological Technical Memorandum, Hazardous Materials Initial Site Assessment, Traffic Impact Technical Report, Noise and Vibration Technical Report, Air Quality Impact Analysis, Energy Output Tables, Water Resources Technical Report, Bridge Design Option Technical Report, Engineering Drawings, and Drainage Technical Report.*

• Santa Ana and Garden Grove Fixed Guideway Project Revised Environmental Assessment/Final Environmental Impact Report (REA/FEIR).*

• Santa Ana and Garden Grove Fixed Guideway Project, Finding of No Significant Impact (FONSI).*

• FTA Project Development Acceptance Letter*

• Santa Ana and Garden Grove Fixed Guideway Project, Conceptual Design Technical Report.

• OCTA Streetcar Basis of Design.

*Project reports can be found at www.ocstreetcar.net.

3.6 Design Consultant’s Organization

The control and supervision of all aspects of this project shall be under the direction of a Project Manager (PM) who has sufficient experience in working on capital projects of similar nature and a demonstrated capacity to oversee and manage the Project.

A competent team of staff, adequate in number and experience to perform the scope of work described herein, shall be assigned to this project to accomplish the work within the agreed time schedule. Key staff must exhibit demonstrated experience in the Design of rail projects and the successful implementation of similar projects (in-street design in an urban environment). The DC must provide and maintain oversight from a registered Professional Engineer in the State of California.

In addition, the team must show experience working together on projects of similar nature and scope as well as provide references for such projects.

4.0 SCOPE OF SERVICES

4.1 TASK 1‒ Project Management

4.1.1 Administration

• Perform administration of the contract such as work assignments, sub-consultant coordination, invoices, and monthly progress reports. Include in this documentation an update on use of Disadvantaged Business Enterprise (DBE) firms, as required.

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• Within the monthly progress reports, outline the work progress, significant issues requiring resolution, and a financial report of the project fees. • Review and comment on the Project Management Plan (PMP) prepared by the PMC. Add detail to the PMP related to the design effort. Deliverables: • Monthly invoices with monthly progress reports.

4.1.2 Project Coordination

• Provide direction and overall supervision to the design team, including its staff and sub- consultants. • Provide Project Manager, along with designated project representatives, for the design team. • Oversee the allocation and delegation of all authorized work in accordance with the established work plan. • Manage project design efforts to achieve uniformity and quality. • Provide technical direction and monitor work activities. • Conduct weekly design team progress and coordination meetings as needed with OCTA, the PMC, and the Cities. • Act as a liaison with third parties, as needed, to complete tasks as outlined in the scope of work. • Provide materials and technical support for all outreach activities, including presentations to OCTA, City officials and their staff members, other project stakeholders, third parties, business groups, and neighborhood/community groups potentially impacted or affected by this project. Deliverables: • Agendas for each meeting. • Notes for each meeting within 5 days of meeting. • Materials for meetings and presentations.

4.1.3 Project Schedule

• Within 21 calendar days of Notice to Proceed (NTP), prepare a design schedule for the design activities for review and approval by OCTA and the PMC. The design schedule shall include reasonable timeframes for reviews and a reasonable number of review cycles. • Upon approval by OCTA and the PMC, this schedule will become the approved baseline schedule. • Provide monthly schedule updates, comparing actual progress against the approved baseline schedule. • The design schedule shall be in Primavera format and shall be incorporated into the overall Master Project Schedule (MPS) maintained by the PMC. Deliverables: • Baseline schedule within 21 days of NTP. • Monthly schedule updates.

4.1.4 Document Control

• Develop and distribute technical reports and memoranda, as needed, to obtain concurrence and document the basis of design as the design progresses.

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• Store documents in the overall project Document Control System, maintained by the PMC, in conformance with the Document Control Plan to be developed by the PMC, within 7 calendar days of completion of the document. • Plans shall be prepared in conformance with the latest version of the Caltrans “Drafting and Plans Manual” and “CADD Manual”, and the DC shall furnish .dgn files in the Microstation version currently in use by Caltrans at the time of submittal. • PS&E shall be prepared in English units and in conformance with the most recent version of the Caltrans “Guide for the Submittal of Plans, Specifications and Estimates”, and Caltrans Standard Plans.

