Brent Spence RFP 2023

BRENT SPENCE BRIDGE CORRIDOR PROJECT
REQUEST FOR PROPOSALS (RFP)

INSTRUCTIONS TO OFFERORS (ITO)
AND SELECTION CRITERIA
ODOT PID 116649 | KYTC PROJECT ITEM NO. 6-17
ODOT CONSTRUCTION PROJECT 23-3000
FEBRUARY 17, 2023

TABLE OF CONTENTS
1. INTRODUCTION AND PROJECT INFORMATION ......................................................................... 1
1.1 Introduction.................................................................................................................................. 1
1.1.1 Progressive Design-Build Requirements...................................................................................... 1
1.2 Project Description ...................................................................................................................... 2
1.3 Project Goals ............................................................................................................................... 3
1.3.1 Primary Goals .............................................................................................................................. 3
1.3.2 Contract Objectives ..................................................................................................................... 3
1.4 Procurement Schedule ................................................................................................................ 4
1.5 Draft Preconstruction and Construction Schedule ........................................................................ 4
1.6 Reference Information Documents .............................................................................................. 5
2. RFP PROCESS ............................................................................................................................... 5

2.1 Examination of RFP and Requests for Clarification ..................................................................... 5
2.2 Pre-Proposal One-on-One Meetings............................................................................................ 6
2.3 Addenda ...................................................................................................................................... 6
2.4 Errors .......................................................................................................................................... 6
3. GENERAL ....................................................................................................................................... 7
3.1 Funding Sources ......................................................................................................................... 7
3.2 Federal Requirements ................................................................................................................. 7
3.3 DBE Requirements ...................................................................................................................... 7
3.4 OJT Requirements ...................................................................................................................... 7
4. PROCUREMENT PROCESS ........................................................................................................... 8

4.1 Procurement Method ................................................................................................................... 8
4.2 Authorized Representatives and Offeror Registration .................................................................. 8
4.3 Rules of Contact .......................................................................................................................... 9
4.4 Confidentiality/Public Information Act Disclosure Requests ......................................................... 9
4.4.1 Confidentiality Rules .................................................................................................................... 9
4.4.2 Trade Secrets ............................................................................................................................ 10
4.5 Observers During Evaluation ..................................................................................................... 11
4.6 Improper Conduct and Non-Collusion ........................................................................................ 11
5. OFFEROR TEAM ORGANIZATION .............................................................................................. 11

5.1 Registration of Businesses ........................................................................................................ 11
5.2 ODOT and KYTC Prequalification.............................................................................................. 12
BRENT SPENCE BRIDGE CORRIDOR i

February 17, 2023 INSTRUCTIONS TO OFFERORS
5.3 Organizational Conflicts of Interest ............................................................................................ 12

5.4 Debarment or Suspension ......................................................................................................... 14
5.5 Changes in Offeror’s Organization ............................................................................................. 14
5.6 Participation On More Than One Offeror Team ......................................................................... 14
6. PROPOSAL REQUIREMENTS ..................................................................................................... 15

6.1 General Provisions Regarding Proposals .................................................................................. 15
6.2 Proposal Contents ..................................................................................................................... 15
6.3 Proposal Due Date .................................................................................................................... 15
6.4 Signatures Required .................................................................................................................. 15
6.5 Proposal Format ........................................................................................................................ 15
6.5.1 Submission Format Requirements ............................................................................................. 15
6.5.2 General Format Requirements .................................................................................................. 15
6.6 Electronic Submission ............................................................................................................... 16
6.6.1 Electronic Submittal of Proposal ................................................................................................ 16
6.6.2 Electronic Submittal of Competitive Bidding Element ................................................................. 17
6.7 Administrative Proposal ............................................................................................................. 17
6.7.1 Proposal Letter (Form A) ........................................................................................................... 18
6.7.2 Informational Forms (Form B) and Legal Information ................................................................. 18
6.7.3 Responsible Offeror Questionnaire (Form C) ............................................................................. 18
6.7.4 Non-Collusion Affidavit (Form D) ............................................................................................... 19
6.7.5 Conflict of Interest Disclosure Statement (Form E) .................................................................... 19
6.7.6 Debarment and Suspension Certification (Form F) .................................................................... 19
6.7.7 DBE Goal Attainment or Good Faith Efforts Certification (Form G and Phase 1 DBE Performance
Plan) .......................................................................................................................................... 19
6.7.8 Equal Employment Opportunity Certification (Form H)............................................................... 19
6.7.9 Buy America Certification (Form I) ............................................................................................. 19
6.7.10 Certification Regarding Use of Contract Funds For Lobbying (Form J) ...................................... 20
6.7.11 Prequalification (Form K) ........................................................................................................... 20
6.8 Technical Proposal .................................................................................................................... 20
6.8.1 Design-Build Team Organization and Key Personnel ................................................................ 20
6.8.2 Design-Build Team Capabilities and Experience ....................................................................... 24
6.8.3 Project Understanding and Approach ........................................................................................ 25
6.9 Financial Proposal ..................................................................................................................... 27
6.9.1 Surety Letter .............................................................................................................................. 27
6.9.2 Competitive Bidding Element (Markup) ...................................................................................... 27
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6.10 Proposal Validity ........................................................................................................................ 27

6.11 Withdrawals and Late Submittals ............................................................................................... 28
6.12 Ownership of Proposal .............................................................................................................. 28
6.13 Proposal Costs Not Reimbursable ............................................................................................. 28
7. EVALUATION PROCESS ............................................................................................................. 28

7.1 Overview ................................................................................................................................... 28
7.2 Responsiveness and Pass/Fail Evaluation ................................................................................ 29
7.2.1 Administrative Proposals............................................................................................................ 29
7.2.2 Technical Proposals .................................................................................................................. 30
7.2.3 Financial Proposals ................................................................................................................... 30
7.2.4 Department Right to Exclude Proposals from Consideration or to Waive Mistakes .................... 30
7.3 Evaluation of Technical Proposals (80 points) ........................................................................... 30
7.3.1 Evaluation DBT Organization and Key Personnel (30 points) .................................................... 31
7.3.2 Evaluation DBT Capabilities and Experience (25 points) ........................................................... 31
7.3.3 Evaluation of Project Understanding and Approach (25 points) ................................................. 32
7.4 Interviews (10 points)................................................................................................................. 33
7.4.1 Interview Format ........................................................................................................................ 33
7.4.2 Interview Evaluation................................................................................................................... 33
7.5 Technical Proposal and Interview Evaluation ............................................................................. 34
7.6 Evaluation of Financial Proposal (10 points) .............................................................................. 35
7.6.1 Competitive Bidding Element (Project Markup) .......................................................................... 35
7.7 Overall Proposal Score (100 points) .......................................................................................... 35
7.8 Request for Proposal Clarifications/Revisions............................................................................ 35
7.9 Recommendation to Executive Management Team ................................................................... 36
8. POST-EVALUATION PROCESS AND EXECUTION .................................................................... 36

8.1 Incorporation of Proposal and Finalization of the Contract ......................................................... 36
8.2 Post-Selection Deliverables ....................................................................................................... 37
8.3 Execution and Delivery of Contract ............................................................................................ 37
8.3.1 Conditions Precedent to Contract Execution .............................................................................. 37
8.3.2 Required Documents ................................................................................................................. 37
8.4 Debriefings ................................................................................................................................ 38
9. PROTESTS ................................................................................................................................... 39
9.1 Written Protests Only ................................................................................................................. 39
9.2 Protest Contents ........................................................................................................................ 40
BRENT SPENCE BRIDGE CORRIDOR iii

9.3 Protest Process ......................................................................................................................... 40

9.4 Rights of Appeal ........................................................................................................................ 40
10. DEPARTMENT RIGHTS AND DISCLAIMERS .............................................................................. 41
LIST OF TABLES
Table 1: Procurement Schedule ............................................................................................................. 4
Table 2: Preconstruction and Final Engineering and Construction Schedule ......................................... 5
Table 3: Proposal Page Limitations...................................................................................................... 16
Table 4: Key Personnel........................................................................................................................ 21
Table 5: Technical Proposal and Interview Evaluation ......................................................................... 34
LIST OF FORMS
FORM A: PROPOSAL LETTER
FORM B- 1: IDENTIFICATION OF OFFEROR AND PRINCIPAL PARTICIPANTS
FORM B- 2: INFORMATION ABOUT OFFEROR ORGANIZATION
FORM B- 3: INFORMATION ABOUT MAJOR PARTICIPANTS
FORM C: RESPONSIBLE OFFEROR QUESTIONNAIRE
FORM D: NON-COLLUSION AFFIDAVIT
FORM E: CONFLICT OF INTEREST DISCLOSURE STATEMENT
FORM F: DEBARMENT AND SUSPENSION CERTIFICATION
FORM G: DBE GOAL ATTAINMENT OR GOOD FAITH EFFORTS CERTIFICATION
FORM H: EQUAL EMPLOYMENT OPPORTUNITY CERTIFICATION
FORM I: BUY AMERICA CERTIFICATION
FORM J: CERTIFICATION REGARDING USE OF CONTRACT FUNDS FOR LOBBYING
FORM K: PREQUALIFICATIONS
FORM L: OFFEROR REGISTRATION
BRENT SPENCE BRIDGE CORRIDOR iv

1. INTRODUCTION AND PROJECT INFORMATION

1.1 Introduction
These Instructions to Offeror (ITO) set forth (i) the Project (defined herein) description and Project
Goals (defined herein); (ii) the Request for Proposals (RFP) selection process; (iii) certain requirements
for the Offeror’s organization; (iv) certain Proposal requirements; and (v) the evaluation process and the
post-evaluation selection and execution requirements pertaining to the combination of design and
construction elements into a single contract to expedite the construction of special projects pursuant to
the authority of Section 5517.011 of the Ohio Revised Code for the Brent Spence Bridge Corridor
Project (ODOT PID 116649, KYTC Project Item No. 6-17) (the “Project”). Pursuant to the Interstate
Cooperative Agreement (ICA) to be entered into by and between the State of Ohio and the
Commonwealth of Kentucky, a Bi-State Management Team (BSMT) comprised of representatives from
the Ohio Department of Transportation (hereinafter, the Department) and representatives from the
Kentucky Transportation Cabinet (hereinafter, KYTC) has been given the authority to oversee the
Project. The Department has been designated as the “Lead Agency” and the Project will be managed
by the BSMT.
Offerors must comply with the terms and conditions of this ITO during the Procurement Process and in
their responses to the RFP. Respondents will be evaluated to determine their ability to meet or exceed
the Project Goals (inclusive of primary goals and contract objectives defined in Section 1.3 (Project
Goals)).
Definitions of capitalized terms used but not defined within the ITO are set forth in Exhibit A (Acronyms
and Definitions) of the Progressive Design-Build Contract (PDBC).
1.1.1 Progressive Design-Build Requirements

This Section 1.1.1 provides a summary of the Progressive Design-Build requirements. For full details of
the process and requirements, including payment structure, see the PDBC.
The Work shall be performed by the Contractor in two phases, with the first phase consisting of two
sub-phases as follows:
A. Preconstruction Phase (Phase 1)
1. Proof-of-Concept Phase (Sub-Phase 1A); and
2. Project Development Phase (Sub-Phase 1B)
B. Final Engineering and Construction Phase (Phase 2)
The Department intends that the Sub-Phase 1A Proposal will be substantially complete and agreed
prior to execution of the PDBC and that upon execution of the PDBC, the Contractor shall be entitled to
compensation with respect to the time spent in preparation and negotiation in accordance with PDBC
Section 2.3.1 (Pre-Sub-Phase 1A Work).
Sub-Phase 1A shall commence upon the execution of the PDBC and the Department’s issuance of
Sub-Phase 1A Notice to Proceed (NTP) and shall continue until the sooner to occur of (i) the Sub-
BRENT SPENCE BRIDGE CORRIDOR 1

Phase 1B Change Order is executed by the Department, or (ii) the Department exercises its right to
terminate the PDBC. Sub-Phase 1A Work shall be performed under a direct labor times a multiplier
compensation arrangement that may not exceed the Maximum Sub-Phase 1A Prime Compensation
defined in Exhibit B (Contract Particulars) of the PDBC.
Sub-Phase 1B shall commence upon the Department’s issuance of the Sub-Phase 1B NTP and shall
continue until the sooner occur of (i) the Phase 1 Work is complete or (ii) the Department exercises its
right to terminate the PDBC. Sub-Phase 1B Work shall be performed under a direct labor times a
multiplier compensation arrangement that may not exceed the Maximum Sub-Phase 1B Prime
Compensation (amount to be negotiated prior to completion of Sub-Phase 1A and incorporated into the
terms and conditions of the Sub-Phase 1B Change Order). If authorized in an executed Early Work
Package, Early Work may begin before Sub-Phase 1B is completed, with Early Work and Sub-Phase
1B Work proceeding concurrently.
Phase 2 shall commence upon the execution of a Phase 2 Change Order and the Department’s
issuance of Phase 2 NTP and shall continue until the end of the Term.
The Department will retain two Independent Cost Estimators (ICE) for this Project, pursuant to the ICA.
Each ICE will develop independent cost estimates for the Project at the same milestones as the
Contractor. The purpose of the first ICE’s involvement in the Project will be to validate the cost(s) and
production proposals submitted by the Contractor at each pricing milestone. The function of the second
ICE is to develop a state Engineer’s estimate prior to final pricing agreement in accordance with ORC
5517.01.
1.2 Project Description

The Project will reconstruct approximately 5 miles of I-71/I-75 in Kentucky and 1 mile of I-75 in Ohio
and will include construction of a new Companion Bridge over the Ohio River just to the west of the
existing Brent Spence Bridge. The Project limits are from just south of the Dixie Highway Interchange in
Kentucky north to Linn Street in Ohio with the interstate being widened by one additional lane in each
direction throughout the corridor. The cost of the Project design and construction is currently estimated
at $3.1 billion.
The design of the new Companion Bridge type shall be proposed by the Offeror and approved by the
Department. The bridge type to be selected per the Finding of No Significant Impact (FONSI) (EN-03) is
either of the following:
A. Arch bridge; or
B. Cable-stayed bridge
The design of the Project is based on Concept I-W (see applicable Reference Information Documents)
for crossing the Ohio River which allows either bridge type to be delivered. This concept contemplates
that all interstate traffic for I-71 and I-75 will be accommodated via the new Companion Bridge, and all
local connectivity will be accommodated via the existing Brent Spence Bridge.
A portion of the Work conducted in conjunction with the Project will include the rehabilitation and
reconfiguration of the existing Brent Spence Bridge, reducing the number of lanes on each deck from

four lanes to three lanes and significantly increasing the inside and outside shoulder widths. Two
“Collector-Distributor (CD) Road” systems will be constructed with the Project; one CD Road to connect
I-71/I-75 traffic to and from the local street network between West 12th Street (southbound at 5th
Street) in Covington, Kentucky and Ezzard Charles Drive in Cincinnati, Ohio, and one CD Road
between south of Dixie Highway and north of Kyles Lane in both directions, allowing for upgraded
interchanges.
Local connectivity in Covington will be improved by extending frontage roads to connect 5th Street and
Pike Street going northbound and 4th Street and Pike Street going southbound.
The Project, including design of the new Companion Bridge, will include aesthetic features for which
detailed specifications will be developed. The Department will lead the development of the aesthetic
features with support of the Contractor.
The Completion Deadline for the Companion Bridge to be completed and open to traffic Milestone will
be July 15, 2029. The Substantial Completion Deadline for the Project will be September 15, 2030.
1.3 Project Goals

Project Goals are inclusive of primary goals identified as part of the Brent Spence Corridor NEPA and
specific contract objectives identified for this Project.
1.3.1 Primary Goals

The primary goals identified as part of the Brent Spence Corridor NEPA decision are the following:
A. Improve traffic flow and level of service;
B. Improve safety;
C. Correct geometric deficiencies; and
D. Maintain connections to key regional and national transportation corridors.
1.3.2 Contract Objectives

To meet the primary goals included in Section 1.3.1 (Primary Goals), the BSMT has established the
following specific contract objectives to be incorporated in the executed PDBC:
A. Maximize the Project scope within the programmed funding amounts through innovation,
design optimization and effective risk mitigation;
B. Build a project with a context sensitive design that fits within the community;
C. Maximize the public investment in the Project by minimizing the footprint;
D. Minimize the footprint of the interstate system to maximize potential developable space;
E. Improve neighborhood connectivity across the interstate;
F. Minimize traffic disruption during construction, with minimal detours or diversion of traffic to
the local streets;
G. Provide opportunities for Workforce Development and DBE utilization;
H. Provide strong aesthetic value along the Project corridor;

I. Achieve effective project delivery;

J. Minimize physical intrusion and impact;
K. Create best environmental outcomes;
L. Design for sustained quality of life;
M. Improve the local road aesthetics when crossing the interstate; and
N. Open the traffic on the new Companion Bridge by July 15, 2029.
1.4 Procurement Schedule

The Department currently anticipates conducting this procurement process (the “Procurement
Process”) in accordance with the following list of milestones (the “Procurement Schedule”). This
Procurement Schedule is subject to revision and the Department reserves the right to modify this
schedule as it finds necessary, at its sole discretion.
Table 1: Procurement Schedule
Milestone Date
Draft RFP Release Friday, January 13, 2023
Final RFP Release Friday, February 17, 2023
Last date for Offeror team registration (Form L (Offeror Monday, February 20, 2023, at 1:00 p.m.
Registration)) Eastern Time
Pre-Proposal One-on-One Meeting No. 1 (Regarding the RFP) Thursday, February 23, 2023
Pre-Proposal One-on-One Meeting No. 2 (Regarding the RFP) Thursday, March 9, 2023
Anticipated final Addenda Friday, March 24, 2023
Friday, March 31, 2023, at 1:00 p.m. Eastern

Proposal Due Date
Time
Interview Tuesday, April 18, 2023
Apparent Best Value Selection Announcement Monday, May 1, 2023
Anticipated Award Date Wednesday, May 31, 2023
1.5 Draft Preconstruction and Construction Schedule

A draft schedule of Preconstruction and Final Engineering and Construction milestone dates is included
in Table 2 (Preconstruction and Final Engineering and Construction Schedule). This schedule is subject
to revision upon coordination with the Contractor and the Department.

Table 2: Preconstruction and Final Engineering and Construction Schedule
Milestone Date
Design-Build Contractor Notice to Proceed (NTP) July 15, 2023
Sub-Phase 1A (Proof-of-Concept) Interim Completion Date February 16, 2024
Sub-Phase 1B (Project Development) Proposal NTP March 1, 2024
Sub-Phase 1B (Project Development) Interim Completion Date March 18, 2025
Phase 2 (Final Engineering and Construction) Proposal NTP April 1, 2025
Phase 2 Construction Begin Date July2025
Companion Bridge Open to Traffic Interim Completion Date July 15, 2029
Substantial Completion Deadline September 15, 2030
Completion of the Contract Deadline November 1, 2030
1.6 Reference Information Documents

Reference Information Documents (“RIDs”) are available for further information pertaining to the Project
at the following link: Reference Information Documents - All Documents (state.oh.us).
2. RFP PROCESS
Offerors are responsible for reviewing the RFP Documents and any Addenda issued by the Department
prior to the Proposal Due Date. Offerors will be afforded an opportunity to submit written Requests for
Clarification (RFC) concerning the RFP in accordance with the process specified below. In addition,
Offerors will have an opportunity to attend two Pre-Proposal One-on-One meetings with the
Department prior to the Proposal Due Date. The Department will interview Offerors after receipt of
Proposals as part of the evaluation process.
If an award is made, the Department will execute the PDBC with the responsible Offeror that is
determined by the Department to provide the best value to the Department and be in the best interest
of the Department.
2.1 Examination of RFP and Requests for Clarification

Each Offeror shall be solely responsible for (a) examining, with appropriate care and diligence, the
RFP, RIDs, and any other documents or information provided by the Department, prior to submitting the
Proposal (collectively, the “RFP Documents”), (b) requesting written clarification or interpretation of any
perceived discrepancy, deficiency, ambiguity, error or omission contained in the RFP, or of any
provision that such Offeror fails to understand and (c) informing itself with respect to any and all
circumstances which may in any way affect the nature of its Proposal or the performance of its
obligations if such Offeror enters into a PDBC with the Department.

Should a question arise at any time during any portion of the Procurement Process, the Offeror may
seek clarification by submitting a clarification question using the Department’s Pre-Bid website
(referencing Project Number 233000):
http://www.dot.state.oh.us/Divisions/ContractAdmin/Contracts/Pages/PBQs.aspx.
The Department will post a response on its website to RFCs submitted. Responses to RFCs posted on
the Department’s website are not revisions to the Contract Documents and are not binding. Any
response requiring a revision to the Contract Documents will be implemented through issuance of
Addenda to the RFP.
2.2 Pre-Proposal One-on-One Meetings

The Department intends to provide each Offeror the opportunity for two Pre-Proposal One-on-One
Meetings with the Department prior to the Proposal Due Date to discuss issues and clarifications
regarding the RFP. Pre-Proposal One-on-One Meetings will be held on the dates set forth in Section
1.4 (Procurement Schedule) and/or on any such other dates that may be designated by the Department
in writing to Offerors. KYTC, the Federal Highway Administration (FHWA), other stakeholders, and
consultants to the Department may also participate in the Pre-Proposal One-on-One Meetings.
During the Pre-Proposal One-on-One Meetings, Offerors may ask questions and the Department may
provide responses for informational purposes. Any responses provided by the Department during the
Pre-Proposal One-on-One Meetings may not be relied upon; however, the Department may, in its
discretion, and subject to Section 2.1 (Examination of RFP and Requests for Clarification) above,
respond in writing to questions or comments raised in Pre-Proposal One-on-One Meetings and/or
incorporate the substance of its responses into the RFP by Addenda. The Department reserves the
right to disclose to all Offerors any issues raised during the Pre-Proposal One-on-One Meetings if, in
the judgement of the Department, such issues would jeopardize a fair and equitable Procurement
Process. The Department will use commercially reasonable efforts to maintain the confidentiality of
information related to Offerors and their Proposals as required to comply with this Section 2.2, Section
4.4 (Confidentiality/Public Information Act Disclosure Requests), and applicable law.
Additional information regarding the Pre-Proposal One-on-One Meetings will be provided by the
Department to registered Offerors.
2.3 Addenda
The Department reserves the right, in its sole discretion, to revise, modify, or change the RFP and/or
Procurement Process at any time before the Proposal Due Date shown in Section 1.4 (Procurement
Schedule). Any such revisions will be implemented through issuance of Addenda to the RFP.
2.4 Errors
If any mistake, discrepancy, deficiency, ambiguity, error, or omission is identified by an Offeror at any
time during the Procurement Process in any of the RFP Documents supplied by the Department, the

Offeror shall notify the Department of the mistake, discrepancy, deficiency, ambiguity, error or omission
and recommend a correction in writing in accordance with Section 2.1 (Examination of RFP and
Requests for Clarification).
3. GENERAL
3.1 Funding Sources
As detailed in the ICA, the Department’s plan of finance for the Project contemplates that the
Department will fund the design and construction of the Project using a combination of federal funds,
State of Ohio funds, and funds made available by the Commonwealth of Kentucky. Payments will be
made by the Department in accordance with the negotiated PDBC and in accordance with the
procedures set forth under the ICA.
3.2 Federal Requirements

In order to preserve the ability of the Department to use federal funding for the Project, the
Procurement Process and the Contract must comply with all applicable federal laws and regulations.
3.3 DBE Requirements

The Department has determined that federal Disadvantaged Business Enterprise (“DBE”) requirements
will apply to the design and construction of the Project and has adopted a plan to provide DBE firms
opportunities to participate in the delivery of the Project as service providers, vendors, contractors,
subcontractors, advisors, and consultants. The Department has adopted the definition of DBE set forth
in 49 CFR § 26.5. Offerors’ and the Contractor’s DBE compliance obligations shall be governed by all
applicable federal DBE regulations, including 49 CFR Part 26, as well as applicable requirements set
forth in the PDBC.
The DBE goal for Phase 1 (Preconstruction Phase including Sub-Phase 1A and Sub-Phase 1B) is 9%
of the Sub-Phase 1A and Sub-Phase 1B Contract Price.
The Department is targeting a DBE goal of at least 7% of the Contract Price for Phase 2. The DBE goal
for Phase 2 will be agreed upon between the Contractor and the Department and finalized by the
Department as part of the Phase 2 Change Order. Prior to execution of any Early Work Package or the
Phase 2 Change Order, the Contractor will be required to submit a detailed DBE Performance Plan to
achieve the DBE participation goal.
3.4 OJT Requirements

The Department has determined that federal On the Job Training (OJT) requirements will apply to the
Project. The Department has adopted the definition of OJT set forth in 23 CFR § 230. OJT compliance
obligations shall be governed by all applicable federal OJT regulations, as well as applicable
requirements set forth in the Contract.

ODOT anticipates a goal of 15% of total labor hours for the Project be performed by trainees. The OJT
goal will be agreed upon between the Contractor and the Department and finalized by the Department
as part of the Phase 2 Change Order.
4. PROCUREMENT PROCESS
4.1 Procurement Method
The Procurement Process intended to be used by the Department is described below; provided that the
Department reserves the right, in its sole discretion, to modify the Procurement Process to comply with
applicable law and/or to address the best interest of the Department, including canceling the
Procurement.
Following Proposal submission, Offerors will be required to attend an interview with the Department.
Following interviews and evaluation of interviews, the Department intends to select an Offeror for
conditional award based on the Department’s determination of apparent best value and finalize a PDBC
for award and execution. If the Department and the apparent best value Offeror are unable to finalize
and execute a PDBC, the Department may award the Project to the next highest rated Offeror.
Alternatively, the Department may modify and re-issue the RFP, or terminate the Procurement Process.
4.2 Authorized Representatives and Offeror Registration

The Department has designated the following individual to be its authorized representative for the
procurement (the “Authorized Representative”):
Eric Kahlig
Alternative Project Delivery Administrator
Ohio Department of Transportation
1980 W. Broad Street, Columbus, Ohio 43223
E-mail: [email protected]
All official Project communications will be provided from the Department’s Authorized Representative.
Each Offeror shall timely register with the Department by submitting Form L (Offeror Registration) by
email to the Department’s Authorized Representative. Subject to applicable state and federal law as
described in Section 4.4 hereof, Form L (Offeror Registration) will remain confidential until after an
award is made. Offerors are required to register prior to the deadline established in the procurement
schedule set forth in Section 1.4 (Procurement Schedule). Any change in an Offeror team’s
organization after its registration is subject to Section 5.5 (Changes in Offeror’s Organization). The
Department reserves the right to reject any Proposal submitted by an Offeror or Offeror team that did
not timely register pursuant to this Section 4.2 (Authorized Representatives and Offeror Registration) or
that failed to timely seek approval of any post-registration change in its organization pursuant to Section
5.5 (Changes in Offeror’s Organization).
As part of Form L (Offeror Registration), each Offeror will identify a point of contact (Procurement Point
of Contact or PPC). The PPC will be responsible for initiating or receiving all communication with the
Department and must be delegated the full authority of the Offeror to communicate with the Department

throughout the Procurement Process. Following registration, all Offeror submissions and
communications with the Department should be made through the PPC.
The Department will not be responsible for any oral communication or any other information or contact
that occurs outside the official communication process specified in this ITO.
4.3 Rules of Contact

The rules of contact described herein apply from release of the RFP until selection of the best value
Offeror or until the formal cancellation of the Procurement Process by the Department. Each associated
Component Firm must comply with all applicable laws and refrain from lobbying any Governmental
Authority in connection with the Procurement Process. During the Procurement Process, no employee,
member, agent, advisor, or consultant of any Offeror or a Component Firm may undertake any ex-parte
communications, directly or indirectly, regarding this Procurement Process with any representative of
the Department, KYTC, or FHWA, including their staff, advisors, contractors, or consultants, except for
communications expressly permitted by this RFP.
After a Offeror’s submission of its Form L (Offeror Registration), neither the Offeror nor any Component
Firm thereof may communicate with another Offeror or Component Firm associated with another
Offeror with regard to the Project, the Proposal, or any other Offeror’s Proposal, except that an Offeror
may communicate with an individual or Component Firm that is included in more than one Offeror
organizations, so long as those Offerors have an established, documented protocol to ensure that such
individual person or firm will not act as a conduit of information between the respective Offeror
organizations.
Any verified allegation that an Offeror or Component Firm member has engaged in such prohibited
communications or attempted to unduly influence the selection process may be cause for the
Department to disqualify the Offeror or to disqualify the Component Firm from participating with any
Offeror; all at the sole discretion of the Department.
4.4 Confidentiality/Public Information Act Disclosure Requests

4.4.1 Confidentiality Rules
All documents and materials submitted by the Offerors in conjunction with this Procurement Process
will be subject to Section 149.43 of the Ohio Revised Code, also known as the Public Records Act.
Offerors are encouraged to familiarize themselves with the Public Records Act and any other laws
applicable to the disclosure of documents and materials submitted in connection with this RFP and to
the matter of confidentiality and public information. The Department will not advise an Offeror as to the
nature or content of documents or materials entitled to protection from disclosure under such laws or as
to the interpretation of such laws, or as to the definitions of “proprietary,” “privileged” or “confidential
trade secrets”, or commercial or financial information.
Notwithstanding anything to the contrary contained herein, Offerors are advised that the information
contained in Form B-1 (Identification of Offeror and Principal Participants) and Form E (Conflict of
Interest Disclosure Statement) of each Proposal may be publicly disclosed by the Department at any

time, in the Department’s sole discretion. Proposal materials will not be returned to the submitting party,
except as determined by the Department in accordance with applicable laws.
Nothing contained in this RFP shall modify or change the obligations of the Department under the
federal Freedom of Information Act (FOIA) or other applicable law. Determinations regarding the
confidentiality of Proposal information or other materials submitted as part of this Procurement Process
will be made by the Department in accordance with applicable law. Under no circumstances will the
Department be responsible or liable to an Offeror or any other party as a result of disclosing any such
materials.
4.4.2 Trade Secrets

ORC Section 5501.03, prevents disclosure of any materials or data submitted to, made available to, or
received by the Ohio Director of Transportation, to the extent that the materials or data consist of trade
secrets, as defined in section 1333.61 of the Revised Code (addressed below), or commercial or
financial information, as ORC Section 5501.03 deems this information confidential, not public records
for the purposes of the Public Records Act , and will therefore not be subject to disclosure.
4.4.2.1 Definition
“Trade secret” is defined in ORC Section 1333.61(D) as "information, including the whole or any portion
or phase of any scientific or technical information, design, process, procedure, formula, pattern,
compilation, program, device, method, technique, or improvement, or any business information or
plans, financial information, or listing of names, addresses, or telephone numbers, that satisfies both of
the following:
A. It derives independent economic value, actual or potential, from not being generally known to,
and not being readily ascertainable by proper means by, other persons who can obtain
economic value from its disclosure or use; and
B. It is the subject of efforts that are reasonable under the circumstances to maintain its secrecy.
4.4.2.2 Identification
In order for any information in the Proposal or shared during Pre-Proposal One-on-one Meetings to be
treated as a “trade secret,” the Offeror must abide by the following procedure:
A. The Offeror shall independently determine, and be solely responsible for, whether any
portion/entirety of any document, data, or record submitted qualifies as a trade secret under
ORC Section 1333.61(D) preventing its disclosure;
B. The Offeror shall (a) prominently mark each and every page of its document, data, or record
with “Trade Secret” or “T.S.” and an asterisk before and after each line of the submission that
may contain “trade secret information” and (b) list the page numbers of every occurrence of
the “trade secret” on the cover sheet submitted with the submission; and
C. The Offeror shall accompany any label made in accordance with a concise statement
supporting the label and determination, including applicable law supporting the claim.

4.4.2.3 Processing and Disclosure of Procurement Information

During the Procurement Process, the Department does not intend to share with, or convey to, any
person the information provided by the Offeror, unless either (i) disclosure is required by applicable law,
or (ii) the Offeror gives prior written approval for such disclosure.
In the event the Department is requested to disclose any information that has been marked as “trade
secret”, the Department shall respond with a redacted copy prepared by the Department (the
“Department Response”).
In the event that an Offeror asserts a right to any redacted information in the Department Response
with regard to any complete or partial document(s), data, or record(s), the Department intends to notify
the Contractor of the assertion of right(s) (the “Notice of Rights”), and from the date the Contractor
receives the Notice of Rights, the Contractor shall have the responsibility to respond to the requestor
asserting that the information requested is exempt from disclosure under applicable law.
The Department shall not be obligated to maintain in confidence any information that is not a trade
secret including information that (a) is already known by the State, (b) is or comes into the public
domain through no fault of the State, (c) is independently developed by the State, or (d) comes to the
State from a third-party in a manner not in violation of any obligation of confidentiality by such third
party to the Offeror.
State law generally requires that documents which contain both confidential/trade secret and non-
confidential information be disclosed with confidential information redacted.
4.5 Observers During Evaluation

Offerors are advised that observers from federal or other agencies, as well as Department consultants,
may observe the Proposal evaluation process and will be permitted to review the Proposals after the
Proposal Due Date and attend interviews. Observers may include representatives from the Department,
KYTC, FHWA, City of Cincinnati, City of Covington, Kenton County, Hamilton County, and their outside
advisors. Observers will have access to the Proposals and may provide comments to the Proposal
Evaluation Team. Outside observers (other than KYTC and FHWA officials) will be required to sign the
Department’s standard confidentiality agreement.
4.6 Improper Conduct and Non-Collusion

No Offeror nor any Offeror’s Component Firms shall undertake any of the prohibited activities identified
in Form D (Non-Collusion Affidavit).
5. OFFEROR TEAM ORGANIZATION

5.1 Registration of Businesses
It is required that the Offeror and their relevant agents are properly authorized and licensed under the
laws of the State of Ohio to conduct business in this State of Ohio; are duly registered with the
Kentucky Secretary of State to the extent required by Kentucky law; and will remain in good standing to

do business in the State of Ohio and Commonwealth of Kentucky for the duration of the Project. If an
Offeror has not performed work in Ohio or Kentucky, it must also be in good standing to do business in
its home jurisdiction.
5.2 ODOT and KYTC Prequalification

All Offerors and Component Firms responsible for professional and construction services on the Project
must be prequalified by the Ohio Department of Transportation according to Ohio Revised Code (ORC)
Chapters 5525 & 5526 and the rules and regulations governing prequalification and by KYTC in
accordance with Kentucky Administrative Regulations (KAR) 603 KAR 2:015, 600 KAR 6:040, and
other relevant laws. Services that require prequalification may only be performed by firms that are
prequalified for those services at the time of performance of the services.
The Offeror is responsible for ensuring all Component Firms responsible for professional and
construction services on the Project are prequalified with the Department and KYTC, as applicable, in
accordance with Form K (Prequalification). Failure by the Offeror to meet the requirements of
Prequalification may result in the Offeror being disqualified from the Procurement Process.
5.3 Organizational Conflicts of Interest

The Department may reject any Proposal received in violation of this Section 5.3’s requirements.
Each Offerors’ attention is directed to Federal Code Section 23 CFR Part 636 Subpart A and in
particular Section 636.116 regarding organizational conflicts of interest. Section 636.103 defines
“organizational conflict of interest” as follows:
“Organizational conflict of interest means that because of other activities or relationships with other
persons, a person is unable or potentially unable to render impartial assistance or advice to the
owner, or the person's objectivity in performing the contract work is or might be otherwise impaired,
or a person has an unfair competitive advantage.”
Offerors are prohibited from receiving any advice or discussing any aspect relating to the Project or
Procurement Process with any person or entity with an organizational conflict of interest. The
Department may disqualify an Offeror if an organizational conflict of interest exists.
Each Offeror agrees that if an organizational conflict of interest is discovered, the Offeror must make an
immediate and full written disclosure to the Department that includes a description of the action that the
Offeror has taken or proposes to take to avoid or mitigate such conflicts. If an organizational conflict of
interest is determined to exist, the Department may, at its discretion, cancel the contract for this Project.
The Offerors’ attention is further directed to Ohio Administrative Code (OAC) Section 4733-35-05 (C),
201 KAR 18:142, and the requirements regarding organizational conflicts of interest. For guidance in
determining if you would have a Conflict of Interest, please review the Department’s Specifications for
Consultant Services (primarily sections 2.15 through 2.18) and the referenced Codes within those
applicable sections.

The Specifications for Consultant Services can be found at:

A. http://www.dot.state.oh.us/Divisions/Engineering/Consultant/ConsultDocs/Specifications%20f
or%20Consulting%20Services%202016.pdf.
B. Title 201 Chapter 18 Regulation 142 • Kentucky Administrative Regulations • Legislative
Research Commission.
While all of the references are for engineering or surveying services, the Department will use the same
level of scrutiny for any consultant service.
Each Offeror shall require its Component Firms to identify potential conflicts of interest or a real or
perceived competitive advantage relative to this Procurement Process. Offerors are notified that prior or
existing contractual obligations between a company and a federal or state agency relative to the Project
or Department’s Progressive Design-Build program may present a conflict of interest or a competitive
advantage. If a potential conflict of interest or competitive advantage is identified, the Offeror shall
submit in writing the pertinent information to the Department’s Office of Consultant Services prior to the
submittal of the Proposal and the Offeror may request a waiver of the conflict of interest for the
Department’s consideration. Information on submitting a Conflict Waiver Request can be found at:
http://www.dot.state.oh.us/Divisions/Engineering/Consultant/Pages/Manuals-and-Contract-Documents-
.aspx.
Waiver Requests shall be directed to Susan Stehle by email at [email protected] or mailed

to:
Office of Consultant Services
1980 West Broad Street, Mail Stop 4100, Columbus, Ohio 43223
Attn: Susan Stehle
The Department, in its sole discretion, will make a determination relative to potential organizational
conflicts of interest or a real or perceived competitive advantage, and its ability to mitigate such a
conflict. An organization determined to have a conflict of interest or competitive advantage relative to
this procurement that cannot be mitigated, shall not be allowed to participate as an Offeror or
Component Firm for the Project. The Department will attempt to make all reasonable efforts to timely
respond to a waiver request.
The following firms will not be allowed to participate as an Offeror or a Component Firm due to a known
conflict of interest. This list shall not be considered all-inclusive and may be supplemented by the
Department throughout the Procurement Process.
A. HNTB Corporation
B. HMB Professional Engineers, Inc.
C. KBHR Access
D. Rasor Marketing Communications, LLC
E. American Structurepoint, Inc.
F. Geotechnology, LLC

G. T2 Utility Engineers
5.4 Debarment or Suspension

No firm may participate in any Offeror organization to the extent that such firm is currently debarred,
suspended, disqualified, or removed from bidding (including having been removed from bidding by the
Department on account of pending liquidated damages on other projects) or performing work for the
State of Ohio or the Commonwealth of Kentucky, the federal government or more than three state
governments or is subject to any proposed, pending, or past debarment, or suspension, in the past
three years prior to the Proposal Due Date. Each Offeror will be required to acknowledge and certify
that all firms meet the requirements of this Section 5.4 at the time of Proposal submission.
5.5 Changes in Offeror’s Organization

Except as provided in the PDBC and in this Section 5.5, Offeror’s organization as identified in its Form
L (Offeror Registration) and subsequently in its Proposal must remain the same for the duration of
procurement. If an Offeror wishes to make changes in the team members identified in its registration
with the Department, including, without limitation, additions, deletions, reorganizations, and/or role
changes in or of any of the foregoing, Offeror shall submit to the Department a revised Form L (Offeror
Registration) as soon as possible, but in no event later than the last date for Addenda set forth in
Section 1.4 (Procurement Schedule).
After Proposals are submitted, individuals, Principal Participants, and Major Participants identified in the
Proposal may not be removed, replaced, or added to without the written approval of the Department.
The Department may revoke an awarded contract if any individual, Principal Participants, or Major
Participants identified in the Proposal is removed, replaced, or added to without the Department’s
written approval. To qualify for the Department’s, approval, the written request must document that the
proposed removal, replacement, or addition will be equal to or better than the individual or design-build
firm provided in the Proposal. Requests shall demonstrate, to the Department’s satisfaction, that (a) the
current Offeror team, including any replacement entity, meets the criteria set forth in the ITO and (b) the
replacement or removal of any individual Principal Participants, or Major Participants identified in its
Proposal will not affect, in whole or in part, the basis upon which the Offeror is evaluated. Requests for
removals, replacements and additions must be submitted in writing to the Department’s Authorized
Representative as described in Section 4.2 (Authorized Representatives and Offeror Registration). The
Department is under no obligation to approve such requests and may approve or disapprove in writing
a portion of the request or the entire request at its sole discretion.
5.6 Participation On More Than One Offeror Team

Principal Participants and Major Participants are prohibited from directly, or indirectly, participating in
any capacity on more than one Offeror’s team. This prohibition includes the participation on different
teams by a Major Participant through related corporate entities, such as an entity that directly or
indirectly controls another entity, or two entities that are under common control. If any Major Participant
fails to comply with this prohibition, all Offeror teams on which such Major Participant is participating
may be considered non-responsive and the Department may reject the corresponding Proposal.