4.1.5 Quality Management

• Comply with the Quality Management Plan, to be developed by the PMC. • Provide ongoing quality control documentation along with every submittal to confirm compliance with the approved Quality Management Plan and be prepared for review and audit by the PMC, OCTA, or FTA. Deliverables: • Quality control documentation with each submittal.

4.1.6 System Safety and Security Plan

• Review and comment in accordance with FTA guidance on the Project System Safety and Security Management Plan prepared by the PMC. • Provide signed certifiable elements forms accompanying each submittal as certifiable design elements are completed. The certifiable elements form will be provided by the PMC, which will be based on the codes, standards, and design criteria that will be basis of design. Deliverables: • Comments on Project System Safety and Security Management Plan. • Signed Certifiable Elements Forms with each submittal.

4.1.7 Design Review

• For each bid package submittal (30%, 60%, 90%, and ready-for-bid), provide a written response to all comments received, either explaining why the design is correct as it stands or explaining how you will address the comment within 14 calendar days of receiving comments. • For each bid package submittal (30%, 60%, 90%, and ready-for-bid), participate in a formal review meeting with OCTA, the PMC, the Cities, and possibly others approximately 7 calendar days after providing written responses to comments. • For each subsequent submittal review, include the updated comment-response log confirming that the promised actions to address comments have been completed. • For each 60% submittal, participate in a constructability review meeting with OCTA, the PMC, the Cities, and possibly others. • For each plan sheet that will require the approval and signature of a city or third party, the DC shall identify the plan sheets needing these approvals, and will coordinate with each reviewing/approving agency, as necessary, to obtain the required approvals and signatures. The DC shall inform OCTA and the PMC of all such coordination so that OCTA and the PMC have the opportunity to participate in the coordination meetings and help resolve any issues that may arise. The DC should brief the reviewing agencies on the project early in the design development and obtain a clear understanding of each reviewing agency’s requirements. The DC should discuss with each reviewing agency their point of contact and whether or not they

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want the opportunity to review interim submittals or participate in design review meetings. Plan review shall be in accordance with any applicable Cooperative Agreements between OCTA and third parties. • The design will comply with CPUC General Orders. Any variance to a CPUC General Order will need to be brought to the attention of OCTA and the PMC. The DC will coordinate with CPUC for the approval of any necessary variances, including the horn-sounding exemption included in the REA/FEIR as a mitigation measure for the crossings at 5th and Fairview Streets. The CPUC will need to approve the design and the Safety Certification Process. Therefore, the DC should coordinate early with the CPUC on the project as design is being initiated. Also, the DC will be responsible for the submission of the Grade Crossing Applications to CPUC after the 60% submittal. • The DC shall prepare and maintain a tracking list of all necessary permits for construction. The DC will update the list, as needed. The DC shall prepare and submit permit applications as directed by OCTA and the PMC. These could include, but are not limited to, Cities of Santa Ana and Garden Grove Construction Permits, Southern California Regional Rail Authority Right-of-Entry Permit, Orange County Flood Control District Encroachment Permit, Army Corps of Engineers 404 Permit, California Department of Fish and Wildlife Streambed Alteration Agreement, Regional Water Quality Control Board 401 Water Quality Certification, Stormwater Municipal Separate Storm Sewer System Permit, and National Pollutant Discharge Elimination System Permit. Deliverables: • Comment response log with responses to each comment, updated as changes are incorporated into PS&E, with each submittal. • Approvals and signatures of Cities and Third Parties before the ready-for-bid submittal. • CPUC variances, as required, including horn-sounding exemption for 5th and Fairview, before the ready-for-bid submittal. • CPUC Grade Crossing Applications after the 60% submittal. • Permit tracking log, updated bi-weekly or monthly. • Approved permit applications, including Construction Permits, Right-of-Entry Permits, Encroachment Permits, and Environmental Permits, before the ready-for-bid submittal.

4.1.8 Value Engineering

• Participate in a four-day combined risk assessment and value engineering (CRAVE) workshop to be organized by the PMC. The workshop will occur within approximately 30 calendar days of the NTP. • Provide a list of proposed technical representatives to attend the CRAVE workshop at least 14 days prior to the meeting. OCTA or the PMC will approve attendees at least 7 days prior to the workshop. • Upon receipt of the Value Engineering (VE) Study from the PMC, further evaluate any VE suggestion that requires further analysis, prior to OCTA making the final decision whether or not to accept the VE suggestion. • Incorporate accepted VE suggestions into the final design and the subsequent submittal. • It can be anticipated that VE suggestions will include: o Redesign the Harbor Blvd terminus to allow future expansion of the station platform to accommodate a two-car train.