6. PROPOSAL REQUIREMENTS
6.1 General Provisions Regarding Proposals
Proposal contents, information, organization, formatting, and submission shall adhere to the
requirements of this ITO and ITO forms. Any failure to provide all the information, all completed forms
or information in the format and organization specified, or the submittal of a Proposal subject to any
reservations, qualifications, conditions, assumptions or which contains an alteration, deviation, or is
non-compliant in any manner, may result in the Department’s rejection of the Proposal or giving it a
lower rating, in its sole discretion.
6.2 Proposal Contents

The instructions and requirements for the Administrative Proposal, the Technical Proposal, and the
Financial Proposal shall be organized in the order listed herein and shall be clearly indexed.
6.3 Proposal Due Date

The completed Proposal shall be delivered no later than the Proposal Due Date and time specified in
Section 1.4 (Procurement Schedule) in the methods specified in this Section 6.
6.4 Signatures Required

Form A (Proposal Letter) shall be executed by all Principal Participants and shall be accompanied by
evidence of signatory authorization as specified in Form A (Proposal Letter). Signatures on documents
included in the original Proposal may be original (handwritten) or electronic (digital) signatures.
Electronic signatures must be applied by an authorized representative using One Span and be
accompanied by a written statement acknowledging the intent of the signatory, and that of the party on
whose behalf the signatory is signing, that the signature be binding.
6.5 Proposal Format

6.5.1 Submission Format Requirements
Through ODOT LiquidFiles, each Offeror shall submit two electronic files of the Proposal, as follows:
A. One electronic searchable single file PDF format (compatible with Adobe and Bluebeam
software) which does not restrict printing or copying text, images, and other content.
B. One electronic password protected single file PDF format which restricts modification of the
file, copying of text, images, or other content. The submission must be able to be read by the
Department. The Offeror is not required to supply the password.
A cover sheet shall be provided within the submission, and it shall list the page numbers of every
occurrence of a “trade secret” within the Proposal.
6.5.2 General Format Requirements

Proposal formatting requirements are as follows:

A. All pages shall be 11-by-17 inches.

B. Font shall be at least 12-point in Times New Roman (normal spaced lettering). Financial
Information (including financial capability information), such as that provided by reporting /
auditing agencies, may be provided using different font sizes provided they are legible.
C. Text contained on charts, exhibits, tables, figures, and other illustrative and graphical
information may use a smaller font size and/or different font type but shall be legible.
D. All pages shall be numbered with a footer depicting, at a minimum, Offeror’s name and page
number (Offeror name – Page X of XX). Margins shall be at least 1 inch all around. The page
number may lie within the 1-inch margin.
E. Proposal divider pages will not be counted towards the maximum number of pages unless the
divider pages contain expounding information, as determined by the Department.
F. If an Offeror is compelled to include material in addition to the information requested, the
Offeror shall append that material to the end of the most appropriate section. Additional
material is subject to the page limitations.
G. All information, layout, and page formatting shall be identical in all copies. If information is
materially different between copies, the Proposal may be rejected.
H. Submissions exceeding the page limitations (see Table 3 (Proposal Page Limitations)),
substantial deviations from formatting requirements, or failing to follow the section format
instructions outlined above are grounds for rejection and may deem the Offeror non-
responsive.
Table 3: Proposal Page Limitations
Proposal Section Max No. of Pages
Administrative Proposal
Forms (including supporting information requested with Forms) As Needed
Technical Proposal
Design-Build Organization and Key Personnel 14
Design-Build Team Capabilities and Experience 14
Project Understanding and Approach 19
Financial Proposal (Surety Letter)
Surety Letter As Needed
Competitive Bidding Element N/A (use Bid Express)
6.6 Electronic Submission

6.6.1 Electronic Submittal of Proposal
The Proposal, excluding the Competitive Bidding Element in accordance with Section 6.9.2
(Competitive Bidding Element (Markup)), shall be submitted electronically through a Department
secured file sharing system (ODOT LiquidFiles) no later than the Proposal Due Date and time specified

in Section 1.4 (Procurement Schedule). Additional information on ODOT LiquidFiles can be found at:
https://fileshare.dot.state.oh.us/img/External-Invited-User-Guide-ODOT-LiquidFiles.pdf.
Contact the Department (Eric Kahlig, Ph. 614-387-2406) to establish a LiquidFiles account and to
submit test submissions for verification.
6.6.2 Electronic Submittal of Competitive Bidding Element

The Department uses the Bid Express website (http://www.bidx.com) as an official repository for
electronic bid submittals. Offerors must submit their Markup via Bid Express via the Project Bids
(EBSX) files applicable to the Project.
The Department’s Office of Contracts will provide Offerors with RFP Documents and any required
Addenda through the Department’s website. Addenda will not be provided by hard copy but will be
available on the Office of Contracts website at: http://contracts.dot.state.oh.us.
Any interested parties and Offerors will be notified of all addenda via email by requesting to be
considered “Plan Holders”. To be considered a “Plan Holder”, submit the necessary information at the
following website:
https://www.dot.state.oh.us/Divisions/ContractAdmin/Contracts/Pages/planholders.aspx.
All proposals, plans, Project Bids (EBSX) files and addenda are also available on the Office of
Contracts website (Project Number 233000): http://contracts.dot.state.oh.us/home.do.
Addenda and/or amendments to the RFP must be acknowledged in the Bid Acknowledgement section
of the Project Bids (EBSX) file in order for any Offeror’s Proposal to be considered for award of the
PDBC. The section contains the certification of receipt of all proposals, addenda, amendments, plans,
standard specifications and supplemental specifications. Supplemental Questionnaire information
regarding the Offeror’s outstanding ODOT and non-ODOT work have also been included in this Section
6.6.2. Bid Express will not accept Proposals that do not have amendments incorporated. Failure to
incorporate changed quantities or items in your Proposal (EBSX) submissions will result in the rejection
of your Proposal.
The Department will ensure that this electronic bid depository is available for a two-hour period prior to
the deadline for submission of Proposals. In the case of disruption of national communications or loss
of services by http://www.bidx.com during this two-hour period, the Department will delay the deadline
for bid submissions to ensure the ability of potential Offerors to submit Proposals. If this occurs,
instructions will be communicated to potential Offerors.
Submissions will NOT be accepted after the time specified except in extreme and unusual
circumstances recognized by the Department.
6.7 Administrative Proposal

The Administrative Proposal shall include the following forms and information as included in this
Section 6.7. No page limits apply to the Administrative Proposal.

6.7.1 Proposal Letter (Form A)

The Administrative Proposal shall include Form A (Proposal Letter). Offeror shall attach to the Proposal
Letter the documents and information described in the section entitled “Additional Information To Be
Provided With Proposal Letter” of Form A (Proposal Letter); provided, however, that Offeror may attach
to the original Form A (Proposal Letter) an envelope including two certified copies of the required
organizational documents in lieu of providing organizational documents with each of the copies of the
Administrative Proposal.
6.7.2 Informational Forms (Form B) and Legal Information

The Administrative Proposal shall include a signed statement by the Offeror attesting that all Major
Participants and who will be responsible for Design Work and Construction Work on the Project will be
prequalified for categories identified in Form K (Prequalification) with the Department and KYTC by
Project award.
The Administrative Proposal shall include a completed chart on Form B-1 (Identification of Offeror and
Principal Participants), including the names, contact information, role in the organization, licensing
information, and description of Work (if applicable) for Offeror and Principal Participants.
The Administrative Proposal shall include a completed Form B-2 (Information About Offeror
Organization) providing information about the Offeror organization and its team as specified therein.
The Administrative Proposal shall include a completed Form B-3 (Information About Major Participants)
providing information regarding each Major Participant (excluding Principal Participants).
The Administrative Proposal shall include copies of organizational documentation described in the
section entitled “Additional Information to Be Provided with Proposal Letter” of Form A (Proposal Letter)
for Offeror, Contractor and Principal Participants, as well as other documentation required by Form B-2
(Information About Offeror Organization). If any modification to the organizational documents for such
entity is contemplated prior to award or if Offeror intends to form an affiliated entity to be the Contractor,
Offeror shall provide a brief description of the proposed legal structure and draft copies of the
underlying organizational documents (described in the section entitled “Additional Information To Be
Provided With Proposal Letter” of Form A (Proposal Letter) for such proposed entity.
6.7.3 Responsible Offeror Questionnaire (Form C)

The Administrative Proposal shall include Form C (Responsible Offeror Questionnaire), with respect to
the Offeror, each Major Participant, and each Principal Participant. As noted on the form, it may be
provided by Offeror on its own behalf and on behalf of each Major Participant and Principal Participant,
or it may be provided by Offeror on its own behalf and the individual Major Participants and Principal
Participants on their own behalf. The form executed by Offeror shall be signed by the same
individual(s) who sign the Proposal Letter. The forms signed by Major Participants and Principal
Participants shall be signed by an authorized representative of such Major Participant and Principal
Participant and the Administrative Proposal shall include evidence of signature authorization for each
such individual.

6.7.4 Non-Collusion Affidavit (Form D)

The Administrative Proposal shall include Form D (Non-Collusion Affidavit), certifying that the Proposal
is not the result of and has not been influenced by collusion.
6.7.5 Conflict of Interest Disclosure Statement (Form E)

The Administrative Proposal shall include a certification on Form E (Conflict of Interest Disclosure
Statement) describing potential organizational conflicts of interest, including disclosure of all relevant
facts concerning any past, present, or currently planned interest that may present an organizational
conflict of interest.
6.7.6 Debarment and Suspension Certification (Form F)

The Administrative Proposal shall include Form F (Debarment and Suspension Certification), certifying
that Principal Participants and Major Participants are not declared by Ohio, Kentucky, the federal
government, or have not voluntarily declared themselves debarred, suspended, or ineligible from doing
transactions with the States of Ohio and Kentucky, the federal government, or any of its agencies and
making other certifications as described on Form F (Debarment and Suspension Certification).
6.7.7 DBE Goal Attainment or Good Faith Efforts Certification (Form G and
Phase 1 DBE Performance Plan)
The Administrative Proposal shall include Form G (DBE Goal Attainment or Good Faith Efforts
Certification) confirming that Offeror will meet or exceed the DBE participation goal or will exercise
good faith efforts to substantiate its attempts to meet the goal. The Administrative Proposal shall also
include the Phase 1 DBE Performance Plan meeting the requirements in Exhibit L (Disadvantaged
Business Enterprise (DBE) Performance Plan and Good Fail Efforts) of the PDBC except the DBE
Performance Plan shall include participation percentages instead of dollar amount of the participation of
each DBE firm used to meet the DBE goal.
6.7.8 Equal Employment Opportunity Certification (Form H)

The Administrative Proposal shall include Form H (Equal Employment Opportunity Certification),
regarding participation in contracts or subcontracts subject to the equal opportunity clause and the filing
of required reports. A Form H (Equal Employment Opportunity Certification) in respect of the Offeror,
each Major Participant and all known subcontractors shall be provided, whether in a single Form H
(Equal Employment Opportunity Certification) executed by the Offeror or in multiple forms executed by
the respective entities.
6.7.9 Buy America Certification (Form I)

The Administrative Proposal shall include Form I (Buy America Certification), regarding Buy America
requirements.

6.7.10 Certification Regarding Use of Contract Funds For Lobbying (Form J)

The Administrative Proposal shall include Form J (Certification Regarding Use of Contract Funds for
Lobbying), executed by Offeror, all members or joint venture members of Offeror, and all of the other
Major Participants, including Principal Participants, certifying that no federal appropriated funds have
been or will be paid for lobbying activities, and no other funds have been paid or will be paid to
influence governmental decisions regarding this Project.
6.7.11 Prequalification (Form K)

The Administrative Proposal shall include Form K (Prequalification), listing the contractor/subcontractor
intended to perform each work type and consultant/subconsultant to perform Design Work along with
the status of their prequalification. At a minimum, categories requiring prequalification by Project award
shall include firms who will perform the Work.
6.8 Technical Proposal

6.8.1 Design-Build Team Organization and Key Personnel
The Offeror shall provide sufficient information to enable the Department to understand and evaluate
the Offeror’s team.
6.8.1.1 Organization Charts and Narrative
6.8.1.1.1 Organization Charts
The Offeror shall provide two organization charts:
A. One Preconstruction Phase Organization Chart; and
B. One Construction Phase Organization Chart.
Each organization chart shall show the “chain of command” of the required key personnel roles
proposed for the Offeror’s organization regarding the Project. Include any other roles critical to the
Offeror’s approach. At a minimum, the organization charts shall show all Key Personnel and how the
Contractor is structured to deliver the Work.
Font requirements on the organization charts will not be enforced, but Offerors shall ensure it is legible
and clear.
6.8.1.1.2 Narrative
The Offeror shall include a narrative to describe the interactions between positions, functions of shown
intended roles, and other planned team integration techniques intended.
6.8.1.2 Key Personnel
This Section 6.8.1.2 shall include resumes of Key Personnel as described in Table 4 (Key Personnel).
Resumes shall be limited to no more than one page per individual. Key Personnel roles may only be
performed by one person. One individual may not fill the role of more than one position. Resumes for
individuals shall be on separate and distinct pages.

Resumes should demonstrate the abilities of all identified Key Personnel through a description of
qualifications, experiences, and performance of similar tasks on previous similar recent relevant
projects. These qualifications and experience should provide confidence to the Department that the
Project will be effectively managed through personal competence and accountability.
Resumes for all Key Personnel shall provide the following information:
A. The individual’s position and authority within the Offeror’s team.
B. Previous projects, similar in nature to the proposed project or other significant efforts for
which the individual has performed a similar function.
C. Identify estimated percentage of their weekly time that the individual will be dedicated to the
Project during the Preconstruction Phase and the Construction Phase.
D. Relevant experience, professional registrations, education, and other components of
qualifications applicable to this Project.
E. Any unique qualifications.
F. A statement indicating that the individual is currently employed by a member of the Offeror’s
team at the time of the Proposal Submittal.
Table 4: Key Personnel
Key Personnel Duties/Qualifications

The DBT Project Manager is responsible for all aspects of the Project,
including, but not limited to, overall design, environmental compliance,
construction, quality management, and contract administration. The Project
Manager shall have 15 years of design-build experience managing the
design and construction of major highways, interstate-to-interstate
DBT Project Manager
interchanges or navigable river bridge structures, with preference for both.
The Project Manager shall be assigned to the Project full time and meet the
co-location requirements in accordance with Section 4 (Co-Location
Facilities for Contractor and Department Forces) of the Technical
Requirements.
The DBT Design Manager is responsible for ensuring the overall Project
design is completed and all design requirements are met. The Design
Manager shall have at least 15 years of recent experience, experience with
integrated project delivery preferred, managing the design of major projects
that include complex maintenance of traffic design experience. The DBT
DBT Design Manager Design Manager must be a licensed professional engineer in the State of
Ohio and Commonwealth of Kentucky or be able to obtain licensure by
award of Contract. The Design Manager shall be assigned to the Project full
time and meet the co-location requirements in accordance with Section 4
(Co-Location Facilities for Contractor and Department Forces) of the
Technical Requirements.


The DBT Lead Structural Design Engineer actively manages and serves as
point of contract for all structural designs. Responsible for ensuring all
structural components on the Project are completed and all design
requirements are met. The DBT Lead Structural Design Engineer shall
DBT Lead Structural Design have at least 15 years of recent similar experience. They must be a
Engineer licensed professional engineer in the State of Ohio and Commonwealth of
Kentucky or be able to obtain licensure by award of contract. The DBT
Lead Structural Design Engineer shall meet the co-location requirements in
accordance with Section 4 (Co-Location Facilities for Contractor and
Department Forces) of the Technical Requirements.
The DBT Lead Highway Design Engineer is responsible for ensuring all
highway geometric, drainage and traffic components on the Project are
completed and all design requirements are met. The DBT Lead Highway
Design Engineer shall have at least 15 years of recent similar experience.
DBT Lead Highway Design
They must be a registered professional engineer in the State of Ohio and
Engineer
Commonwealth of Kentucky or be able to obtain licensure by award of
contract. The DBT Lead Highway Design Engineer shall meet the co-
location requirements in accordance with Section 4 (Co-Location Facilities
for Contractor and Department Forces) of the Technical Requirements.
Responsible for the independent design check of the Companion Bridge.
Must be employed by a qualified, independent professional firm selected
and subcontracted to the DBT, independent of the original bridge design for
the Project. Shall have at least 10 years of experience in the design and
review of complex bridges for major highway projects of similar size and
DBT Lead Independent
complexity. They must be a registered professional engineer in the State of
Companion Bridge Engineer
Ohio and Commonwealth of Kentucky or be able to obtain licensure by
award of contract. The DBT Lead Independent Companion Bridge Engineer
shall meet the co-location requirements in accordance with Section 4 (Co-
Location Facilities for Contractor and Department Forces) of the Technical
Requirements.
The DBT Independent Design Quality Firm (IDQF) Manager is responsible
for managing the Design Quality Assurance for the Project. Must be a
member of the IDQF. Responsible for ensuring that the requirements of the
Design Quality Management Plan are being met and to manage any other
matters related to design quality compliance. The IDQF Manager shall not
DBT Independent Design have any DBT Quality Control responsibilities. Shall have at least eight
Quality Firm (IDQF) Manager years of experience in quality management. They must be a registered
professional engineer in the State of Ohio and Commonwealth of Kentucky
or be able to obtain licensure by award of contract. The DBT Independent
Design Quality Firm Manager shall meet the co-location requirements in
accordance with Section 4 (Co-Location Facilities for Contractor and


The DBT Construction Manager is responsible for managing the
construction of the Project. Must be an employee of a Principal Participant.
The DBT Construction Manager shall have at least 10 years of recent
management experience, design-build experience preferred, in highway
construction, interstate-to-interstate interchanges, and/or major river bridge
DBT Construction Manager
structures with complex maintenance of traffic challenges. The DBT
Construction Manager shall be assigned to the Project full time and meet
the co-location requirements in accordance with Section 4 (Co-Location
Facilities for Contractor and Department Forces) of the Technical
Requirements.
DBT Lead Bridge Superintendent: Actively manages the construction
activities of the bridge components and coordinates with the highway
components. Will be managed by the DBT Construction Manager. Will be
responsible for daily scheduling, supervising all bridge construction
activities and tasks, ensuring the safety and compliance of the Project Site,
production of submittals, schedule, budget, and achievement of QC
requirements, including work performed by bridge Subcontractors. Shall
DBT Lead Bridge have at least 15 years of demonstrated experience overseeing work on
Superintendent major bridge construction projects having similar type of work, and
complexity, including projects having multiple operations ongoing
simultaneously. Experience as a project superintendent should include at
least one project having a construction value in excess of $300,000,000.
This position is required for the duration of all construction-related activities
on the Project and shall meet the co-location requirements in accordance
with Section 4 (Co-Location Facilities for Contractor and Department
Forces) of the Technical Requirements.
DBT Lead Highway Superintendent: Actively manages the construction
activities of the highway components and coordinates with the bridge
components. Will be managed by the DBT Construction Manager. Will be
responsible for daily scheduling, supervising all highway construction
activities and tasks, ensuring the safety and compliance of the Project Site,
production of submittals, schedule, budget, and achievement of QC
requirements within their teams, including Subcontractors working within
DBT Lead Highway their highway components. Shall have at least 15 years of demonstrated
Superintendent experience overseeing work on major highway construction projects having
similar type of work, and complexity, including projects having multiple
operations ongoing simultaneously. Experience as a project superintendent
should include at least one project having a construction value in excess of
$300,000,000. This position is required for the duration of all construction-
related activities on the Project and shall meet the co-location requirements
in accordance with Section 4 (Co-Location Facilities for Contractor and


The DBT Diversity and Inclusion Manager is responsible for all aspects of
the DBE, OJT, and EEO for the project, including but not limited to
overseeing DBE/OJT/EEO compliance goals for the Project, promotion and
outreach for DBE contract opportunities and participation, promotion and
outreach for OJT and workforce development opportunities, participation in
and reporting to the Diversity and Inclusion Outreach Committee,
administration of DBE contracts, prompt payment monitoring for all
subcontractors, subconsultants, and suppliers, resolution of any payment
DBT Diversity and Inclusion issues, reporting of monthly DBE/OJT/EEO participation goals to the
Manager Department, monitoring Commercially Useful Function (CUF), and ensuring
compliance with prevailing wage requirements. DBT Diversity and Inclusion
Manager shall have at least 10 years of experience with a background and
understanding of DBE, CUF, and EEO requirements. DBT Diversity and
Inclusion Manager shall have experience on federally funded projects. DBT
Diversity and Inclusion Manager shall be assigned to the Project full time
and meet the co-location requirements in accordance with Section 4 (Co-
Location Facilities for Contractor and Department Forces) of the Technical
Requirements.
6.8.2 Design-Build Team Capabilities and Experience

Provide the requested specific information as it relates to previous project experience and anticipated
project management approaches.
6.8.2.1 General Offeror Experiences

Describe the general experience of Major Participants. Focus on specific firm experience that relates to
carrying out the proposed project and how the experience will ensure success of the Offeror’s general
approach to the Project.
Describe any notable expertise or other special capabilities of Component Firms or personnel that are
critical to your project approach. Firms shown on organization charts and/or represented in the
technical experience attachments shall be specifically addressed as to their role on the Offeror’s team.
Number of pages shall not exceed two pages.
6.8.2.2 Technical Experience Attachments

The Technical Proposal shall include Technical Experience Attachments, which shall not exceed 12
pages total. Provide project information consisting of descriptions of projects completed by each Major
Participant. Include work by Major Participants that best illustrates current qualifications relevant to this
Project. Projects should be completed within the last 10 years or substantially completed. Specify if
noted Cost of Project is Design Cost or Construction Cost. Technical Experience Attachments shall be
limited to one page per project (on distinct pages). Firms listed are subject to Section 5.5 (Changes in
Offeror’s Organization).
A. Technical Experience Attachments should demonstrate experiences in the following areas:

1. Design and Construction of projects of scope and complexity relatable to this Project.

2. Experience in the successful previous adoption of fair costing processes / negotiation of a

GMP / Lump Sum under PDB / CMGC arrangements.
3. Bringing innovation to meet budget constraints as part of early contractor involvement.
4. Timely completion of projects of scope and complexity relatable to this Project.
5. Proposed Key Personnel members’ roles (if applicable) and/or firms’ role with the Project,
and the ability to function in a coordinated high performing team.
6. Workforce Development and DBE utilization.
7. Mitigation efforts utilized by the Offeror to overcome unexpected Project challenges which
may translate to the proposed Project.
B. Each Technical Experience Attachment must clearly include the following information:
1. Sponsoring/Owner Agency’s Project Name, Project Location, and contract type (e.g., PDB,
DB, DBB, CMGC). Provide any commonly known industry-wide name (if applicable) and
Owner’s project number (If applicable);
2. Name of the representative Major Participant and the firm’s responsibility;
3. Overall project contract value and date on which the value was established. Provide
represented firm’s contract value for which firm was directly responsible. Where a portion of
the work was subcontracted, include both the represented firm’s total contract value and the
percentage subcontracted;
4. The sponsor/owner’s contact information (project manager name, phone number, e-mail
address). If the owner’s project manager is no longer with the owner, provide an alternate
contact at the agency that is familiar with the project. The alternate contact must have
played a leadership role for the owner during the project;
5. Dates of design (if applicable) and construction (if applicable);
6. General Description of the overall project;
7. Detailed description of the work or services provided, and percentage of the overall project
actually performed (as relative to costs); and
8. Description of original scheduled completion deadlines and actual completion dates, as
applicable to the Major Participant. Describe reasons for completing the project in advance
of the contract completion deadline. Describe reasons for completing the projects later than
the contract completion deadline specified within the original contract. Provide the value of
any liquidated damages and/or penalties, and reasons for assessed liquidated damages
and/or penalties, if applicable.
It is the Offeror's responsibility to ensure contact information is up to date. Information which cannot be
verified shall be scored accordingly.
6.8.3 Project Understanding and Approach

6.8.3.1 Overall Approach
Describe the Offeror’s overall approach to deliver the Work described in the RFP, specifically including:
A. Offeror’s understanding of the Project Goals set forth in Section 1.3 (Project Goals), methods
expected to meet project specific objectives, and the approach to help the Department achieve
the Project Goals;

B. Offeror’s approach to creating and implementing a project-specific Diversity, Inclusion, and

Outreach Plan (DIOP), as defined in the Technical Requirements; and
C. Offeror’s approach to developing an Opinion of Probable Cost for the entire project during
Sub-Phase 1A, for Early Work Packages, and for Phase 2 Work.
6.8.3.2 Preconstruction Phase – Sub-Phase 1A (Proof-of-Concept) Approach
Describe Offeror’s specific Sub-Phase 1A (Proof-of-Concept) approach, specifically including:
A. A description of Offeror’s plan for coordination and collaboration with the Department;
B. Offeror’s approach to support the Department in working with Stakeholders, such as
regulatory agencies, and other third parties, such as railroads and utilities;
C. Offeror’s approach to scheduling;
D. Offeror’s approach to quality management;
E. Offeror’s approach to managing and delivering the RFP Scope;
F. A staffing matrix of personnel that are proposed to complete Sub-Phase 1A Work including
discipline area, personnel classification, and proposed level of effort for each classification;
and
G. Offeror’s overall approach to innovation and any Offeror innovations and the potential impacts
of the innovations on risk mitigation, time, safety, costs, and quality.
6.8.3.3 Preconstruction Phase – Sub-Phase 1B (Project Development) Approach
Describe Offeror’s specific Sub-Phase 1B (Project Development) approach, specifically including:
A. A description of Offeror’s plan for coordination and collaboration with the Department;
C. Offeror’s approach to scheduling and quality management;
D. Offeror’s approach to ensure that the Department receives a fair price for construction,
including a description of the major cost components (i.e., cost drivers) for the Project and
Offeror’s approach to obtaining a fair price for these major cost drivers;
E. A description of Offeror’s approach to competitively soliciting subcontractor quotes and how
subcontracting packages will be developed and advertised to the subcontracting community,
(ii) a description of Offeror’s approach to obtaining reasonable proposals from qualified
subcontractors, and (iii) Offeror’s approach to openness and transparency in the
subcontracting solicitation and selection process;
F. Offeror’s approach to risk identification and mitigation during the Project Development Phase
of the Project, identifying at least two key risks for this Project and proposing at least one
mitigation strategy for each identified risk, to be performed during the Project Development
Phase, to eliminate or minimize the impact of the risk to the Project; and
G. Offeror’s approach to development of Work Packages that would optimize Project delivery.
6.8.3.4 Construction Phase – Phase 2 (Final Engineering and Construction) Approach
A. Describe Offeror’s specific Phase 2 (Final Engineering and Construction) approach,
specifically including: A description of Offeror’s plan for coordination and collaboration with
the Department;


C. Offeror’s overall construction management approach, including project controls methods and
approach to quality assurance and control;
D. The scope of work Offeror intends to self-perform, and the scopes of work that Offeror intends
to subcontract, and Offeror’s approach to development of Work Packages (including early
work packages) that would optimize project delivery; and
E. Offeror’s approach to risk management during the Construction Phase of the Project,
identifying at least two risks for this Project (which may be different from, or the same as, the
Project risks identified in the Preconstruction Phase) and proposing at least one mitigation
strategy for each identified risk, to be performed during the Construction Phase, to eliminate
or minimize the impact of the risk to the Project.
6.9 Financial Proposal

6.9.1 Surety Letter
The Financial Proposal shall include a letter from a surety company that meets the following
requirements:
A. The letter includes a statement that the Offeror is capable of obtaining a performance bond
and payment bond for a minimum amount of $3.1B each, and may not state that the Offeror
has “unlimited” bonding/security capability;
B. Such surety company is listed in the current United States Secretary of the Treasury, Fiscal
Service, Circular 570, Companies Holding Certificates of Authority as Acceptable Sureties on
Federal Bonds and as Acceptable Reinsuring Companies;
C. Such surety company is rated in the top two categories by two nationally recognized rating
agencies or has at least an A minus (A-) or better and Financial Size Category of Class VIII or
better rating by A.M. Best and Company, and evidence of the surety company’s rating must
be attached to the letter; and
D. The letter must include a statement that the surety company has read the RFP and has
evaluated the backlog and work-in-progress of the Offeror and relevant Component Firms in
determining its bonding capacity.
6.9.2 Competitive Bidding Element (Markup)

Offeror shall provide a Project Markup between 10% and 18% using Bid Express in accordance with
Section 6.6.2 (Electronic Submittal of Competitive Bidding Element).
Markup will be applied in accordance with Exhibit G (Pricing Process) of the PDBC.
6.10 Proposal Validity

Proposals shall be valid for a period of 120 days after the Proposal Due Date. No Offeror may withdraw
its Proposal within the 120-day period, unless notified by the Department that (a) no PDBC for the
Project will be awarded by the Department pursuant to the RFP; (b) the Department has awarded the
PDBC to another Offeror and has received the executed PDBC and other required documents; (c) the

Department does not intend to award the PDBC to the Offeror; or (d) such Offeror is not the apparent
best value or next highest ranking Offeror.
If the next best Offeror is notified during the 120-day period that it is selected for negotiations, such
Offeror shall be automatically deemed to have extended the validity of its Proposal for the period until
180 days after the Proposal Due Date. Any Offeror may elect to extend the validity of its Proposal
beyond the time periods set forth above.
6.11 Withdrawals and Late Submittals

Offeror may withdraw its Proposal at any time prior to the time due on the applicable Proposal Due
Date by means of a written request signed by the Offeror. Such written request shall be submitted to
the Department by email to the Department’s Authorized Representative. A withdrawal of a Proposal
will not prejudice the right of an Offeror to file a new Proposal provided that such new Proposal is
received before the time due on the Proposal Due Date.
Proposals received after the time due on the Proposal Due Date may be rejected without consideration
or evaluation. It is an Offeror’s sole responsibility to see that its Proposal is received as required by this
ITO.
6.12 Ownership of Proposal

All written and electronic correspondence, exhibits, photographs, reports, printed material, tapes, disks,
designs, and other graphic and visual aids submitted to the Department during this Procurement
Process, whether included in the Proposal or otherwise submitted, become the property of the
Department upon delivery to the Department, and will not be returned to the Offeror.
6.13 Proposal Costs Not Reimbursable

The Department will not provide any Offeror with reimbursement for any costs incurred in connection
with this procurement, and the Offeror is solely responsible for all costs and expenses, of any nature,
associated with responding to this RFP and submitting a Proposal, including attending Pre-Proposal
One-on-One Meetings, submitting RFCs regarding the RFP Documents, and providing any other pre-
Proposal submittals, supplemental information, or Proposal revisions to the Department.
7. EVALUATION PROCESS
7.1 Overview
The Department’s goal is to create a fair and uniform basis for the evaluation of the Proposals in
compliance with all applicable legal requirements governing this Procurement Process. Technical
Proposals will be evaluated by the Proposal Advisory Group. The Proposal Advisory Group consists of
a Proposal Evaluation Team and an Executive Management Team. The Proposal Advisory Group may
be assisted by any number of subgroups and/or subject matter experts within the Department, other
involved agencies, and/or entities contracted by the Department.

Proposals will first be reviewed by a Proposal Evaluation Team for conformance to this ITO regarding
organization and format, the responsiveness of the Offeror to the requirements set forth in this ITO, and
completeness of the Proposal. If responsive, Proposals will then be reviewed for compliance with the
pass/fail criteria identified herein, as more fully set forth in Section 7.2 (Responsiveness and Pass/Fail
Evaluation).
Responsive, “passing” Proposals will be further evaluated based on the Offeror’s ability to meet and
exceed the requirements and objectives established in the RFP in a beneficial way that provides a
consistently outstanding level of quality. The extent to which the Offeror meets or exceeds the
evaluation criteria in Section 7.3 (Evaluation of Technical Proposals) and Section 7.6 (Evaluation of
Financial Proposal) will be determined by the Proposal Evaluation Team in its sole discretion and will
be reflected in the rating of each Proposal.
The Proposal Evaluation Team will present their findings and recommended scoring information to the
Executive Management Team for consideration. The Executive Management Team will examine the
Proposal Evaluation Team’s findings and ratings. The Proposal Evaluation Team will establish Proposal
scores with concurrence from the Executive Management Team based on the scoring guidelines within
the ITO/RFP.
Thereafter, qualitative evaluation of Offerors’ respective interview performance will result in an interview
score for each Offeror. An overall Proposal score inclusive of the interview score will result as further
described in Section 7.7 (Overall Proposal Score).
In each step, the Department may issue request for clarification to ensure Proposals are fully
evaluated, and Offerors are given the opportunity to afford the Department clarifying information to aid
in the evaluation, as more fully set forth in Section 7.8 (Requests for Proposal Clarifications/Revisions).
7.2 Responsiveness and Pass/Fail Evaluation

Upon receipt, the Proposals will be reviewed by a subcommittee of the Proposal Evaluation Team.
They will be reviewed (a) for the Proposal’s conformance to the RFP instructions regarding organization
and format and responsiveness to the requirements set forth in the RFP and (b) based on the pass/fail
criteria set forth below.
7.2.1 Administrative Proposals

Administrative Proposals will be evaluated based on the following pass/fail or responsiveness criteria:
A. The Administrative Proposal includes all forms described in Section 6.7 (Administrative
Proposal);
B. The Offeror has provided evidence of its legal organization, or if the Offeror is unincorporated,
the Offeror has provided evidence of the legal organization of the Principal Participants;
C. No Principal Participant or Major Participant, nor any owner, officer, partner, director, or
financial controller of such firms, nor any of their respective employees involved in the Project,
has, in the past three years prior to the Proposal Due Date:
1. Been convicted or included as the defendant in a criminal or civil judgment rendered against
the firm or relevant individual by a court of competent jurisdiction in any matter;

2. Been convicted or included as the defendant in a criminal or civil judgment involving fraud,
anti-trust violations, theft, official misconduct, or other offenses indicating a lack of business
integrity or business honesty;
3. Been indicted or otherwise criminally or civilly charged by a Governmental Authority with
fraud, anti-trust violations, theft, official misconduct, or other offenses indicating a lack of
business integrity or business honesty; or
4. Participated as a prime contractor or equity partner in (i) a contract that was terminated for
cause or default by the State of Ohio, State of Kentucky, or the federal government or (ii)
contracts that were terminated for cause or default by two or more other Governmental
Authorities.
D. All Major Participants responsible for design and construction services on the Project are
prequalified in accordance with Section 5.2 (ODOT and KYTC Prequalification) and Form K
(Prequalification) prior to the Anticipated Award Date.
7.2.2 Technical Proposals

Technical Proposals will be evaluated based on the following pass/fail or responsiveness criteria:
A. The Technical Proposal includes all information required pursuant to Section 6.8 (Technical
Proposal); and
B. The Major Participants included in the Proposal have not changed since the Offeror’s
registration with the Department, except with the Department’s prior written approval.
7.2.3 Financial Proposals

Financial Proposals will be evaluated on a pass/fail basis based on the Financial Proposal’s inclusion of
a Surety letter responsive to all of the criteria set forth in Section 6.9 (Financial Proposal).
7.2.4 Department Right to Exclude Proposals from Consideration or to Waive

Mistakes
Those Proposals that are not responsive to the RFP, or that do not pass the pass/fail criteria, may be
excluded from further consideration, and Offeror will be so advised. The Department may also exclude
from consideration any Offeror whose Proposal contains a material misrepresentation or omission. The
Department reserves the right to waive minor informalities, irregularities, and apparent clerical mistakes
which are unrelated to the substantive content of the Proposals.
7.3 Evaluation of Technical Proposals (80 points)

After completion of the pass/fail and responsiveness review, each Technical Proposal will be evaluated
to determine its ability to meet or exceed the Project Goals and will be scored in the following
categories, for a total maximum Technical Proposal score of 80 points:
A. DBT Organization and Key Personnel (30 points)
B. DBT Capabilities and Experience (25 points)
C. Project Understanding and Approach (25 points maximum)

The evaluation criteria for each category are described below. Each of the evaluation criteria will be
evaluated and scored as noted. The Department will add the points awarded for each evaluation factor
to determine the Technical Proposal score.
7.3.1 Evaluation DBT Organization and Key Personnel (30 points)

7.3.1.1 Organization
The Offeror team’s organization will be evaluated based on the extent to which such organization:
A. Demonstrates an effective organization to deliver a progressive design-build delivery;
B. Demonstrates an efficient structure that is capable of effective internal coordination and
collaboration with the Department, its consultants, and Stakeholders;
C. Identifies appropriate personnel to perform the Work; and
D. Is likely to facilitate successful delivery of the Project.
7.3.1.2 Key Personnel
The Offeror will be evaluated on the background, experience, and past performance of its required and
Offeror-identified Key Personnel on projects of similar size, scope, and complexity. Key Personnel will
be evaluated based on the extent to which:
A. The required Key Personnel meet or exceed minimum requirements for qualifications and
experience and provide experience that is likely to facilitate and improve successful delivery
of the Project; and
B. The Offeror-identified additional Key Personnel provide value and have experience that is
likely to facilitate and improve successful delivery of the Project.
The information provided in the Technical Proposal regarding the Offeror’s Key Personnel, including
resumes, will be used as deemed appropriate by the Department to assist in the evaluation of the Key
Personnel qualifications and experience. At its discretion, the Department may elect to use reference
information and disclosures, to make inquiries about or otherwise further examine the Offeror’s
technical qualifications and capability and may take into account such inquiries and examinations in
assessing the criteria above.
7.3.2 Evaluation DBT Capabilities and Experience (25 points)

The Offeror’s experience will be evaluated on the basis of the demonstrated competency, capability,
and capacity of the Offeror team to successfully deliver a project of similar size, scope, and complexity
using alternative project delivery methods, particularly progressive design-build delivery. Specifically,
the Department will evaluate the extent to which the Offeror’s experience:
A. Demonstrates experience designing and constructing projects of similar scope;
B. Demonstrates experience collaborating with owners to determine cost effective solutions and
resulting projects;
C. Demonstrates experience and capability with open book pricing processes used in
progressive design-build and CMGC delivery methods; and
D. Demonstrates relevant experience that will improve the likelihood of a successful project.

Experience on completed projects will be given more weight than projects in progress.
The information provided in the Technical Proposal regarding the Major Participants’ project experience
will be used as deemed appropriate by the Department for the evaluation of such firms’ technical
experience and capability. At its discretion, the Department may elect to use reference information and
disclosures, to make inquiries about or otherwise further examine the Offeror’s technical experience
and capability and may take into account such inquiries and examinations in assessing the criteria
above.
7.3.3 Evaluation of Project Understanding and Approach (25 points)

7.3.3.1 Categories
Project understanding and approach will be evaluated to determine the Offeror’s ability to meet or
exceed the Project Goals and requirements and will be scored in the following categories:
A. Project Approach – Overall Approach;
B. Project Approach – Preconstruction Phase – Sub-Phase 1A (Proof-of-Concept);
C. Project Approach – Preconstruction Phase – Sub-Phase 1B (Project Development); and
D. Project Approach – Construction Phase – Phase 2 (Final Engineering and Construction).
7.3.3.2 Overall Approach
Project Approach – Overall Approach will be evaluated based on the extent the Offeror demonstrates:
A. An understanding of the Project, project objectives, and Project Goals;
B. An effective approach to creating and implementing a project-specific Diversity, Inclusion, and
Outreach Plan (DIOP), as defined in the PDBC Exhibit E (Technical Requirements); and
C. An effective approach to developing reliable and consistent OPCs.
7.3.3.3 Proof-of-Concept, Project Development, and Final Engineering and Construction
The evaluation criteria for the Project Approach (Proof-of-Concept Phase, Project Development Phase,
and Final Engineering and Construction Phase) will be evaluated based on the extent the Offeror
demonstrates:
A. An alignment with Project Goals and the concepts of progressive design-build delivery;
B. An approach that effectively engages Key Personnel and other project personnel;
C. An efficient and effective approach for internal coordination and collaboration and external
coordination with, the Department, third parties, and stakeholders in connection with the
Project;
D. An understanding of the scope of work, schedule for the work, and effective processes to
advance and manage the Project in a manner that is cost-effective and ensures quality while
maintaining the schedule;
E. An effective approach to identify innovation; and
F. An approach to developing Work Packages, pricing, subcontracting, and risk pricing that
drives innovation and cost savings.

The Department will add the points awarded for each evaluation factor to determine the Project
Understanding and Approach score.
7.4 Interviews (10 points)

Following Proposal submission, Offerors will be required to attend an interview with the Department as
described in this Section 7.4. Interviews will be held on the dates set forth in Section 1.4 (Procurement
Schedule) at the following location:

District 8
505 S State Route 741
Lebanon, OH 45036
Each Offeror may bring to its interview any material that it believes may assist the Department in
evaluating the Proposal. Each team will be required to attend the interview with all Key Personnel in
attendance.
The Offeror may bring other individuals so long as the total number of attendees does not exceed
twelve.
The Offeror may submit an abstract for each innovative and feasible concept (up to five concepts)
intended to be presented two Working Days prior to the interview. Each abstract shall be one (1) 11-by-
17 inches. The Offeror shall submit to the Department using LiquidFiles. See Section 6.6.1 (Electronic
Submittal of Proposal).
The presentation and question and answer (Q&A) period will last approximately 120 minutes and will be
qualitatively evaluated and scored by the Department.
7.4.1 Interview Format

The format of the interview will be as follows:
A. Agency Introduction (10 minutes)
B. Offeror Introductions (65 minutes for items 2 through 5)
C. Capabilities and Experience
D. Project Approach
E. Innovative Concepts
F. Q&A (40 minutes)
G. Closing (5 minutes)
7.4.2 Interview Evaluation

Offerors will be evaluated on their interview performance and based on the extent the Offeror
demonstrates:
A. An experienced team and personnel that can successfully deliver the Project;

B. Project understanding and approach; an understanding of Progressive Design-Build delivery

method, including understanding of Contractor’s role at each Phase of the Project;
C. Recognition of key points and ideas, including the Progressive Contractor’s role in Project
advancement at each Project Phase, risks at each Project Phase, understanding of the GMP
process and pricing transparency, and ideas and ability necessary to effectively collaborate
with the Department and other stakeholders to achieve Project Goals; and
D. Innovative and feasible concepts which have the potential to drive costs savings and/or
improve the value-for-money and meet the Project Goals.
7.5 Technical Proposal and Interview Evaluation

Table 5 includes scoring information used for the evaluation of the Technical Proposal and Interview.
Table 5: Technical Proposal and Interview Evaluation
Adjectival Percent of
Description
Rating Possible Points
• Addresses ITO requirements in a significantly beneficial way
(providing advantages, benefits, or added value to the Project).
• Indicates significant strengths with few or no minor
Excellent
weaknesses. 80-100%
(E)
• Offers an approach with the high potential of exceeding Project
Goals.
• Addresses ITO requirements in a beneficial way (providing
advantages, benefits, or added value to the Project).
• Indicates few or minor weakness that are outweighed by
Very Good
strengths. 60-79%
(VG)
• Offers an approach which will likely meet or potentially exceed
Project Goals.
• Sufficiently addresses ITO requirements
• Indicates weaknesses that are generally balanced with the
strengths.
• Offers an approach which likely meet the Project Goals
Good (G) 40-59%
Approach with no identified strength and no identified weaknesses
will be within this range.
• Marginally addresses the ITO requirements.
• Indicates weaknesses that are not offset by strengths or
weaknesses that could adversely affect successful project
Fair (F) performance. 20-39%
• Offers an approach which will require improvement to meet the
Project Goals.
• Does not demonstrate the potential to meet the ITO
requirements.
• Lacks essential information or information provided is conflicting
Poor (P) or unproductive. 0-19%
• Indicates significant weaknesses or deficiencies
• Offers an undesired approach to the Project Goals.