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o Confirm that all proposed station locations can be expanded in the future to accommodate two-car trains. o Deferment of the station at Willowick. Construct underground improvements and concrete flatwork. Procure and store station fixtures and amenities. o Alternative Bridge design to provide operational efficiencies for Project and to integrate active transportation. o Moving the streetcar tracks from outside lanes to inside lanes for some distance between Raitt Street and Parton Street. o Modification of track design to allow eastbound streetcars to use Santa Ana Blvd. (with cones and traffic control) in lieu of 4th Street during special events. o Modification of diagonal parking on 4th Street to reverse diagonal parking to reduce the number of parking spaces impacted by the project.

There will be other VE suggestions and the DC is strongly encouraged to voice its suggestions during this process. The intent of the VE is to examine and explore potential improvements to the design and to identify any necessary changes as early as possible. This will enable the production of PS&E to proceed most efficiently. Suggestions brought up after the VE will need to demonstrate significant benefits in order to be considered. Deliverables: • Proposed list of attendees for CRAVE workshop 14 days prior to workshop. • Evaluation of VE suggestions prior to the 30% submittal.

4.1.9 Environmental Update

• DC may be requested to provide the necessary engineering plans and support to update the approved EA/EIR, necessitated by design modifications that arise as part of the final design activity. Deliverables: • Plans to support updates to the approved EA/EIR.

4.2 TASK 2 ‒ Design Support

4.2.1 Design Criteria

• Prepare a draft and final design criteria manual for the project using the supplied “OCTA Streetcar Basis of Design” as a starting point. The draft design criteria should be submitted within 30 days of NTP. The design criteria manual shall follow the general outline below: a. General b. Track Geometry and Trackwork c. Street Reconstruction and Drainage d. Utilities e. Stray Current/Corrosion Control f. Station Areas/Platforms g. Landscaping and Urban Design h. Structures i. Lighting j. Traffic Signals k. Communications l. Fare Collection m. Traction Power and Electrification Systems

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n. Maintenance and Storage Facility o. Others as recommended by the DC, OCTA, or the PMC

• Prepare updates and revisions to the design criteria manual as necessary. • With each submittal, prepare a technical memorandum identifying any newly identified design variances or exceptions since the prior submittal. Explain the consequences if the design variance or exception is not approved, and explain the consequences of accepting the variance or exception. OCTA will either accept the design variances or exceptions, or will request an alternative design. Deliverables: • Design Criteria Manual—Initial draft within 30 days of NTP and updates, as required. • Design Criteria variances or exceptions with each submittal.

4.2.2 Base Mapping

• Within 14 calendar days of NTP, review existing base mapping and prepare a technical memo recommending use of all, some, or none of the existing base mapping with justification, for the consideration and approval of OCTA. Include in the technical memo a scope and fee estimate for any additional base mapping to be performed under the DC contract. • Perform topographic field survey and prepare base mapping in sufficient detail for preparation of the final design plans as deemed necessary by the design team, consistent with the approved recommendation above. • Base mapping shall include locations of surface features within the public Right-of-Way, including site surveys for the Traction Power Substation (TPSS) locations and the MSF location. • The DC shall conduct all surveys in conformance with the Land Surveyor’s Act and Caltrans Survey Manual for PS&E. • Base mapping shall include, but not be limited to, the following: Right-of-Way, surface markings of underground utilities, storm drain inverts, curb and gutter, and sidewalk and building thresholds at station areas. Deliverables: • Recommendation regarding use of existing mapping or development of new mapping, including a scope and fee estimate, within 14 days of NTP. • Base mapping in Microstation format by the 30% submittal.