The following definitions will be used by the Proposal Advisory Group when evaluating Technical
Proposals and Interviews:
Strengths — represents a benefit to the Project and is expected to increase the Offeror’s ability to
advance the Project Goals and exceed requirements.
• Significant Strength has a considerable positive influence on the Offeror’s ability to advance the
Project Goals or exceed requirements.
• Strength has a slight positive influence on the Offeror’s ability to advance the Project Goals and
exceed requirements.
Weaknesses — represents a negative influence on the Offeror’s ability to advance the Project Goals
and values, meet requirements or provide efficient or effective performance.
• Weakness has a considerable negative influence on the Offeror’s ability to advance the Project Goals,
meet requirements or provide efficient or effective performance.
• Minor weakness has a slight negative influence on the Offeror’s ability to advance the Project Goals,
meet requirements or provide efficient or effective performance.
Within each scoring range, points will be based on a balance of the relative significance of the
strengths, weaknesses, and clarity in demonstrating the Offeror’s ability in advancing the Project Goals.
7.6 Evaluation of Financial Proposal (10 points)

7.6.1 Competitive Bidding Element (Project Markup)
The Offeror who submits the lowest Project Markup will receive 10 points. The formula for determining
number of points for the competitive bidding element is as follows:
Lowest Offeror Project Markup

10 points x
Offeror’s Project Markup
7.7 Overall Proposal Score (100 points)

The Department intends to identify the Offeror with the highest overall score as the “Apparent Best
Value Offeror”. The Offeror's Overall Proposal Score is the sum of the component scores determined
under Section 7.3 (Evaluation of Technical Proposals), Section 7.4 (Interviews), and Section 7.6
(Evaluation of Financial Proposal).
7.8 Request for Proposal Clarifications/Revisions

The Department reserves the right, at its sole discretion, to ask written questions of the Offerors and to
request clarification of any submittal. The Offerors agree to respond to the Department's requests with
the appropriate personnel, and to answer questions necessary to provide clarification of any areas
where the intent or meaning of the submittal is in doubt within five Working Days. Such requests will be
for purposes of clarification only.

The Department may, at any time after receipt of Proposals and prior to execution of the Contract,
determine that it is appropriate to request changes to the Proposals (“Proposal Revisions”). Before
requesting any such Proposal Revisions, the Department will engage in separate discussions (either in
writing or in person through Pre-Proposal One-on-One Meetings) with each Offeror and in accordance
with the procedures for proposal revisions described in 23 CFR Part 636.501 et seq. The request for
Proposal Revisions will identify any revisions to the RFP and will specify terms and conditions
applicable to the Proposal Revisions, including identifying a time and date for delivery. Any such
Proposal Revisions will be required to be delivered to the Department by email to the Department’s
Authorized Representative unless otherwise directed by the Department.
Upon receipt of Proposal Revisions, the Department will re-evaluate the Proposals as revised, and will
revise ratings as appropriate following the process described above.
7.9 Recommendation to Executive Management Team

The Proposal Evaluation Team will make a recommendation to Executive Management Team
regarding the rankings of the Proposals and identification of the best value Offeror. The Executive
Management Team will evaluate the recommendations and will determine whether to proceed with
award of a PDBC to the best value Offeror or to take any other action. The Executive Management
Team’s decision regarding award will be presented to the Director for final approval.
8. POST-EVALUATION PROCESS AND EXECUTION

8.1 Incorporation of Proposal and Finalization of the Contract
If authorized by the Executive Management Team, the Department will proceed with the best value
Offeror, based on the selection criteria outlined in Section 7 (Evaluation Process), to finalize the Sub-
Phase 1A Scope and execute the PDBC. By submitting its Proposal, each Offeror commits to enter into
the form of PDBC included in the RFP.
If a PDBC satisfactory to the Department cannot be negotiated with the best value Offeror, the
Department will, formally and in writing, end negotiations with that Offeror and take alternative action.
Such action may, at the Department’s discretion, include:
A. Requiring the next best value Offeror to enter into the PDBC in the form included in the RFP,
without variation and include information that the form of the PDBC indicates is required from
the Proposal, and subject to negotiation of any exceptions that the next best value Offeror
expressly identified in its Administrative Proposal;
B. Rejection of all Proposals;
C. Issuance of a request for Proposal Revisions to Offerors; or
D. Proceeding to the next best value Offeror to attempt to negotiate a PDBC with that Offeror in
accordance with this Section 8.1.
If option 8.1 D is selected, the Offeror that submitted the next best value Proposal will be considered
the best value Offeror for purposes of this Section 8.1.

In the event the Department elects to commence negotiations with an Offeror, such Offeror will be
deemed to have failed to engage in good faith negotiations with the Department; if Offeror (x) fails to
attend and actively participate in reasonably scheduled negotiation meetings with the Department or (y)
insists upon terms or conditions for any documents to be negotiated or provided by the Offeror
hereunder that are inconsistent with form of PDBC.
8.2 Post-Selection Deliverables

As a condition precedent to execution of the Contract, the successful Offeror shall deliver the following
to the Department within five Business Days after notification of award:
A. Evidence of authority to transact business in the State of Ohio, and if applicable the
Commonwealth of Kentucky, for all members of Offeror’s team that will transact business in
either State, dated no earlier than 30 days prior to the Proposal Due Date;
B. If not previously submitted, a copy of the final organizational documents for the Contractor
and, if the Contractor is a limited liability company, partnership, or joint venture, for each
member or partner of the Contractor. The final form of the organizational documents may not
differ materially from the draft organizational documents included with the Proposal. If the
Contractor is a joint venture, attach a letter from each joint venturer stating that the joint
venturer agrees to be held jointly and severally liable for any and all of the duties and
obligations of the Contractor under the Proposal and under any contract arising therefrom;
and
C. Certificates of insurance accompanied by one or more committed letters from insurance
brokers confirming that coverage will be placed in accordance with the project documents.
As a condition to execution of the Contract, the Offeror shall deliver drafts of the deliverables identified
in Section 8.3 (Execution and Delivery of Contract) for pre-approval by the Department.
8.3 Execution and Delivery of Contract

8.3.1 Conditions Precedent to Contract Execution
The following are conditions precedent to execution of the PDBC:
A. Successful completion of negotiations (if any);
B. Receipt by the Department of all of the documents required to be provided prior to execution
of the PDBC under this Section 8.3;
C. Execution of the PDBC by the Department; and
D. Any other conditions required by the Department.
8.3.2 Required Documents

Offeror shall deliver the documents listed below to the Department concurrently with the executed
PDBC as a condition to execution of the PDBC by the Department. On or before the date that the
Department delivers the execution sets of the PDBC to Offeror, the Department will notify Offeror
regarding the number of originals and copies required to be delivered.
A. For entities formed after submission of the Proposal, a copy of the entity’s final organizational
documents. The final form of the organizational documents may not differ materially from the

draft organizational documents included with the Proposal.

B. Evidence of approval of the final form, and of due authorization, execution, delivery, and
performance, of the PDBC by Contractor and, if Contractor is a joint venture, by its joint
venture members. Such evidence shall be in a form and substance satisfactory to the
Department.
C. Evidence that Contractor and its Major Participants hold all licenses required for performance
of the work under the Contract.
D. A letter from a licensed Surety, rated in the top two categories by two nationally recognized
rating agencies or at least A minus (A-) or better and Class VIII or better by A.M. Best and
Company, signed by an authorized representative as evidenced by a current certified power
of attorney, committing to provide a Performance Bond and Payment Bond, each in the
amount of $3.1 billion and in the forms attached to the Contract, and a Retainage Bond in the
form attached to the Contract. The commitment letter may include no conditions,
qualifications, or reservations for underwriting or otherwise, other than a statement that the
commitment is subject to award and execution of the PDBC and issuance of the Construction
Phase Amendment/NTP; provided, however, that the Surety may reserve in its letter the right
to reasonably approve any material adverse changes made to the PDBC or form thereof set
forth in the RFP, but excluding any changes or information reflected in the Proposal.
8.4 Debriefings
All Offerors submitting Proposals will be notified in writing of the results of the evaluation process.
Offerors not selected for award may request a debriefing. Debriefings will be provided at the
Department’s earliest convenience after execution of the Contract. The debriefing will be conducted by
a procurement official familiar with the rationale for the selection decision and PDBC award as
determined by the Department. Consistent with ORC 9.28(B), no evaluation information will be shared
until after PDBC Execution.
Debriefings shall:
A. Be limited to discussion of the unsuccessful Offeror’s Proposal and may not include specific
discussion of a competing Proposal;
B. Be factual and consistent with the evaluation of the unsuccessful Offeror’s Proposal;
C. Provide information on areas in which the unsuccessful Offeror’s Proposal had weaknesses
or deficiencies; and
D. May not include discussion or dissemination of the thoughts, notes, or rankings of individual
members of any evaluation committee, but may include a summary of the rationale for the
selection decision and PDBC award.

9. PROTESTS
This Section 9 sets forth the exclusive protest remedies available with respect to the RFP (a “Protest”).
By the submission of a Proposal, the Offeror expressly recognizes the limitation on its rights to file a
Protest to only those rights and provisions contained herein. The Offeror expressly waives all other
rights, remedies, and agrees that this Section 9 sets forth all rights and remedies of the Offeror
regarding Protests. This provision included in the RFP are provided in consideration of such waiver and
agreement by the Offeror. If an Offeror disputes or does not follow the exclusive protest remedies set
forth in the RFP, the Offeror must indemnify, defend, and hold harmless the Department, its directors,
officers, officials, employees, agents, representatives, and consultants from and against all liabilities,
expenses, costs (including attorneys’ fees and costs), fees, and damages incurred or suffered as a
result of such Offeror action. The submission of a Proposal by an Offeror is deemed to include the
Offeror’s irrevocable and unconditional agreement with respect to such indemnification obligation.
9.1 Written Protests Only

A Protest from an Offeror must be submitted to the Department in writing and contain all information
described below in Section 9.2 (Protest Contents). The written Protest must be mailed to the following
person (the “Protest Official”) at the following address:

1980 W. Broad Street, Mail Stop 1500
Columbus, OH 43223
Attn: Paul Russell, Deputy Director/Chief Legal Counsel
Any Protest not received in writing by the Protest Official within seven days of Offeror's knowledge, or
when the Offeror should have gained the knowledge of the action on which the protest is based will be
considered null and void and will not be considered for investigation or resolution. In addition, any
Protest may be filed only after the respective Offeror has first discussed the nature and basis of the
Protest with the Department’s Authorized Representative in an effort to resolve the matter through
discussion.
The Protest Official may, in his discretion, discuss the written Protest with the respective Offeror prior to
issuance of the Protest Official’s written decision. The Offeror shall possess, and maintain throughout
the Protest process, the burden of proof regarding the Protest by clear and convincing evidence. No
hearing will be assembled on the Protest and the Protest Official will resolve the Protest in a written
decision issued to the protesting Offeror. The Offeror may appeal the decision of the Protest Official by
filing a written appeal as described in Section 9.4 (Rights of Appeal).
It is the Offeror’s sole responsibility to deliver the Protest to the Protest Official at the location noted and
for obtaining a written receipt appropriate to the means of delivery at the time of delivery. The
Department bears no liability, and accepts no responsibility, for an Offeror not meeting the appropriate
deadline(s) for any such Protest or appeal.

9.2 Protest Contents

A Protest must include the following:
A. The name and address of the Offeror;
B. The Project name and number;
C. A detailed statement of the nature of the Protest; and
D. All factual and legal documentation in sufficient detail to establish the merits of the Protest.
The Offeror must demonstrate or establish a clear violation of a specific law or regulation, or
impropriety within the Procurement Process.
Any Protest information and documentation provided under oath could result in a penalty of perjury,
should the information be proven to be inaccurate.
9.3 Protest Process

Upon receipt, the Protest Official will promptly make a determination, in writing conveyed electronically,
regarding the validity of the Protest and whether or not the Procurement Process should be delayed or
the Department should reconsider the selection of the preferred Offeror. If the Department determines
that a delay in the Procurement Process is appropriate, all Offerors will be notified of the delay.
The Offeror agrees that if an appeal of the Protest Official’s decision is not submitted within seven days
of the Protest Official’s written decision, the decision of the Protest Official will be deemed to be final
action and non-appealable. Any appeal within seven days will be handled as described in Section 9.4
(Rights of Appeal).
The Protest Official will not be obligated to postpone the public announcement of award or execution of
the PDBC in order to allow the respective Offeror an opportunity to file or correct a Protest or appeal,
unless otherwise required by law.
9.4 Rights of Appeal

If the Offeror disagrees with the written decision of the Protest Official, the Offeror may appeal the
decision by submitting a written appeal to the Department Chief Engineer within seven calendar days
after receipt of the decision of the Protest Official. The written Appeal must be mailed to the following
address:

1980 W. Broad Street
Columbus, OH 43223
Attn: Dave Slatzer, Chief Engineer
The Chief Engineer will provide a final decision on the Protest, either concurring with the decision of the
Protest Official or amending the decision and will notify the respective Offeror in writing in a prompt
manner of its decision.

The Department’s decision after review of the appeal by the Chief Engineer will constitute final action
by the Department. If the Offeror appeals the final action by the Department, to a court of competent
jurisdiction, the Department may, in its sole discretion, proceed with the Procurement Process, unless
otherwise directed or ordered by a judicial authority.
10. DEPARTMENT RIGHTS AND DISCLAIMERS

In addition to the reserved rights articulated throughout the RFP, the Department reserves the right, in
its sole and absolute discretion, to do any of the following:
A. Reject any or all Proposals;
B. Issue a new RFP;
C. Cancel, modify, or withdraw the RFP;
D. Appoint an evaluation team to review Proposals and seek the assistance of outside technical
experts in the Proposal evaluation;
E. Revise and modify, at any time before the Proposal Due Date, the RFP;
F. Extend the Proposal Due Date;
G. Seek or obtain data from any source that has the potential to improve the understanding and
evaluation of the Proposal on one or all the Offerors;
H. Refuse to receive or open a Proposal, once submitted, or reject a Proposal if such refusal or
rejection is based on, but not limited to, any of the following:
1. A violation of the terms of the RFP on the part of a Major Participant;
2. An issuance of a notice of debarment or suspension to a Major Participant;
3. A submittal by the Offeror of more than one Proposal under the Offeror’s own name or
under a different name;
4. The existence of a conflict of interest or evidence of collusion in the preparation of a
Proposal, Proposal, or bid for any design or construction project by a Major Participant; or
5. A submittal by an Offeror that is contingent on conditions and exceptions not acceptable to
the Department.
I. Revise the evaluation process in the event that only one Proposal is received.
The issuance of the RFP is not a commitment by the Department to enter into the Contract, nor does it
obligate the Department to pay for any costs incurred in preparation and submission of the Proposal or
in anticipation of the Contract. By submitting a Proposal, an Offeror disclaims any right to seek
compensation for such costs from the Department. By submission of a Proposal in response to the
RFP, the Offeror thereby specifically acknowledges acceptance of the above rights and disclaimers.

EXHIBIT A: FORMS
BRENT SPENCE BRIDGE CORRIDOR Exhibit A: Forms

FORM A: Proposal Letter

OFFEROR:
Proposal Date: , 2023

Columbus, Ohio 43223
Attn: Eric Kahlig, Alternative Project Delivery Administrator
The undersigned (“Offeror”) submits this proposal (this “Proposal”) in response to that certain
Request for Proposals (RFP) issued by the Ohio Department of Transportation (the Department),
dated February 17, 2023, as amended, to develop, design, and potentially construct the Brent
Spence Bridge Corridor Project (the Project), as more specifically described in the RFP Documents.
Initially capitalized terms not otherwise defined herein shall have the meanings set forth in the RFP
and the RFP Documents.
In consideration for the Department supplying us, at our request, with the RFP Documents and
agreeing to examine and consider this Proposal, the undersigned undertakes [jointly and severally] [if
Offeror is a joint venture or association other than a corporation, limited liability company or a
partnership, leave in words “jointly and severally” and delete the brackets; otherwise delete the entire
phrase]:
(1) To keep this Proposal open for acceptance initially for 120 days after the Proposal
Due Date, and if the undersigned is notified within such 120-day period that it is the next best value
Offeror, for an additional 60 days, without unilaterally varying or amending its terms and without any
member or partner withdrawing or any other change being made in the composition of the
partnership/joint venture/limited liability company/consortium on whose behalf this Proposal is
submitted, without first obtaining the prior written consent of the Department, in the Department’s
sole discretion; and
(2) If this Proposal is accepted, to provide security (including bonds and insurance) for the
due performance of the Contract, as stipulated in the RFP.
If selected by the Department as the best value Offeror, Offeror agrees to do the following or, if not the
Contractor, to cause the Contractor to do the following: (a) if requested by the Department in its sole
discretion, enter into good faith negotiations with the Department regarding the terms of the PDBC, in
accordance with the requirements of the RFP; (b) enter into the PDBC without varying or amending its
terms; (c) satisfy all other conditions to award of the PDBC; and (d) perform its obligations as set forth
in the Instructions to Offerors (ITO), as amended, and the form of PDBC, including compliance with all
commitments contained in this Proposal.
The following individual is designated as the Offeror Point of Contact in accordance with Section 4.2
(Authorized Representatives and Offeror Registration):
BRENT SPENCE BRIDGE CORRIDOR Exhibit A: Form A

Enclosed, and by this reference incorporated herein and made a part of this Proposal, are the following:
• Administrative Proposal;
• Technical Proposal; and
• Financial Proposal.
Offeror acknowledges receipt of the following Addenda and sets of questions and responses:
[List all Addenda by number and date issued.
Responses issued [list dates on which the Department responded to Offerors’ questions regarding
the RFP Documents or this procurement.]
Offeror certifies that its Proposal is submitted without reservation, qualification, assumptions, or
conditions. Offeror certifies that it has carefully examined and is fully familiar with all of the provisions of
all of the RFP Documents, the Addenda (if any), and Department responses to questions (as and when
posed), and is satisfied that the RFP Documents provide sufficient detail regarding the obligations to be
performed by the Contractor and do not contain internal inconsistencies; that it has carefully checked all
the words, figures and statements in this Proposal; that it has conducted such other field investigations
and additional design development which are prudent and reasonable in preparing this Proposal; and
that it has notified the Department of any deficiencies in or omissions from any RFP Documents or
other documents provided by the Department and of any unusual site conditions observed prior to the
date hereof.
Offeror acknowledges the requirements of Section 7.3 C (Administrative Proposals) and hereby
certifies that all Principal and Major Participants and their respective employees meet such
requirements as of the date of this Proposal.
Offeror acknowledges the requirements of Section 3.4 (OJT Requirements) and hereby certifies that it
will meet such requirements.
Offeror represents that all statements made in the Proposal are true, correct, and accurate as of the
date hereof, except as otherwise specified in the enclosed Proposal and Proposal forms.
Offeror understands that the Department is not bound to accept any Proposal that the Department may
receive.
Offeror further understands that all costs and expenses incurred by it in preparing this Proposal and
participating in the RFP process will be borne solely by the Offeror.
Offeror consents to the Department’s disclosure of its Proposal pursuant the applicable provisions of
law to any Persons in the Department’s sole discretion after award of the PDBC by the Department.
Offeror acknowledges and agrees to the disclosure terms described in ITO Section 4.6 (Improper
Conduct and Non-Collusion). Offeror expressly waives any right to contest such disclosures as may
exist under applicable law.
Offeror agrees that the Department will not be responsible for any errors, omissions, inaccuracies, or
incomplete statements in this Proposal.

This Proposal shall be governed by and construed in all respects according to the laws of the State of
Ohio.
Offeror’s business address:
(No.) (Street) (Floor or Suite)
(City) (State or Province) (ZIP or Postal Code) (Country)
State or Country of Incorporation/Formation/Organization:

[Insert appropriate signature block from following pages; note: signatures should be in blue ink.]
1. Sample signature block for corporation or limited liability company:
[Insert the Offeror’s name]
By:
Print Name:
Title:
2. Sample signature block for partnership or joint venture:
By: [Insert general partner’s or member’s name]
By:
Print Name:
Title:
[Add signatures of additional general partners or members as appropriate]
3. Sample signature block for attorney in fact:
By:
Print Name:
Attorney in Fact

ADDITIONAL INFORMATION TO BE PROVIDED WITH PROPOSAL LETTER:

A. Describe in detail the legal structure of the Offeror and Principal Participants.
1. If the Offeror/Principal Participant is a corporation or includes a corporation as a joint
venture member, partner, or member, provide articles of incorporation and bylaws for
Offeror/Principal Participant and each corporation, in each case certified by an appropriate
individual within each such entity. If any entity is not yet formed, so state and indicate that
these documents will be provided prior to award.
2. If the Offeror/Principal Participant is a partnership or includes a partnership as a joint
venture member, partner or member, attach full names and addresses of all partners and
the equity ownership interest of each entity, provide the incorporation/formation and
organizational documentation for the Offeror/Design- Builder/Principal Participant
(partnership agreement and certificate of partnership for a partnership, articles of
incorporation and bylaws for a corporation, operating agreement for a limited liability
company and joint venture agreement for a joint venture), in each case certified by an
appropriate individual within each such entity. If any entity is not yet formed, so state and
indicate that these documents will be provided prior to award.
3. If the Offeror/Principal Participant is a joint venture or includes a joint venture as a joint
venture member, partner or member, attach full names and addresses of all joint venture
members and the equity ownership interest of each entity, provide the
incorporation/formation and organizational documentation for the Offeror/Design-
Builder/Principal Participant (partnership agreement and certificate of partnership for a
partnership, articles of incorporation and bylaws for a corporation, operating agreement for
a limited liability company and joint venture agreement for a joint venture), in each case
certified by an appropriate individual with each such entity. If any entity is not yet formed, so
state and indicate that these documents will be provided prior to award.
4. If the Offeror/Principal Participant is a limited liability company or includes a limited liability
company as a joint venture member, partner or member, attach full names and addresses
of all members and the equity ownership interest of each entity, provide the
incorporation/formation and organizational documentation for the Offeror/Principal
Participant (partnership agreement and certificate of partnership for a partnership, articles of
incorporation and bylaws for a corporation, operating agreement for a limited liability
company and joint venture), in each case certified by an appropriate individual within each
such entity. If any entity is not yet formed, so state and indicate that this information will be
provided prior to award.
Attach evidence to the Proposal and to each letter that the person signing has authority to do
so.
B. With respect to authorization of execution and delivery of the Proposal and validity thereof, if the
Offeror is a corporation, it shall provide evidence in the form of a resolution of its governing body
certified by an appropriate and authorized officer of the corporation. If the Offeror is a partnership,
such evidence shall be in the form of a partnership resolution and a general partner resolution (as
to each general partner) providing such authorization, in each case, certified by an appropriate and
authorized officer of each general partner. If the Offeror is a limited liability company, such evidence
shall be in the form of a limited liability company resolution and, if required by its operating
agreement, a manager/managing member(s) resolution providing such authorization, certified by an
appropriate and authorized officer of the managing member(s). If there is no managing member,
each member shall provide the foregoing information. If the Offeror is a joint venture, such evidence
shall be in the form of a resolution of each joint venture member, certified by an appropriate and

authorized officer of such joint venture member. If the Offeror is a joint venture or a partnership, the
Proposal must be executed by all joint venture members or all general partners, as applicable.
C. The Contractor partnership agreement, limited liability company operating agreement, and joint
venture agreement, as applicable, must include an express provision satisfactory to the
Department, in its sole discretion, stating that, in the event of a dispute between or among joint
venture members, partners or members, as applicable, no joint venture member, partner or
member, as applicable, shall be entitled to stop, hinder, or delay work on the Project. Offerors
should submit the applicable agreement to the Department and identify on a cover page where in
the agreement the provision can be found. If the Contractor is not yet formed, provide draft
organizational documents and indicate where the provision is found.

FORM B- 1: IDENTIFICATION OF OFFEROR AND PRINCIPAL PARTICIPANTS
Name of Entity and Contact Information Ohio and Kentucky Contractor License Description of Work/Services To Be
Role in Organization
(address, representative, phone, e-mail) and License Limit (if applicable) Performed By Entity (if applicable)
The above information is true, correct, and accurate.
[Insert Offeror’s name]
By:
Name:
Title:
BRENT SPENCE BRIDGE CORRIDOR Exhibit A: Form B-1

FORM B- 2: INFORMATION ABOUT OFFEROR ORGANIZATION
1.0 Name of Offeror:
2.0 Type of entity:
3.0 Offeror’s address:
Telephone Email
4.0 How many years has the Offeror and each Principal Participant been in its current line
of business, and how many years has each entity been in business under its present name?
No. of years in No. of years under

Name
business present name
5.0 Under what other or former names have the Offeror and Principal Participants operated?
Offeror:

6.0 List all Ohio and Kentucky professional licenses held by the Offeror and any Principal
Participants. Attach copies of all Ohio and Kentucky licenses. Attach a separate sheet if
necessary.
Firm Name Professional License (OH/KY)
The Proposal shall include the following information regarding the Surety(ies)
committing to provide the bonds in accordance with the Design-Build Agreement:
(a) Name(s), address(es) and phone numbers of the Surety(ies) that will provide the
above- referenced bonds (must be rated in the top two categories by two nationally
recognized rating agencies or at least A minus (A-) or better and Class VIII or better
by A.M. Best Company, Inc.), and the name(s), address(es) and phone number(s)
of the designated agent(s).
(b) Whether or not each listed Surety has defaulted on any obligation within the
past 10 years, and, if so, a description of the circumstances and the outcome of
such default.

STATE OF
COUNTY OF
Each of the undersigned, being first duly sworn, deposes and says that
is the of
and is the
of , which entity(ies) is/are the
of , the entity making the foregoing Proposal, and that the
answers to the foregoing questions and all other statement therein are true and correct.
(Signature) (Signature)
(Name Printed) (Name Printed)
(Title) (Title)
Subscribed and sworn to before me this day of , 202 .
Notary Public in and for said Country and State
[Seal]
My commission expires:

FORM B- 3: INFORMATION ABOUT MAJOR PARTICIPANTS
[This form will be used to provide information about any Major Participants]
Offeror Name
Entity Name / Contact Address of Head Office Telephone Specialty / Assignment
Add additional sheet(s) as necessary.
The undersigned Offeror hereby certifies that it has not entered into any substantive negotiations with
Major Participants resulting in an agreement to enter into any Subcontracts with respect to the Project,
except for those listed above. The Offeror agrees that it will follow applicable Progressive Design-Build
requirements with respect to Subcontractors. Offeror further declares that it has carefully examined the
RFP Documents, including the DBE requirements for the Project, acknowledges the requirements
thereof, and agrees that Offeror’s efforts to obtain participation by Subcontractors can reasonably be
expected to accomplish DBE participation goals for the Project once identified in accordance with the
PDBC.
I declare under penalty of perjury under the laws of the State of Ohio that the foregoing declaration is
true and correct.
Executed: , 202__.
(Signature)
(Name printed)
(Title)

(Offeror)
STATE OF
COUNTY OF
Each of the undersigned, being first duly sworn, deposes and says that
is the of
and is the
of , which entity(ies) is/are the
of , the entity making the foregoing questionnaire, and that the
answers to the foregoing questions and all other statement therein are true and correct.
(Name Printed) (Name Printed)
(Title) (Title)
Subscribed and sworn to before me this day of , 202 .
Notary Public in and for said Country and State
[Seal]

FORM C: RESPONSIBLE OFFEROR QUESTIONNAIRE
OFFEROR NAME:
NAME OF ENTITY ON WHOSE BEHALF FORM IS PROVIDED:

1. Questions
The Offeror/Major Participant shall respond either “yes” or “no” to each of the following
questions. If the response is “yes” to any question(s), a detailed explanation of the
circumstances shall be provided in the space following the questions. The Offeror/Major
Participant/team member shall attach additional documentation as necessary to fully
explain said circumstances. Failure to either respond to the questions or provide adequate
explanations may preclude consideration of the proposal and require its rejection. For the
Offeror, the term “affiliate” shall mean Contractor, any Principal Participant, or any entity
which owns a substantial interest in or is owned in common ownership with the Offeror,
Contractor, or any Principal Participant, or any such entity in which the Offeror, Contractor
or any Principal Participant owns a substantial interest. For all other entities providing this
form, the term “affiliate” shall mean the entity signing the form, any entity which owns a
substantial interest in or is owned in common with the entity signing the form, or any entity
in which the entity signing the form owns a substantial interest.
Within the past 10 years, has the identified entity, any affiliate, or any officer, director,
responsible managing officer or responsible managing employee of such entity or affiliate
who has a proprietary interest in such entity:
a) Been disqualified, debarred, removed, or otherwise prevented from bidding or
proposing on or completing a federal, state, or local contract anywhere in the United
States or any other country because of a violation of law or safety regulation?
If yes, please explain the circumstances. If no, so state.
Yes No
b) Been convicted by a court of competent jurisdiction of any criminal charge of fraud,

bribery, collusion, conspiracy or any act in violation of state, federal or foreign
antitrust law in connection with the bidding or proposing upon, award of or
performance of any public works contract with any public entity?
Yes No
c) Had filed against it, him or her, any criminal complaint, indictment, or information
alleging fraud, bribery, collusion, conspiracy, or any action in violation of state or
federal antitrust law in connection with the bidding or proposing upon, award of or
performance of any public works contract with any public entity?
BRENT SPENCE BRIDGE CORRIDOR Exhibit A: Form C

Yes No
d) Had filed against it, him or her, any civil complaint (including but not limited to a
cross- complaint) or other claim arising out of a public works contract, alleging fraud,
bribery, collusion, conspiracy, or any act in violation of state or federal antitrust law
in connection with the bidding or proposing upon, award of or performance of any
public works contract with any public entity?
Yes No
e) Been found, adjudicated or determined by any federal or state court or agency

(including, but not limited to, the Equal Employment Opportunity Commission, the
Office of Federal Contract Compliance Programs and any applicable Ohio
governmental agency) to have violated any laws or Executive Orders relating to
employment discrimination or affirmative action, including but not limited to Title VII
of the Civil Rights Act of 1964, as amended (42 U.S.C. Sections 2000e et seq.); the
Equal Pay Act (29 U.S.C. Section 206(d)); and any applicable or similar Ohio law.
Yes No
f) Been found, adjudicated, or determined by any state court, state administrative

agency, federal court or federal agency, to have violated or failed to comply with any
law or regulation of the United States or any state governing prevailing wages
(including but not limited to payment for health and welfare, pension, vacation, travel
time, subsistence, apprenticeship or other training, or other fringe benefits) or
overtime compensation?
Yes No
g) Been convicted of violating a state or federal law respecting the employment

of undocumented aliens?
Yes No
h) Been assessed liquidated or other damages for failure to complete any contract on
time? If yes, please explain the circumstances. If no, so state.
Yes No

Explain the circumstances underlying any “yes” answers for the aforementioned questions
on separate sheets attached hereto.
2. Verification / Declaration
I declare under penalty of perjury under the laws of the State of Ohio that the foregoing
declaration is true, correct and accurate to the best of my knowledge following due inquiry.
Executed , 2023.
(Signature)
(Name printed)
(Title)
(Name of Organization)
[Evidence of signature authorization for such individual attached]

FORM D: NON-COLLUSION AFFIDAVIT
STATE OF
COUNTY OF
Each of the undersigned, being first duly sworn, deposes and says that:
A. is the of and
is the of , which entity(ies) are the
of , the entity making the foregoing Proposal.
B. The Proposal is not made in the interest of, or on behalf of, any undisclosed person,
partnership, company, association, organization, joint venture, limited liability company or
corporation; the Proposal is genuine and not collusive or a sham; the Offeror has not
directly or indirectly induced or solicited any other Offeror to put in a false or sham
Proposal, and has not directly or indirectly colluded, conspired, connived or agreed with any
Offeror or anyone else to put in a sham Proposal or that anyone shall refrain from
proposing; the Offeror has not in any manner, directly or indirectly, sought by agreement,
communication or conference with anyone to fix the prices of the Offeror or any other
Offeror, or to fix any overhead, profit or cost element included in the Proposal, or of that of
any other Offeror, or to secure any advantage against the Department or anyone interested
in the proposed agreement; all statements contained in the Proposal are true; and further
the Offeror has not, directly or indirectly, submitted its prices or any breakdown thereof, or
the contents thereof, or divulged information or data relative thereto, or paid, and will not
pay, any fee to any corporation, partnership, company, association, joint venture, limited
liability company, organization, Proposal depository or any member, partner, joint venture
member or agent thereof to effectuate a collusive or sham Proposal.
C. The Offeror will not, directly or indirectly, divulge information or data regarding the price or
other terms of its Proposal to any other Offeror, or seek to obtain information or data
regarding the price or other terms of any other Proposal, until after award of the PDBC or
rejection of all Proposals and cancellation of the RFP.
(Name (Name
Printed) Printed)
(Title) (Title)
BRENT SPENCE BRIDGE CORRIDOR Exhibit A: Form D

Subscribed and sworn to before me this day of , 2023.
Notary Public in and for

said County and State
[Seal]
[Duplicate or modify this form as necessary so that it accurately describes the entity making the
Proposal and so that it is signed on behalf of the entity(ies) making the Proposal.]
BRENT SPENCE BRIDGE CORRIDOR Exhibit A: Form D

FORM E: CONFLICT OF INTEREST DISCLOSURE STATEMENT

Offeror’s attention is directed to 23 CFR Part 636 Subpart A and in particular to Subsection 636.116
regarding organizational conflicts of interest. Section 636.103 defines “organizational conflict of interest”
as follows:
• Organizational conflict of interest means that because of other activities or relationships with
other persons, a person is unable or potentially unable to render impartial assistance or advice
to the owner, or the person’s objectivity in performing the contract work is or might be otherwise
impaired, or a person has an unfair competitive advantage.
Offerors are advised that certain firms will not be allowed to participate on any Offeror’s team for the
Project because of their work with the Department in connection with the Project procurement and
document preparation and the Design-Build Agreement.
1. Disclosure Pursuant to Section 636.116(2)(v)

In the space provided below, and on supplemental sheets as necessary, identify all relevant
facts relating to past, present, or planned interest(s) of the Offeror’s team (including the
Offeror, Principal Participants, the Major Participants, proposed consultants and proposed
subcontractors, and their respective chief executives, directors, and key project personnel)
which may result, or could be viewed as, an organizational conflict of interest in connection
with this RFP.
Offeror should disclose (a) any current contractual relationships with the Department, (b) any
past, present, or planned contractual or employment relationships with any Department officer
or employee; and (c) any other circumstances that might be considered to create a financial
interest in the contract by any Department officer or employee if Offeror is awarded the
contract. Offeror should also disclose matters such as ownership of 10% or more of the stock
of, or having directors in common with, any of the RFP preparers. Offeror should also
disclose contractual relationships with an RFP preparer in the nature of a joint venture, as
well as relationships wherein the RFP preparer is a contractor or consultant (or subcontractor
or subconsultant) to Offeror or a member of Offeror’s team. The foregoing is provided by way
of example and shall not constitute a limitation on the disclosure obligations.
BRENT SPENCE BRIDGE CORRIDOR Exhibit A: Form E

2. Explanation
In the space provided below, and on supplemental sheets as necessary, identify steps that
have been or will be taken to avoid, neutralize, or mitigate any organizational conflicts of
interest described herein.
3. Certification
The undersigned hereby certifies that, to the best of his or her knowledge and belief, no
interest exists that is required to be disclosed in this Conflict of Interest Disclosure Statement,
other than as disclosed above.
Signature
Name
Title
Company Name
, 2023
Date
BRENT SPENCE BRIDGE CORRIDOR Exhibit A: Form E

FORM F: DEBARMENT AND SUSPENSION CERTIFICATION
Name of Offeror:
Name of Firm:
Complete one copy of form to cover all Major Participants as identified on Form B-3
(Information About Major Participants).1
1. None of the Offeror and the Major Participants1 are currently debarred, suspended,
disqualified, or is currently removed from bidding or performing work, voluntarily or
involuntarily, for the State of Ohio or the State of Kentucky, the federal government or
more than three state governments.
2. None of the Offeror and the Major Participants 1 have been debarred suspended,
disqualified, or removed from bidding or performing work, voluntarily or involuntarily, the
State of Ohio and Kentucky, the federal government or more than three state
governments during the past three years.2
3. None of the Offeror and the Major Participants 1 is subject to any proposed or pending
debarment, suspension, or similar actions.
Offeror Certification:
I hereby certify that, to the best of my knowledge, the three above statements are valid, true,
and represent a complete and accurate understanding of the condition of the firms represented
and identified on Form B-3 (Information About Major Participants). as a Major Participant1. It is
understood and agreed upon that any false acknowledgement, misrepresentation, or
inaccuracy may be cause for disqualification of the Offeror from the Procurement Process
whether discovered during the Procurement Process or after the Design-Build Team selection
has been completed.
Offeror’s Authorized Representative:
(Printed Name)
Date:
(Signature)
(Title)
1 Note: Firm includes any Affiliate.

2 Note: Prior to the Proposal Due Date listed in the Procurement Schedule.
BRENT SPENCE BRIDGE CORRIDOR Exhibit A: Form F

FORM G: DBE GOAL ATTAINMENT OR GOOD FAITH EFFORTS

CERTIFICATION
The following goals for participation by DBEs are established for Preconstruction Phase (Sub-Phases
1A and 1B) of the Project:
1) 9% of the combined Preconstruction Phase (Sub-Phases 1A and 1B) Compensation.
The Department is targeting a DBE participation goal of:

1) 7% for Phase 2 Final Engineering and Construction.
By signing this Form G, the Offeror certifies that:

1) The above DBE goal for the Project will be met by obtaining commitments equal to or exceeding
the DBE percentage or providing a good faith effort to substantiate the attempt to meet the goal;
and
2) If awarded the Contract, the Contractor will update DBE Performance Plans on a monthly basis,
meeting the requirements set forth in the Contract.
Failure to submit this Form G and the Phase 1 DBE Performance Plan may result in the Offeror’s
Proposal being considered non-responsive.
`
[Name]
`
[Title]
BRENT SPENCE BRIDGE CORRIDOR Exhibit A: Form G

FORM H: EQUAL EMPLOYMENT OPPORTUNITY CERTIFICATION
The undersigned certifies on behalf of that:

(Name of entity making certification)
(Check one of the following boxes)
☐ It has developed and has on file at each establishment affirmative action programs pursuant to
41 CFR Part 60-2 (Affirmative Action Programs).
☐ It is not subject to the requirements to develop an affirmative action program under 41 CFR
Part 60-2 (Affirmative Action Programs).
(Check one of the following boxes)
☐ It has not participated in a previous contract or subcontract subject to the equal opportunity
clause described in Executive Orders 10925, 11114 or 11246.
☐ It has participated in a previous contract or subcontract subject to the equal opportunity clause
described in Executive Orders 10925, 11114 or 11246 and, where required, it has filed with the
Joint Reporting Committee, the Director of the Office of Federal Contract Compliance, a
Federal Government contracting or administering agency, or the former President’s Committee
on Equal Employment Opportunity, all reports due under the applicable filing requirements.
Signature:
Title:
Date:
If not Offeror, relationship to Offeror:
Note: The above certification is required by the Equal Employment Opportunity Regulations of the
Secretary of Labor (41 CFR 60-1.7(b)(1)) and must be submitted by Offerors only in connection with
contracts which are subject to the equal opportunity clause. Contracts that are exempt from the
equal opportunity clause are set forth in 41 CFR 60-1.5. (Generally, only contracts of $10,000 or
under are exempt.) Currently, Standard Form 100 (EEO-1) is the only report required by Executive
Orders or their implementing regulations.
Offerors, Major Participants, and proposed subcontractors who have participated in a previous
contract subject to the Executive Orders and have not filed the required reports should note that 41
CFR 60- 1.7(b)(1) prevents the award of contracts and subcontracts unless such contractor submits
a report covering the delinquent period or such other period specified by the Federal Highway
Administration or by the Director, Office of Federal Contract Compliance, U.S. Department of Labor.
BRENT SPENCE BRIDGE CORRIDOR Exhibit A: Form H

FORM I: BUY AMERICA CERTIFICATION

(To be signed by authorized signatory(ies) of the Offeror)
The undersigned certifies on behalf of itself and all proposed subcontractors (at all tiers) that only
domestic materials will be used in the Project.
A. Offeror shall comply with the applicable provisions of the Infrastructure Investment and Jobs
Act, Pub. L. No. 117-58, which includes the Build America, Buy America Act Pub. L. 117-58, §§
70901-52, which permits FHWA participation in the Design-Build Agreement only if domestic
materials will be used on the Project, and which also applies to utility work on the Project.
All steel or iron products incorporated permanently into the Work must be made of steel or iron
produced in the United States and all subsequent manufacturing must be performed in the
United States. Manufacturing is any process that modifies the chemical content; physical shape
or size; or final finish of a product. Manufacturing begins with the initial melting and mixing and
continues through the bending and coating stages. If a domestic product is taken out of the
United States for any process, it becomes a foreign source material.
All manufactured products used in the project are not required to be produced in the United
States.
All construction materials are manufactured in the United States—this means that all
manufacturing processes for the construction material occurred in the United States.
“Construction materials” includes an article, material, or supply—other than an item of primarily
iron or steel; a manufactured product; cement and cementitious materials; aggregates such as
stone, sand, or gravel; or aggregate binding agents or additives—that is or consists primarily of:
• Non-ferrous metals;
• Plastic and polymer-based products (including polyvinylchloride, composite building
materials, and polymers used in fiber optic cables);
• Glass (including optic glass);
• Lumber; or
• Drywall.
To provide clarity to item, product, and material manufacturers and processers, we note that
items that consist of two or more of the listed materials that have been combined together
through a manufacturing process, and items that include at least one of the listed materials
combined with a material that is not listed through a manufacturing process, should be treated
as manufactured products, rather than as construction materials. For example, a plastic framed
sliding window should be treated as a manufactured product while plate glass should be treated
as a construction material.
This requirement does not preclude a minimal use of foreign steel and iron materials, provided
the cost of such materials does not exceed 0.1% of the price under the Progressive Design-
Build Contract.
The Buy America preference only applies to articles, materials, and supplies that are consumed
in, incorporated into, or affixed to an infrastructure project. As such, it does not apply to tools,
BRENT SPENCE BRIDGE CORRIDOR Exhibit A: Form I

equipment, and supplies, such as temporary scaffolding, brought to the construction site and
removed at or before the completion of the infrastructure project. Nor does a Buy America
preference apply to equipment and furnishings, such as movable chairs, desks, and portable
computer equipment, that are used at or within the finished infrastructure project, but are not an
integral part of the structure or permanently affixed to the infrastructure project.
B. A false certification is a criminal act in violation of 18 U.S.C. 1001. Should this PDBC be
investigated, Offeror has the burden of proof to establish that it is in compliance.
C. At Offeror’s request, the Department may, but is not obligated to, seek a waiver of Buy America
requirements if grounds for the waiver exist. However, Offeror certifies that it will comply with
the applicable Buy America requirements if a waiver of those requirements is not available or
not pursued by the Department.
OFFEROR
SIGNATURE
NAME (printed or typed)
TITLE
DATE
BRENT SPENCE BRIDGE CORRIDOR Exhibit A: Form I