4.2.3 Geotechnical

• Review available geotechnical data, and given the need to produce a geotechnical report that will be the basis of design for the MSF building, the bridge over Westminster Avenue, the bridge over the Santa Ana River, OCS foundations, and all other structures and project elements, including track slabs and roadways, soil resistivity for stray current analysis, and data needed for traction power substation grounding. Develop a geotechnical sampling and testing plan for the review and approval of OCTA. • Upon OCTA’s approval, conduct the sampling and testing program for the Project and prepare the Geotechnical Report. • The DC shall be responsible for all field operations, all access permits, and all traffic control permits and traffic control.

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• The DC shall schedule the geotechnical investigations so that information is available when needed to meet the design schedule. • Provide information on soil resistivity for stray current analysis and traction power substation grounding. • Perform Phase 1 Environmental Site Assessment (ESA) for the entire alignment. Where recommended by the Phase 1 ESA, develop a sampling plan, and upon approval by OCTA, perform hazardous materials sampling and prepare Phase 2 ESAs. • Prepare specifications for the construction contract pertaining to geotechnical conditions and any work that may encounter hazardous materials. Deliverables: • Geotechnical Sampling and Testing Plan. • Phase 1 ESA. • Phase 2 ESA Sampling and Testing Plan. • Access and traffic control permits for geotechnical and phase 2 sampling. • Geotechnical report. • Phase 2 ESA. • Contract Specifications.

4.2.4 Traffic Analysis

• Prior to, or in conjunction with the 30% submittal, prepare a traffic analysis report focused on the forecasted run time of the streetcar. Confirm that the operating assumptions can be consistently met. Identify locations of potential delay and recommend delay mitigation strategies while considering the effect on traffic level of service. Review preliminary results with OCTA, the PMC, and the Cities prior to preparation of the report. • Provide other traffic studies as requested by OCTA or the PMC. Deliverables: • Traffic study to optimize streetcar run time by the 30% submittal.

4.3 TASK 3 ‒ Engineering Design

4.3.1 Utility Coordination

• Receive, review, and confirm that utility base maps prepared by others are consistent with record drawings that have been received from the utility owners. If not consistent, modify and produce revised utility base maps. • The PMC will provide the utility relocation criteria to the DC. • By the 30% submittal, apply the utility relocation criteria to the current alignment and the confirmed utility base maps and identify, on plan sheets and by utility owner, the utilities that will need to be relocated or protected in place. • Attend meetings with the PMC, OCTA, Cities, and Utility Owners to discuss utility relocation criteria, methods to protect utilities in place, options to avoid relocations, stray current protection, and utility relocation options. • As directed by OCTA and the PMC, conduct potholing to confirm the location and depth of utilities and conduct other exploratory investigations of subsurface conditions and foreign objects. Deliverables: • Utility base maps. • Plans showing utilities to be relocated or to be protected in place by the 30% submittal.

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• Potholing report.

4.3.2 Civil Engineering

4.3.2.1 Utility Design

• For utilities confirmed to require relocation and/or be protected in place, for the utility owners who do not self-perform their design, DC will develop utility relocation plans or protection/modifications plans and details consistent with the requirements of the utility owner by the 60% submittal. • Obtain Utility Owner approval for plans and specifications affecting their facilities. • It is possible that there could be a separate Advance Utility Relocation Construction Contract. The DC would be responsible for creating this separate PS&E package. Deliverables: • Approved utility relocation or protection/modification plans by the 60% submittal.

4.3.2.2 Drainage Design

• Work with OCTA, the PMC, and the City to develop the criteria for the drainage improvements to be made to accommodate the Project within Santa Ana streets. • By the 30% submittal, prepare a drainage study identifying several different ways that the drainage problem on Santa Ana streets could be solved to meet the drainage criteria. • By the 60% submittal, provide plans for drainage improvements. • Provide hydraulic studies related to bridge improvements within the Santa Ana River and get them approved by the appropriate authorities. Deliverables: • Drainage design criteria for Santa Ana streets. • Approved drainage study for Santa Ana streets by the 30% submittal. • Approved drainage plans by the 60% submittal. • Approved hydraulic study for Santa Ana River Bridge by the 60% submittal.