FORM J: CERTIFICATION REGARDING USE OF CONTRACT FUNDS FOR

LOBBYING
The undersigned certifies, to the best of its knowledge and belief (after due inquiry and
investigation), that:
1. No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or employee
of any Federal agency, a member of Congress, an officer or employee of Congress, or an
employee of a member of Congress in connection with the awarding of any Federal contract,
the making of any Federal grant, the making of any Federal loan, the entering into of any
cooperative agreement, and the extension, continuation, renewal, amendment, or
modification of any Federal contract, grant, loan, or cooperative agreement;
2. If any funds other than Federal appropriated funds have been paid or will be paid to any
person for influencing or attempting to influence an officer or employee of any Federal agency,
a member of Congress, an officer or employee of Congress, or an employee of a member of
Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the
undersigned shall complete and submit Standard Form-LLL, “Disclosure Form to Report
Lobbying,” in accordance with its instructions.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for making or
entering into this transaction imposed by 31 U.S.C. § 1352. Any person who fails to file the required
certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for
each such failure.
The undersigned shall require that the language of this certification be included in all lower tier
subcontracts which exceed $100,000 and that all such recipients shall certify and disclose accordingly.
By:
Signature
Typed or Printed Name
Title
Date
BRENT SPENCE BRIDGE CORRIDOR Exhibit A: Form J

[Duplicate or modify this form as necessary so that it accurately describes the entity making the
Proposal and so that it is signed on behalf of all partners, members, or joint venturers of the Offeror and
all other Major Participants]
BRENT SPENCE BRIDGE CORRIDOR Exhibit A: Form J

FORM K: PREQUALIFICATIONS
Contractor Prequalification (Ohio)
Work By Contractor/Sub-Contractor to Perform the Work

Prior to
Type Work Type Description Project (Status of Prequalification –
Work
Code Award Approved/Submitted/To be submitted)
1 Clearing & Grubbing X
2 Building Removal X
3 Gas, Oil, Water Well Abandonments X
4 Roadway Excavation & Embankment Construction X
5 Major Roadway Excavations X
6 Incidental Grading X
7 Soil Stabilization X
8 Temporary Soil Erosion & Sediment Control X
9 Aggregate Bases X
10 Flexible Paving X
11 Apply Bituminous Treatments X
12 Rigid Paving X
13 Pavement Planning, Milling, Scarification X
14 Concrete Texturing X
15 Sawing X
16 Flexible Replacement X
BRENT SPENCE BRIDGE CORRIDOR Exhibit A: Form K


Prior to
Work
17 Rigid Pavement Replacement X
18 Pavement Rubblizing, Breaking, Pulverizing X
19 Structure Removal X
20 Level 1 Bridge X
21 Level 2 Bridge X
22 Level 3 Bridge X
23 Reinforcing Steel X
24 Structural Steel Erection X
25 Stud Welding X
26 Structural Steel Painting X
Expansion & Contraction Joints, Joint sealers, Bearing

27 X
Devices
28 Caissons / Drilled Shafts X
29 Structure Repairs X
30 Hydrodemolition X
31 Structural Steel Repairs X
32 Heat Straightening X
33 Tieback Installation X
34 Earth Retaining Structures X


Prior to
Work
35 Drainage (Culverts, Misc.) X
36 Guardrail / Attenuators X
37 Fence X
38 Misc. Concrete X
39 Maintenance of Traffic X
40 Waterproofing X
41 Raised Pavement Markers X
42 Signing X
43 Highway Lighting X
44 Traffic Signals - Standard X
45 Pavement Markings X
46 Landscaping X
47 Mowing X
48 Trucking X
49 Herbicidal Spraying X
50 Railroad Track Construction X
51 Micro Tunneling X
52 Tunneling X


Prior to
Work
53 Piling X
54 Post-Tensioning Bridge Members X
Fiber Optic Cable Installation, Splicing, Termination

55 X
and Testing – Traffic Signal System
Fiber Optic Cable Installation, Splicing, Termination
56 X
and Testing – Intelligent Transportation System
Sealing of Concrete Surfaces with Epoxy or Non-Epoxy
57 X
Sealers
Contractor Prequalification (Kentucky)

By Contractor/Sub-Contractor to Perform
Work Prior to
Work Items Description Project the Work (Status of Prequalification –
Item Work
Award Approved/Submitted/To be submitted)
A GRADE AND DRAIN X
B PORTLAND CEMENT CONCRETE PAVING X
C1 ASPHALT PAVING OPTION B X
C2 ASPHALT PAVING OPTION A X
E1 BRIDGES NOT MORE THAN 70 FT. CLEAR SPAN X
E2 BRIDGES NOT MORE THAN 100 FT. CLEAR SPAN X
E3 BRIDGES 100 FT. CLEAR SPAN AND OVER X
E4 DEMOLITION OF MAJOR BRIDGES X


Work Prior to
Item Work
E5 BRIDGES OVER NAVIGABLE STREAMS X
F SIGNS X
G LIGHTING X
G1 LIGHTING - AIRPORT
H LANDSCAPING X
I01 CLEARING AND GRUBBING X
I02 DITCHING AND SHOULDERING X
I03 BRIDGE APPROACHES X
I04 GUARD RAILS X
I05 FENCING X
I06 SEEDING AND SODDING X
I07 DENSE GRADED AGGREGATE BASE CONSTRUCTION X
I08 CEMENT CONCRETE BASE CONSTRUCTION X
I09 SOIL CEMENT BASE CONSTRUCTION X
I10 PLANT MIX BANK GRAVEL BASE CONSTRUCTION X
I11 CURB AND GUTTER X
I12 SIDEWALK X
I13 ENTRANCE PAVEMENT X


Work Prior to
Item Work
I14 PAVED DITCH X
I15 CULVERTS X
I16 BRIDGE REPAIR X
I17 BRIDGE DECK REPAIR X
I18A BRIDGE PAINTING - LEVEL A
I18B BRIDGE PAINTING - LEVEL B
I18C BRIDGE PAINTING - LEVEL C
I19 STEEL ERECTION X
I20 TYING STEEL REINFORCEMENT X
I21 FURNISH AND DRIVE PILING X
I22 DREDGING X
I23 HYDRAULIC EMBANKMENT CONSTRUCTION X
I24 STORM DRAINAGE & STORM SEWER X
I25 SLURRY SEAL X
I26 BUILDINGS AND RELATED CONSTRUCTION
I27 DEMOLITION X
I28 CONCRETE REPAIRS X
I29 RIGHT OF WAY MOWING X


Work Prior to
Item Work
I30 TRAFFIC SIGNALS X
I31 PAVEMENT STRIPING X
I32 PAVEMENT MARKERS X
I33 UTILITIES X
I34 FIBER OPTIC CABLE INSTALLATION X
I35 PERMANENT ANCHORED TIEDBACK WALLS X
I36 TREE TRIMMING & BRUSH REMOVAL X
I37 TRAFFIC CONTROL X
I38 BITUMINOUS MILLING & TEXTURING X
I39 GROUTING FOR GROUND IMPROVEMENTS
I40 DRILL AND PLACE RAIL
I41 BARRIER WALLS X
I42 HYDRODEMOLITION OF BRIDGE DECKS X
I43 BREAKING AND SEATING X
I44 INTEGRATED TRAFFIC MANAGEMENT SYSTEMS X
I45 DRILLING OF HORIZONTAL DRAINS X
I46 WATERPROOFING X
I47 EPOXY COATING X


Work Prior to
Item Work
I48 DRILLED CAISSON FOUNDATIONS X
I49 TUNNELS
I50 REMOVAL AND PLACEMENT OF PROJECT MATERIAL X
I51 CONCRETE SAWING X
I52 DIAMOND GRINDING X
I53 TELECOMMUNICATION CONSTRUCTION X
I54 ROOFING
I55 CONCRETE GRINDING X
I56 SALT STORAGE SHEDS
I57 EDGE DRAINS X
I58 VERTICAL DRILLING X
I59 COVERED TIMBER BRIDGES
I60 HYDRAULIC JACKING X
I61 SPECIAL ENGINEERED FILLS X
I62 PAINTING OF BUILDINGS
I63 UNDERGROUND TANK REMOVAL
I64 ASBESTOS REMOVAL
I65 SHORING X


Work Prior to
Item Work
I66 ROCK BLASTING X
I67 GUNITE/SHOTCRETE X
I68 TRENCHING X
I69 STEEL PIPE X
I70 TUNNEL LINER
I71 STRUCTURAL PLATE PIPE
I72 BIN-TYPE RETAINING WALLS
I73 UNDERDRAINS X
I74 SWEEPING
I75 CATCH BASIN CLEANING X
I76 JET RODDING
I77 POWER WASHING
I78 SURFACE PLANING AND TEXTURING
I79 GRINDING AND JOINT SEALING X
I80 CAISSONS X
I81 SLURRY DIAPHRAM WALLS
I82 SHEETING PILING AND SHORING X
I83 MAJOR BRIDGE FOUNDATIONS X


Work Prior to
Item Work
I84 WICK DRAINS X
I85 PAVEMENT GRINDING AND GROOVING X
I86 SAWING & SEALING OF CRACKS & JOINTS X
I87 CRACK INJECTION X
I88 ROCK BOLTING X
I89 PNEUMATIC BLANKET X
I90 GUNITE POOLS
I91 EPOXY INJECTION & REPAIRS
I92 AUTOMATIC SPRINKLER SYSTEMS INSTALLATION
I93 RAILROAD TRACK CONSTRUCTION & REPAIR
I94 CONCRETE JOINT REPAIR X
I95 WALLCOVERING X
I96 DRILLED SHAFTS X
I97 VIBRO COMPACTION X
I98 STONE COLUMNS X
I99 DEEP DYNAMIC COMPACTION X
J01 COMPACTION GROUTING X
J02 SLURRY WALLS X


Work Prior to
Item Work
J03 CHEMICAL GROUTING X
J04 CONSOLIDATION GROUTING X
J05 LIME INJECTION X
J06 MINI PILES X
J07 DAMS AND RESERVOIRS
J08 SLAB JACKING X
J09 HYDRO DEMOLITION X
J10 SHOTCRETE X
J11 STRAIGHTENING STRUCTURAL STEEL X
J12 CORE DRILLING X
J13 REHAB OF STORM DRAINAGE AND STORM SEWER X
J14 CHIP AND SEAL X
J15 POLYURETHANE CONCRETE LIFTING
J16 RETAINING WALLS X
J17 AUGER CAST PILING
J18 HEATING AND AIR CONDITIONING INSTALLATIO
J19 INSTALL ROADWAY SENSORS AND COUNTERS X
J20 JET GROUTING X


Work Prior to
Item Work
J21 PRESSURE GROUTING X
J22 UNDERSEALING & FILLING VOIDS X
J23 WELLS
J24 GROUND FREEZING
J25 RETRO-REFLECTIVITY ANALYSIS X
J26 PIPELINE CONSTRUCTION X
J27 INTERIOR - MILLWORK
J28 EXPANSION JOINTS X
J29 JOINT SEALING X
J30 CONCRETE HEADWALLS X
J31 GRINDING AND MILLING X
J32 IRRIGATION INSTALLATION
J33 GROUND IN RUMBLE STRIPS X
J34 FLOORCOVERING
J35 WINDOW TREATMENT & AWNINGS
J36 SEALCOATING X
J39 DRILLED AND UNDERREAMED PIERS X
J40 LIME & CEMENT ROAD BED SOIL STABILIZATION X


Work Prior to
Item Work
J41 WETLAND MITIGATION TREE PLANTING X
J42 WELDING X
J43 GLASS INSTALLATION AND GLAZING
J44 MECHANICAL
J45 INSTALLING OVERHEAD DOORS
J46 PNEUMATIC BACKSTOWING X
J47 MACHINE PREP. OF EXISTING SLAB X
J48 CRASH CUSHIONS X
J49 DECORATIVE PAVERS X
J50 MUDJACKING
J51 VIDEO PIPE INSPECTION & CLEANING X
J52 RAILROAD SIDING CONSTRUCTION & REPAIR
J53 COLD MILLING
J54 UNDERWATER CONSTRUCTION X
J55 ROAD PLANING AND SURFACE REMOVAL X
J56 STAY IN PLACE BRIDGE FORMS X
J57 CRACK SEALING X
J59 FERTILIZATION X


Work Prior to
Item Work
J60 EMBANKMENT IN PLACE X
J61 MICROSURFACING
J62 MASONRY COATING X
J63 ROADWAY WEATHER MONITORING EQUIPMENT INS X
J64 ASPHALT PLANING AND SCARIFICATION X
J65 BORING & TUNNELING X
J66 HERBICIDE SPRAYING AND BRUSH CONTROL
J67 LAW ENFORCEMENT OFFICER X
J68 ROCKFALL CONTAINMENT X
J69 SOIL STABILIZATION X
J70 PRECAST PAVEMENTS X
J71 GEOTECHNICAL DRILLING X
J72 STONE VENEER X
J73 PRECAST PANEL WALL ERECTION X
J74 JOINT ADHESIVE X
J75 POLYMER BRIDGE OVERLAY X
J76 SOIL NAILING X
J77 GABION BASKETS X


Work Prior to
Item Work
J78 MASONRY X
J79 LANDSCAPE MULCH X
J80 PAVEMENT STRIPING REMOVAL X
J81 CONCRETE PATCHING X
J82 CARBON FIBER BRIDGE WRAP X
J83 STREAM RESTORATION MITIGATION
J84 LANDSCAPE MAINTENANCE X
J85 LANDSCAPE SITE PREPARATION X
J86 ASPHALT REPAIRS X
J87 VIDEO & LASER PIPELINE INSPECTION X
J88 HIGH FRICTION SURFACE TREATMENT X
J89 MARINE DRILLED SHAFTS X
J90 ELECTRICAL X
J91 AIRFIELD STRIPING
J92 ROCK TUNNEL REHABILITATION

Professional Services Prequalification (Ohio)

By Consultant/Subconsultant to Perform the
Prior to
Prequalification Category Project Design Work (Status of Prequalification –
Work
Roadway Design – General
Bicycle Facilities and Enhancement Design Roadway X
Non-Complex Roadway Design
Complex Roadway Design X
Interchange Operations / Modification / Justification Study (IOS/IMS/IJS) X
Safety Study
Bridge Design - General
Level 1.1 Bridge Design X
Level 1.2 Bridge Design X
Level 2 Bridge Design X
Bridge Inspection – General
Level 1 Bridge Inspection
Level 2 Bridge Inspection X
Underwater Dive Bridge Inspection
Geotechnical Engineering – General Services
Geotechnical Engineering Services X
Geotechnical Testing Laboratory X
Geotechnical Field Exploration Services X
Geotechnical Drilling Inspection Services X


Prior to
Work
Traffic Signal Design – General
Basic Traffic Signal Design
Traffic Signal System Design X
ITS Design and Operations X
Limited Lighting Design
Complex Lighting Design X
Right of Way Plan Development - General
Limited Right of Way Plan Development
Complex Right of Way Plan Development X
Subsurface Utility Location Services
Environmental – General
Environmental Document Preparation - EA/EIS
Environmental Document Preparation - CE
Environmental Document Preparation - Section 4(f)
Ecological Surveys (NOTE: For Mussel Relocation) X
Stream and Wetland Mitigation X
Waterway Permits X
Qualitative Air Quality Analyses


Prior to
Work
Quantitative Air Quality Analyses
Noise Analyses and Abatement Design
Archaeological Investigations
History/Architectural Investigations
Regulated Materials Review X
Public Involvement – C1 and C2 Level CE
Public Involvement – D1 and higher Level CE
Public Involvement – EA/EIS
Financial and Cost Accounting System Requirements
Professional Services Prequalification (Kentucky)

Prior to
Work
Roadway Design
Rural Roadway Design
Urban Roadway Design X
Surveying X
Photogrammetry & Related Services
Advanced Traffic Engineering Design & Modeling X


Prior to
Work
Advanced Drainage & Design X
Value Engineering
E-Plan Room
Utility Design
Communication
Electrical Level 1
Electrical Level 2
Gas Level 1 X
Gas Level 2 X
Water & Sewer Level 1 X
Water & Sewer Level 2 X
Petroleum
Utility Preconstruction Coordination X
Utility Construction Inspection
Bridge Inspection – General
Structure Design
Spans Under 500 Feet X
Spans Greater Than 500 Feet X


Prior to
Work
Geotechnical Services
Geotechnical Drilling X
Geotechnical Engineering X
Geotechnical Laboratory Testing X
Traffic Operations
Traffic Engineering X
Electrical Engineering Traffic Signals X
Electrical Engineering Roadway Lighting X
Transportation Planning
Transportation Planning Engineering
Advanced Transportation Planning Engineering
Road Centerline Data Collection
Traffic Data Collection
Traffic Forecasting
Travel Demand & Simulation Modeling
Pedestrian & Bicycle Facility Planning & Design X
Conceptual Transportation Planning


Prior to
Work
Right of Way Services
Acquisition Relocation Appraisal
Appraisal Review
Maintenance/Bridge Maintenance Services
In-depth Structure Inspection
Underwater Structure Inspection Tunnel Inspection
Landscaping Arboriculture
Environmental Aquatic & Terrestrial Ecosystems Analysis
Fisheries Freshwater Macroinvertebrates Water Quality Botany X
Terrestrial Zoology Wetlands
Environmental Archaeology & Other Services
Prehistoric Archaeology X
Historic Archaeology X
Highway Noise Analysis X
Air Quality Analysis
Stream & Wetland Mitigation X
Socio-Economic Analysis
Cultural-Historic Analysis X


Prior to
Work
Environmental Document Writing & Coordination
Environmental & UST Services
UST & Hazmat Preliminary Site Assessment (Phase I)
UST Closure Assessment X
UST Site Investigation (Phase II) X
UST Corrective Action X
Hazmat Site Investigation (Phase II) X
Hazmat Corrective Action X
Intelligent Transportation Systems
Architecture Development
System Design, Deployment & Integration X
System Maintenance, Management & Operations
Technology / System Evaluation
Transportation Delivery Systems
Transit Technical Studies
Transit Management T
Transit Marketing / Advertising


Prior to
Work
Construction Engineering Services
Construction Project Supervision
Bridge Painting Project Inspection
Bridge Painting Project Management
Structural Steel Fabrication Inspection
Construction Scheduling / Claims Analysis

FORM L: OFFEROR REGISTRATION

INSTRUCTIONS:
1. Submit one PDF copy of this Form L on behalf of the Offeror team in accordance with Section 4.2
(Authorized Representatives and Offeror Registration) by email to the Department’s Authorized
Representative.
2. All Principal Participants and Major Participants in the Proposal must be listed on this Form L and
their respective roles identified. Attach additional pages if more space is required.
3. An authorized representative of the Offeror must sign this Form L.
4. This Form L must be submitted prior to the last date for Offeror registration set forth in ITO Section
1.4 (Procurement Schedule).
Name of Offeror: Date:
Firm Name Role Contact Information
The following individual is identified as the Offeror’s Procurement Point of Contact (PPC), authorized to
submit this Form L on behalf of the Offeror:
Name:
Title:
Firm:
Telephone:
Email Address:
Mailing Address:
As Offeror’s PPC, I certify that the above information is true, correct, and accurate. By:
Name:
BRENT SPENCE BRIDGE CORRIDOR Exhibit A: Form L

RIsterity

PROGRESSIVE DESIGN-BUILD CONTRACT

FEBRUARY 17, 2023
January 3, 2023
TABLE OF CONTENTS
1 CONTRACT DOCUMENTS AND INTERPRETATION .........................................................2
1.1 Governing Contract Documents................................................................................... 2

1.1.1 Intent of the Contract Documents ............................................................................ 2
1.1.2 Project Methodology................................................................................................ 2
1.1.3 Project Standards.................................................................................................... 2
1.1.4 Contract Management ............................................................................................. 2
1.1.5 Conflicts Among Project Standards ......................................................................... 2
1.2 Definitions.................................................................................................................... 3
1.3 Contract Documents Order of Precedence .................................................................. 3
1.4 Interpretation and Construction of Contract Documents............................................... 3
1.5 Term ............................................................................................................................ 4
1.6 Federal Requirements ................................................................................................. 4
1.7 Standard of Care ......................................................................................................... 5
2 PROGRESSIVE DESIGN-BUILD APPROACH ....................................................................6
2.1 Project Phases ............................................................................................................ 6