4.3.2.3 Trackwork

• By the 30% submittal, prepare trackwork design plans and profiles at 1”=40’. Include coordinates, tangent bearings and distances, and spiral and circular curve data. Include typical sections and roadway striping and lane width dimensions. Provide a list of design criteria variances or exceptions. Provide the output of a coordinate geometry program for each track alignment. Consider provision of crossovers and sidings for special operating conditions, and provide details of the connection from the mainline eastbound and westbound tracks to and from the MSF. • By the 60% submittal, provide all trackwork details. • Adjust track geometry as necessary to minimize disruptions to utilities, businesses, and parking. • Per the REA/FEIR mitigation measure, keep turnouts, switches, and crossovers at least 600 feet away from sensitive receptors, or utilize spring frogs or movable point frogs.

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• Coordinate with the OCTA and the PMC regarding delivery times of special trackwork, curved and straight rail for a determination of potential early material procurement requirements. Deliverables: • Track plans, profiles, and typical sections by the 30% submittal. • Alignment data and coordinate geometry output by the 30% submittal. • List of track materials including special trackwork, curved, and straight rail by the 90% submittal.

4.3.2.4 Street Modification and Station Areas

• By the 60% submittal, develop street modification plans and details. • Complete final design for street modifications including identifying the limits of pavement replacement or grinding and overlay, sidewalk replacement and curb and gutter replacement along the alignment and in the station areas. Deliverables: • Street modification plans by the 60% submittal.

4.3.2.5 Traffic Signal Design

• By the 60% submittal, coordinate with City staff to develop and incorporate all necessary traffic signal designs, modifications, plans and details. Deliverables: • Traffic signal modification plans by the 60% submittal.

4.3.2.6 Signing and Striping

• By the 60% submittal, develop signing and striping plans and details consistent with the track alignment. • Prepare plans in accordance with the MUTCD and City standards. • Pay particular attention to any proposed bike facilities running parallel with or crossing the streetcar tracks, and provide a design that allows the two modes to safely coexist. • Per the Mitigation Measure included in the REA/FEIR, provide signs, designated crossings, and traffic signal modifications to create a safe environmental for parents and students during school pick-up and drop-off. Deliverables: • Signing and striping plans by the 60% submittal.

4.3.2.7 Lighting

• By the 60% submittal, coordinate with City staff to develop and incorporate lighting designs, plans and details as required for the Project. Deliverables: • Lighting plans by the 60% submittal.

4.3.2.8 Bridges

• Develop complete plans for the bridges over Westminster Avenue and the Santa Ana River.

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• Develop plans for new foundations, abutments, and bridge columns to support the historic Pacific Electric Steel Truss Bridge over the Santa Ana River, and develop specifications for the relocation of the historic bridge to the new abutments and bridge columns. • By the 30% submittal, provide a type selection report identifying the different bridge types that could be used, demonstrating the advantages and disadvantages of each type option and providing a recommendation for OCTA’s consideration. In the type selection report, identify the differences in Caltrans and AREMA Bridge Design Standards and explain how the application of one or the other could affect the resulting bridge designs, and make a recommendation of the design standard to follow. • By the 30% submittal, provide a General Plan for each bridge. • After the 60% submittal, perform an Independent Check of the bridge design. Deliverables: • Type Selection Report for Westminster Avenue and Santa Ana River Bridges by the 30% submittal. • Bridge plans for the Westminster Avenue Grade Separation and the Santa Ana River Bridge by the 60% submittal. • Substructure plans for the new location of the Pacific Electric Steel Truss Bridge by the 60% submittal. • Independent check of all bridge designs by the 60% submittal.

4.3.2.9 Landscaping & Irrigation

• Develop a landscaping and irrigation plan to address any areas where restoration of existing landscaping and irrigation is required, or where treatment is required to meet stormwater requirements (such as the PE ROW). • Prepare final designs, plans, and details of landscaping and irrigation consistent with this landscaping and irrigation plan. Deliverables: • Landscaping and Irrigation plans by the 60% submittal.

4.3.2.10 Construction Phasing and Traffic Handling

• By the 60% submittal, working with OCTA, the PMC, the Outreach Consultant, the Construction Manager and the Cities, develop a technical memo recommending the construction phasing approach. Coordinate a meeting to discuss and reach concurrence. • By the 90% submittal, prepare plans and specifications clearly communicating to the contractor the areas and times when the contractor will be allowed to work, and the areas and times when the contractor will not be allowed to work, covering all construction activities and phases. • Construction Phasing should pay particular attention rail delivery, rail welding, storage, and placement of rail strings. • Construction Phasing should also pay particular attention to utility relocations and special trackwork installations. • Provide traffic handling plans meeting MUTCD and City requirements, showing temporary signage and delineation to safely maintain the efficient flow of traffic through the work areas of the Project during the different construction phases.

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• Identify locations that are available to the contractor for staging, such as the PE ROW and other publically owned property. Deliverables: • Approved technical memo for construction phasing approach by the 60% submittal. • Plans and specifications for construction phasing, traffic handling, and identification of staging areas by the 90% submittal.

4.3.2.11 Right-of-Way

• Based on limits of the public Right-of-Way, determined as part of the base mapping and the Project design, for any work outside of the public Right-of-Way, or needing a temporary construction easement outside of the public Right-of-Way, provide Computer Aided Design and Drafting (CADD) files giving the exact limits of the required Right-of-Way with the 60% submittal. • The DC shall certify ROW requirements using a Caltrans PD-26 Form. • The DC shall participate in a meeting with OCTA and the PMC to review the ROW requirements. Deliverables: • Microstation files containing exact limits of required Right-of-Way, accompanied by a PD-26 certification by the 60% submittal.

4.3.2.12 Noise Barrier

• Provide PS&E for the noise barriers that were identified as a mitigation measures in the REA/FEIR. Deliverables: • Plans for noise barriers by the 60% submittal.

4.3.3 Station Area Design

By the 30% submittal, the DC shall establish platform limits, elevations, and requirements for station fixtures and amenities. OCTA will separately procure a Station and Urban Design Consultant to prepare conceptual designs for the Project. The Station and Urban Design Consultant will work closely with OCTA, the Cities, and the local community to achieve consensus and obtain approvals of their design concepts. These approved design concepts will be provided to the DC at the DC’s 60% submittal. The DC will translate the approved concepts into plans and specifications for the bid package, starting with the 90% submittal. Deliverables: • Plans and CADD files showing platform limits, elevations, and station fixtures and amenities by the 30% submittal. • Plans and specifications incorporating approved design concepts provided by the Station and Urban Design Consultant by the 90% submittal.

4.3.3.1 Urban Design

4.3.3.1.1 Pavements

o Develop urban design plans and details consistent with the approved design concepts.

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o Develop design of hard surface elements such as pavement colors, pavers, and tactile warning devices. o Confirm pedestrian and bicycle circulation in and around station site areas. o Minimize impact of station site improvements to adjacent businesses. o Coordinate grading issues with civil engineering tasks. Deliverables: • Plans for urban design and pavements by the 90% submittal.

4.3.3.1.2 Lighting

o Develop energy-efficient lighting designs, plans and details for the station areas consistent with the approved design concepts and City approved design criteria for lighting. o Confirm lighting levels for pedestrian and bicycle circulation in and around stations. Deliverables: • Plans for station area lighting by the 90% submittal.

4.3.3.1.3 Wayfinding and Signage

o Develop a station area wayfinding and signage master plan to address station area signage and interface with existing City sign standards. o Prepare final designs, plans, and details for wayfinding and signage, including detailed sign design, mounting details, mounting locations, and complete inventory. o Provide specifications for the fabrication of all signs required for the project. Deliverables: • Plans for station signage by the 90% submittal. • Specifications for the procurement of station signs by the 90% submittal.

4.3.3.2 Shelters and Station Furnishings

• Develop station shelter designs according to the approved design concepts. • Coordinate shelter and station furnishings with pedestrian and bicycle movements in and around the station areas. • Coordinate with various project disciplines to provide necessary electrical and communications equipment, foundations, and conduits within the shelter and station furnishings. • Produce an overlay of all underground elements on the station platforms to confirm that there are not any conflicts. Deliverables: • Plans for station shelters and furnishings, including all electrical and communications requirements, and provide an overlay of all underground elements at stations at the 90% submittal.

4.3.4 MSF Design

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• The PMC team includes Maintenance Design Group (MDG). MDG will provide a programming document and a conceptual track layout for the MSF facility to the DC coincident with NTP. • The MSF plans provided by the DC at 30% shall include, but not be limited to, the following: o Track layout, including track within the MSF building o MSF building layout • The MSF plans provided by the DC at 60% and subsequent submittals shall include all information necessary for the construction of the MSF facility, and include, but not be limited to: o Paving and parking lot layout o Grading, drainage and utilities o Building architectural and structural o Mechanical, electrical, and plumbing • It is possible that the MSF will be packaged by the DC as a separate design-bid-build construction contract. Deliverables: • MSF track and building layout with the 30% submittal. • MSF paving, parking lot layout, grading, drainage, and utilities, building architectural and structural, mechanical, electrical, and plumbing with the 60% submittal.

4.3.5 Systems

4.3.5.1 Traction Power and Electrification System

• By the 30% submittal, the DC shall perform Traction Power Load Flow simulation for the Project. Based on the Traction Power Load Flow simulation results, the DC shall confirm whether or not the previously identified Traction Power Substation (TPSS) sites are adequate and sized appropriately for the necessary rating of the TPSS units. If the previously identified sites are not suitable, the DC shall identify and recommend alternate sites for the approval of OCTA and the PMC. The DC shall certify TPSS ROW needs for acquisition, subject to OCTA’s approval of ROW requirements, by 30% submittal. • The DC shall coordinate with Southern California Edison (SCE) to confirm that SCE can provide the necessary service voltage to each proposed TPSS location, and that each TPSS service can be placed on separate circuits so that an outage on one SCE circuit doesn’t cause the streetcar performance issues. • By the 60% submittal, the DC shall develop site plans for each TPSS site that provides adequate space and clearance for the TPSS unit, SCE’s equipment, and maintenance access. The DC’s site plans shall consider urban design considerations such as noise, aesthetics, safety, grounding requirements, and conduit runs, and shall obtain City approval of the site plan by the 60% submittal. • The DC shall prepare OCS plans by the 60% submittal. • The DC may be asked to prepare separate procurement contract packages for TPSSs, OCS Poles, and OCS materials. Deliverables: • Traction Power Load Flow Analysis, the location of each TPSS site, and confirmation from SCE that each site can be served by the 30% submittal. • TPSS site plans with City approval by the 60% submittal. • OCS plans by the 60% submittal.

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4.3.5.2 Signaling

• If the trackwork configuration resulting from the accepted VE recommendations requires signaling to assure the safe operation of the system, or if the operations traffic study results in traffic signal priority, the DC shall prepare signaling plans to a level of completion typical for bids where the supplier of the signaling equipment is unknown. Deliverables: • Signaling schematic drawings and plans locating signaling equipment on civil or track plans by the 60% submittal.

4.3.5.3 Communications

• Design the cable transmission system with capacity to support the core requirements and foreseeable future voice, video, and data communications needs. • Establish passenger information systems requirements, including coverage for platforms and ticket vending areas, and on board vehicles, for OCTA’s review and approval. • Design and prepare drawings in conformance with the design criteria for the future passenger information systems to be installed in fixed facilities. • Establish safety and security systems requirements for providing future security surveillance in stations, and for system access points. • Evaluate the need for each surveillance function, and recommend a configuration for each system. • Prepare diagrammatic layouts and functional descriptions for each proposed system. • Prepare facility-interfacing information and develop provisions to accommodate any remote surveillance system requirements. Review and coordinate with facility designs to ensure system integration. Deliverables: • Technical memo identifying all communication systems needs, identifying alternative approaches to meeting these needs, and making recommendations for concurrence by OCTA at the 60% submittal. • Complete communication system plans at the 90% submittal

4.3.5.4 Fare Collection

• Determine location and quantities of fare collection equipment and requirements for support and surveillance systems for maintenance and security. Ensure proper interfaces, scheduling, installation, and operation between the fare collection system and other facilities and systems. • Identify related equipment requirements and related security requirements. • Develop technical specifications and plans for the installation of the fare collection equipment. • Coordinate with each facility design, designating power and control conduits for machine installation and locations for installation. Deliverables: • Technical memo identifying all fare collection needs including equipment, infrastructure at equipment installation locations, maintenance, telemetry, revenue collections, accounting, and security at the 60% submittal. • Plans showing infrastructure requirements with the 90% submittal.

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• Specifications for necessary equipment with the 90% submittal.

4.3.5.5 Stray Current Corrosion Control

• By 60%, prepare a technical memo with recommendations on the stray current corrosion control system. • By 90%, define appropriate stray current control measures in plans and specifications. • Establish stray current controls to be installed to traction power, invert, retaining walls, bridges and trackwork systems to minimize flow of stray currents into the surrounding environment. • Determine level of protection measures to be applied to maintain acceptable stray current ranges. Structure-to-earth resistively measurements shall be obtained, as needed, to determine effects and magnitude of stray currents on existing utility installations and to serve as reference for future investigations. Deliverables: • Technical memo on stray current control approach with the 60% submittal. • Plans and specifications for stray current with the 90% submittal. • Technical memo containing before and after stray current measurements.

4.3.5.6 System Integration

• Provide assurance that the various elements of the Streetcar System, as designed, work together seamlessly to meet the operational performance goals. • Confirm that system element hardware, software, firmware, equipment, and facilities meet the operational requirements. • Coordinate and facilitate the interface and integration of system elements with the vehicle design. • Identify and document all technical interfaces and define design responsibilities for managing, engineering, and testing the interface. Deliverables: • Technical memo on System Integration, with recommendations for testing with the 90% submittal.

4.3.6 Project Specifications

• Develop project specifications for each discipline in a format acceptable to OCTA and the PMC. • The DC shall prepare Special Provisions pertaining to items of work included in the plans that are not addressed in the latest Caltrans Standard Specifications and Caltrans approved Standard Special Provisions or City standards or SSPWC. • Prepare an outline of specification sections with the 60% submittal and prepare draft project specifications with the 90% submittal. • Front end documents will be prepared by OCTA and the PMC with review and coordination with the DC. Deliverables: • Specifications outline with the 60% submittal. • Draft Specifications with the 90% submittal in Microsoft Word format.

4.3.7 Capital Cost Estimate

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• The DC shall provide a capital cost estimate with the 30%, 60%, 90% and ready-to-bid submittal packages. The DC’s capital cost estimate shall consist of bid items, unit costs, quantities, and totals only. • The DC shall organize the cost estimate by FTA Standard Cost Categories (SCC). The PMC will be responsible for populating the SCC workbook. • The DC shall provide quantity take-off information in a clearly organized and clearly readable format to the PMC at each submittal for verification. The DC shall keep in mind that the FTA and their Project Management Oversight Consultant (PMOC) will be closely reviewing the cost estimate backup and receipt of the Full Funding Grant Agreement would be delayed until the PMOC is satisfied that the cost estimate is complete and accurate. • The DC shall provide a basis of estimate at each submittal. The basis of estimate shall provide information regarding the origin of the unit costs contained in the estimate, and backup for all lump sum estimates. • The DC shall prepare detailed information outlining major changes for each cost estimate update at each submittal phase of the project for each bid package. Deliverables: • Capital cost estimate at 30%, 60%, 90%, and ready-to-bid submittals, with clearly organized backup for unit costs, quantities, and lump sum items. • Itemization of cost changes with each submittal. • A certified itemized final engineer’s estimate prior to contract advertisement.

4.4 TASK 4 ‒ Bid Support Services

• The DC shall attend and present information on the design at the pre-bid meeting for each bid package. • The DC shall review and respond to questions during bidding for each bid package. • The DC shall prepare addenda, as required, for each bid package. • The DC shall prepare a Conformed PS&E, incorporating all changes made by addenda. • The DC shall prepare a bid analysis of all construction bids received to be used to determine the most responsive responsible bidder for construction contract award recommendation. Deliverables: • Answers to bidders questions. • Revised plans and specifications for addenda. • Conformed PS&E prior to contractor’s NTP.

4.5 TASK 5 ‒ Design Support During Construction

• The DC shall attend the pre-construction meeting for each bid package. • The DC shall attend periodic construction meetings as directed by OCTA and the PMC. • The DC shall review and respond to Requests for Information (RFIs) as requested by OCTA, the PMC, and/or the Construction Manager. • The DC shall review submittals and shop drawings and coordinate responses through OCTA, the PMC, and/or the Construction Manager. • The DC shall prepare design modifications as requested by OCTA or the PMC. • The DC shall prepare as-built drawings based on information provided by the Contractor through OCTA, the PMC, and/or the Construction Manager. Deliverables: • Responses to RFIs. • Comments on submittals and shop drawings.

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• Revised plans and specifications. • As-built drawings.

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