2.2 Project Meetings .......................................................................................................... 6
2.3 Phase 1: Preconstruction ............................................................................................. 6
2.3.1 Pre-Sub-Phase 1A Work ......................................................................................... 6
2.3.2 Sub-Phase 1A: Proof of Concept............................................................................. 7
2.3.3 Sub-Phase 1B: Project Development ...................................................................... 8
2.4 Phase 2: Final Design and Construction .....................................................................12
2.4.1 Phase 2 Change Order ..........................................................................................12
2.5 Development of Change Orders and Work Packages .................................................12
2.5.1 Open Book Basis of Negotiations ...........................................................................12
2.6 Risk Identification, Pricing and Assignment ................................................................13
2.6.1 Risk Approach ........................................................................................................13
2.6.2 Risk Management Meetings ...................................................................................15
2.7 Cost Submittals ..........................................................................................................16
2.7.1 Sub-Phase 1A Opinion of Probable Cost................................................................16
2.7.2 Cost Submittals during Sub-Phase 1B (GMP or Lump Sum) ..................................16
2.8 Notices to Proceed (NTP) ...........................................................................................16
2.8.1 Contractor’s Obligations .........................................................................................16

2.8.2 Notice to Proceed for the Sub-Phase 1A Work .......................................................16
2.8.3 Notice to Proceed for the Sub-Phase 1B Work .......................................................17
2.8.4 Notice to Proceed for Early Work ...........................................................................17
2.8.5 Notice to Proceed for Phase 2 Work ......................................................................17
2.9 The Department’s Rights ............................................................................................18
3 PROGRESSIVE DESIGN-BUILD REQUIREMENTS .........................................................19
3.1 Sub-Phase 1A Proposal .............................................................................................19

3.2 Sub-Phase 1B Project Scope .....................................................................................20
3.3 Phase 2 Project Scope ...............................................................................................21
3.4 Project Standards .......................................................................................................21
3.5 Reference Information Documents .............................................................................22
3.5.1 Review of RIDs and Project Site ............................................................................22
3.6 Base Design ...............................................................................................................22
3.7 Contractor’s Responsibility for Constructability, Safety and Life-Cycle Performance ..23
3.8 Project Schedule ........................................................................................................23
3.9 Governmental Approvals ............................................................................................23
4 DESIGN REQUIREMENTS AND SUBMITTALS ................................................................24
4.1 Design of the Project ..................................................................................................24

4.1.1 Design Progress Meetings .....................................................................................24
4.1.2 Infeasibility of Design .............................................................................................24
4.1.3 Design Responsibilities ..........................................................................................24
4.1.4 Design and Professional Services Prequalification .................................................25
4.1.5 Standards Deviations .............................................................................................25
4.1.6 Engineering Properties of Subsurface Conditions ..................................................26
4.2 Department’s Responsibilities for Design Activities .....................................................26
4.3 Errors and Omissions .................................................................................................26
4.4 Financial and Cost Accounting Requirements for Errors and Omissions ....................27
4.5 Submittals and Documentation ...................................................................................27
4.6 IDQF Review of Submittals .........................................................................................27
4.7 Contractor Submittals Listing & Schedule ...................................................................27
4.8 Department Review of Contractor Submittals .............................................................28
4.9 Contractor Analysis of the Department Review Comments .........................................29
4.10 Contractor Revision and Re-submittal ........................................................................29
4.11 Plans and Working Drawings ......................................................................................29

5 CONTROL OF WORK .......................................................................................................31
5.1 Authority of the Department ........................................................................................31

5.2 Phase 2 Preconstruction and Progress Meetings .......................................................31
5.3 DBT Project Management Plan ..................................................................................32
5.4 Cooperation Between Contractors ..............................................................................32
5.5 Authority and Duties of Inspector ................................................................................32
5.6 Inspection of Work ......................................................................................................32
5.7 No Waiver of Legal Rights ..........................................................................................33
5.8 Furnishing Right-of-Way .............................................................................................33
5.9 Unauthorized and Nonconforming Work .....................................................................34
5.9.1 Nonconforming and Unauthorized Work .................................................................34
5.9.2 Nonconforming Work Compensation Adjustment ...................................................34
5.10 Construction Requirements ........................................................................................35
5.10.1 Prosecution and Progress ......................................................................................35
5.10.2 Limitation of Operations .........................................................................................35
5.10.3 Load Restrictions ...................................................................................................35
5.10.4 Haul Roads ............................................................................................................35
5.10.5 Restoration of Surfaces Opened by Permit ............................................................36
5.10.6 Public Convenience and Safety ..............................................................................36
5.10.7 Sanitary Provisions ................................................................................................36
5.10.8 Bridges over Navigable Waters ..............................................................................37
5.10.9 Use of Explosives ...................................................................................................37
5.10.10 Unmanned Aircraft Systems .............................................................................37
5.11 Damage to the Work and Maintenance During Construction.......................................37
5.11.1 Maintenance During Construction ..........................................................................37
5.11.2 Failure to Maintain Roadway or Structure...............................................................38
5.11.3 Contractor Responsibility for Work .........................................................................38
5.11.4 Damage by Traffic Using Substantially Completed Work ........................................38
5.11.5 Removal of Graffiti .................................................................................................39
5.11.6 Protection and Restoration of Property ...................................................................39
5.11.7 Contractor’s Responsibility for Utility Property and Services...................................41
5.12 Contractor’s Use of the Project Right of Way or Other Department-Owned Property ..42
5.12.1 Disposal of Waste Material and Construction Debris and Excavation of Borrow on
the Project Right of Way or on Other Department-Owned Property....................................42

5.12.2 Contractor’s Use of Portable Plants Within the Project Right of Way or on Other
Department-Owned Property .............................................................................................42
5.12.3 Placement of a Portable Plant within the Project Right of Way or on Other
Department-Owned Property .............................................................................................42
5.12.4 Equipment Storage and Staging .............................................................................43
5.12.5 Equipment Removal and Site Restoration ..............................................................43
5.13 Environmental Requirements......................................................................................43
5.13.1 Environmental Protection .......................................................................................43
5.13.2 Borrow and Waste Areas .......................................................................................45
5.13.3 Rights in and Use of Materials Found in the Work ..................................................46
5.13.4 Cleaning Up ...........................................................................................................46
5.13.5 Construction and Demolition Debris .......................................................................47
5.13.6 Regulated Materials ...............................................................................................47
5.13.7 Unknown Regulated Materials ................................................................................49
5.14 Completion Deadlines and Acceptance ......................................................................50
5.14.1 Partial Acceptance .................................................................................................50
5.14.2 Final Inspection and Substantial Completion ..........................................................51
5.14.3 Final Payment ........................................................................................................52
5.14.4 Completion of the Contract and Continuation of Contractor’s Responsibilities ........53
5.14.5 Opening Sections of Project to Traffic ....................................................................53
6 CONTROL OF MATERIALS ..............................................................................................54
6.1 Source of Supply and Quality Requirements ..............................................................54

6.2 Samples, Tests, and Cited Specifications ...................................................................54
6.3 Small Quantities and Materials for Temporary Application ..........................................54
6.4 Plant Sampling and Testing Plan ................................................................................54
6.5 Storage of Materials ...................................................................................................55
6.6 Handling Materials ......................................................................................................56
6.7 Unacceptable Materials ..............................................................................................56
6.8 Department-Furnished Material ..................................................................................56
6.9 Products Made in the United States............................................................................57
6.10 Qualified Products List ................................................................................................57
6.11 Maritime Transportation ..............................................................................................57
6.12 Field Welder Certification Requirements .....................................................................57
7 UTILITIES AND RAILROADS ............................................................................................58
7.1 Utilities ........................................................................................................................58

7.2 Utility Betterments ......................................................................................................59
7.3 Railroads ....................................................................................................................59
7.4 Railroad Agreements ..................................................................................................61
8 SUBCONTRACTING REQUIREMENTS............................................................................62
8.1 Compliance with Subcontracting Requirements ..........................................................62

8.2 Limitation on Subcontracted Work ..............................................................................62
8.3 Limitation on Organizational Changes ........................................................................63
8.4 Selection of Subcontractors ........................................................................................63
8.5 Substitution of Subcontractors ....................................................................................63
8.6 Subcontracts for Professional Services and Pre-construction Work ............................64
8.7 Affiliate Subcontracts ..................................................................................................64
8.8 Subcontractor Bidding and Selection Plan for Construction Work ...............................65
8.9 Required Subcontract Terms ......................................................................................65
8.10 Prompt Payment .........................................................................................................67
8.11 General Responsibility for Work by Others .................................................................68
9 LABOR REQUIREMENTS .................................................................................................69
9.1 Introduction.................................................................................................................69
9.2 Labor Laws to be Observed ........................................................................................69
9.3 Non-Discrimination Regulations ..................................................................................69
9.3.1 Compliance with Regulations .................................................................................70
9.3.2 Non-discrimination .................................................................................................70
9.3.3 Solicitations of Subconsultants, including procurement of Materials and Equipment
70
9.3.4 Information and Reports .........................................................................................70
9.3.5 Sanctions for Noncompliance .................................................................................70
9.3.6 Pertinent Non-Discrimination Authorities ................................................................70
9.3.7 49 CFR Part 26.13(b) .............................................................................................72
9.3.8 Incorporation of Provisions .....................................................................................72
10 AUTHORIZED REPRESENTATIVES AND KEY PERSONNEL .........................................73
10.1 Authorized Representatives ........................................................................................73

10.1.1 Department Authorized Representatives ................................................................73
10.1.2 Contractor’s Representative ...................................................................................73
10.2 Character of Workers, Methods and Equipment .........................................................74
10.2.1 Suspension of Work Due to Character of Workers .................................................74
BRENT SPENCE BRIDGE CORRIDOR v

10.3 Design and Engineering Personnel.............................................................................75
10.4 Key Personnel ............................................................................................................75
10.5 Representations Regarding Key Personnel ................................................................75
11 CONTRACTOR’S COMPENSATION.................................................................................76
11.1 Compensation for Phase 1 Work ................................................................................76

11.1.1 Cost Principles and Limitations ..............................................................................76
11.1.2 Phase 1 Estimates and Payments ..........................................................................76
11.1.3 Compensation for the Sub-Phase 1A Work ............................................................76
11.1.4 Compensation for the Sub-Phase 1B Work ............................................................77
11.1.5 Requirements for FAR Participants ........................................................................77
11.2 Compensation for Early Work and Phase 2 Work .......................................................78
11.2.1 Unilateral Authority to Pay ......................................................................................78
11.2.2 Scope of Payment ..................................................................................................78
11.2.3 Compensation Structure.........................................................................................78
11.2.4 Estimates and Payments ........................................................................................79
11.2.5 Payment for Materials ............................................................................................80
11.2.6 Mobilization ............................................................................................................81
11.2.7 Pay Adjustments ....................................................................................................82
11.3 Phase 2 Payment Deductions.....................................................................................82
11.3.1 Withholdings ..........................................................................................................82
11.3.2 Lane Closure Deductions .......................................................................................82
11.3.3 Noncompliance Deductions ....................................................................................83
12 CONTRACT CHANGES ....................................................................................................84
12.1 Applicability of Section 12 Change Order Process ......................................................84

12.2 Changes in the Work ..................................................................................................84
12.3 Modifications to the PDBC ..........................................................................................85
12.4 Change Orders ...........................................................................................................85
12.4.1 Notice of Potential Change Order (“NPCO”) ...........................................................86
12.4.2 RCO Contents ........................................................................................................89
12.4.3 Department Receipt and Procedure for RCOs........................................................89
12.4.4 Procedure for Department Initiated RCOs ..............................................................90
12.4.5 Items Not Eligible for Change Orders .....................................................................91
12.4.6 No Release or Waiver ............................................................................................92
12.5 Construction Change Directive ...................................................................................92
BRENT SPENCE BRIDGE CORRIDOR vi

12.5.1 Effective Execution of Construction Change Directive ............................................93
12.5.2 Operation Under Executed Construction Change Directive ....................................93
12.6 Disputes Regarding Change Order(s)/Construction Change Directive(s) ....................93
12.7 Revisions to Contract Document ................................................................................94
12.7.1 Differing Site Conditions .........................................................................................94
12.7.2 Significant Change in the Character of the Work ....................................................96
12.7.3 Unreasonable Suspension of Work ........................................................................97
12.8 Changes and Extra Work Price Determination ............................................................99
12.8.1 Negotiated Prices ...................................................................................................99
12.8.2 Force Account ......................................................................................................100
12.8.3 Changes in Materials............................................................................................100
12.8.4 Directed Acceleration ...........................................................................................100
12.8.5 Recovery Schedules ............................................................................................100
12.8.6 Inefficiency ...........................................................................................................101
12.8.7 Unrecoverable Costs ............................................................................................101
13 TIME EXTENSION TO THE COMPLETION DEADLINES AND PAYMENT FOR
EXCUSABLE DELAYS ........................................................................................................... 102
13.1 Time Extensions to Completion Deadlines................................................................102

13.2 Categories of Excusable Delays Events ...................................................................102
13.2.1 Category 1 Events - Excusable, Non-Compensable Delays .................................102
13.2.2 Category 2 Events – Excusable, Compensable Delays ........................................103
13.3 Limitations on Excusable Delays ..............................................................................104
13.4 Procedure for Requesting Delay Costs and Completion Deadlines Alterations .........104
13.4.1 Excusable Delay Request ....................................................................................104
13.4.2 Department Decision ............................................................................................105
13.4.3 Department Notice ...............................................................................................106
13.5 Non-Excusable Delays .............................................................................................106
13.6 Concurrent Delays ....................................................................................................107
13.7 Failure to Complete On Time ....................................................................................107
13.7.1 Contractor Continued Work ..................................................................................107
14 FORCE MAJEURE EVENTS ........................................................................................... 110
15 WEATHER....................................................................................................................... 111
16 INDEMNITY ..................................................................................................................... 112
16.1 Indemnifications by Contractor .................................................................................112
BRENT SPENCE BRIDGE CORRIDOR vii

16.1.1 General Provisions ...............................................................................................112
16.1.2 Restrictions on Indemnities ..................................................................................113
16.1.3 Not Limited by Workers’ Compensation, Disability, or Employee Benefits Laws ...114
16.2 Defense and Indemnification Procedures .................................................................114
16.2.1 Department’s Notice of Indemnified Claim ............................................................114
16.2.2 Cooperation in the Insured Defense .....................................................................114
16.2.3 Rejection of Defense By Insurer/Reservation of Rights by Insurer........................114
16.2.4 Tender of Defense to Contractor ..........................................................................114
16.2.5 Acceptance of Tender/Control of Defense by Contractor ......................................115
16.2.6 Control of Defense by Indemnified Party ..............................................................115
16.2.7 Control of Defense if Conflict ................................................................................115
16.2.8 Reimbursement of Expenses ...............................................................................115
16.2.9 Management of Claim Involving Shared Responsibility ........................................116
16.2.10 Additional Factors Regarding Defense of Suits ..............................................116
16.3 No Effect on Other Rights .........................................................................................116
16.4 Contractor Held Harmless Regarding Certain Regulated Materials...........................117
17 INSURANCE REQUIREMENTS ...................................................................................... 118
17.1 Required Insurance ..................................................................................................118

17.2 Property Insurance (Course of Construction) ............................................................118
17.2.1 Minimum Scope ...................................................................................................118
17.2.2 Damage to Property Coverage .............................................................................119
17.3 Workers Compensation and Employer’s Liability Insurance ......................................120
17.4 Commercial General Liability Insurance....................................................................120
17.5 Automobile Liability Insurance ..................................................................................121
17.6 Umbrella or Excess Liability Insurance .....................................................................122
17.7 Pollution Liability Insurance ......................................................................................122
17.8 Professional Liability Insurance ................................................................................123
17.9 Railroad Protective Liability Insurance ......................................................................123
17.10 Aircraft Liability Insurance .........................................................................................124
17.11 Comprehensive Marine Liability Insurance ...............................................................124
17.12 General Requirements, Conditions, and Agreements Pertaining to Insurance ..........124
17.12.1 Premiums, Deductibles and Self-Insured Retentions ......................................124
17.12.2 Evidence of Insurance ....................................................................................125
17.12.3 Enforcement of Contract Provisions (non estoppel) ........................................125
BRENT SPENCE BRIDGE CORRIDOR viii

17.12.4 Renewal Policies ............................................................................................125
17.12.5 Policy Endorsements and Waivers .................................................................125
17.12.6 Waivers by the Parties ...................................................................................126
17.12.7 Changes in Insurance Requirements..............................................................126
17.12.8 No Recourse ..................................................................................................126
17.12.9 Non-Limitation of Insurance Requirements .....................................................126
17.12.10 Commercial Unavailability of Required Coverages .........................................127
17.12.11 Notice and Prosecution of Claims...................................................................127
17.12.12 Commencement of Work ................................................................................128
17.12.13 Contractor’s Failure to Comply .......................................................................128
17.12.14 Subcontractor Insurance Requirements .........................................................129
17.12.15 Disclaimer ......................................................................................................129
18 PARTNERING AND DISPUTE RESOLUTION ................................................................ 130
18.1 Partnering .................................................................................................................130

18.2 Dispute Resolution ...................................................................................................130
18.2.1 Intent ....................................................................................................................130
18.2.2 Dispute Resolution Procedures ............................................................................130
18.2.3 Matters Ineligible for Dispute Resolution Procedures ...........................................131
18.2.4 Step 1: Mitigation and On-Site Determination .......................................................132
18.3 District Dispute Resolution Committee (DDRC) ........................................................132
18.3.1 Submission of Step 2 Dispute ..............................................................................132
18.3.2 District Dispute Resolution Committee (DDRC) Composition ...............................133
18.3.3 Dispute Documentation and Rebuttal ...................................................................133
18.3.4 DDRC Meeting .....................................................................................................133
18.4 Dispute Review Board (DRB) ...................................................................................134
18.4.1 Purpose................................................................................................................134
18.4.2 Dispute Review Board (DRB) Membership ...........................................................134
18.4.3 Requirements of DRB Members ...........................................................................134
18.4.4 DRB Establishment ..............................................................................................135
18.4.5 Termination of DRB Members ..............................................................................136
18.4.6 Dispute Review Board (DRB) Member Replacement ...........................................136
18.4.7 DRB Operation and Duties ...................................................................................136
18.4.8 Procedures for Consideration of Disputes ............................................................137
18.4.9 Alternative Dispute Resolution (ADR) .......................................................................139
BRENT SPENCE BRIDGE CORRIDOR ix

18.5 Limitations on Consequential Damages ....................................................................139
18.6 Statute of Limitations ................................................................................................140
18.6.1 Additional Requirements for Subcontractor Demands ..........................................140
18.6.2 Cooperation .........................................................................................................142
18.6.3 Participation in Other Proceedings .......................................................................142
18.6.4 Waiver of Non-Monetary Relief ............................................................................142
19 DEFAULT ........................................................................................................................ 143
19.1 Contractor Defaults...................................................................................................143

19.1.1 Events of Default by the Contractor ......................................................................143
19.1.2 Right to Cure ........................................................................................................144
19.1.3 Rights of the Department .....................................................................................144
19.1.4 Opportunity for Sureties to Complete Work after Contractor Default .....................146
19.1.5 Liability of Contractor and Surety /Occurrence of a Contractor Default .................146
19.1.6 Assurance of Future Performance ........................................................................147
19.1.7 Alternative to Terminating the Contract and Completing the Work........................147
19.1.8 Termination Deemed to Constitute a Termination for Convenience ......................147
19.1.9 Damages Resulting From Contractor 's Breach or Failure to Perform ..................147
19.1.10 Cumulative Remedies ....................................................................................147
19.1.11 Continued Liability of Contractor and Surety...................................................147
19.2 Department Defaults .................................................................................................148
19.2.1 Contractor’s Right to Stop Work If Undisputed Payment Is Not Made ..................148
19.2.2 Notice and Opportunity to Cure Other Types of Department Breaches ................148
20 SUSPENSION OF WORK ............................................................................................... 149
20.1 Department Suspension for Convenience.................................................................149

20.2 Department Suspension for Cause ...........................................................................149
20.3 Contractor Responsibilities during Suspension .........................................................149
20.4 Contractor Suspension of Work ................................................................................150
21 TERMINATION FOR CONVENIENCE ............................................................................. 151
21.1 Notice of Termination................................................................................................151

21.2 Contractor Responsibilities Upon Termination ..........................................................151
21.3 Responsibility After Notice of Termination ................................................................153
21.4 Negotiated Termination Settlement...........................................................................153
21.4.1 Settlement Proposal .............................................................................................153
21.4.2 Negotiated Settlement Amount .............................................................................153
BRENT SPENCE BRIDGE CORRIDOR x

21.5 Determination of Termination Amount if Negotiations Fail ........................................154
21.5.1 Payment Amount ..................................................................................................154
21.5.2 Maximum Compensation ......................................................................................155
21.5.3 Excluded Items.....................................................................................................155
21.6 Payment of Termination Amount ..............................................................................155
21.7 Reduction in Amount of Claim ..................................................................................155
21.8 Partial Payments ......................................................................................................156
21.9 Inclusion in Subcontracts ..........................................................................................156
21.10 Limitation on Payments to Subcontractor..................................................................156
21.11 No Unearned Profit or Consequential Damages .......................................................156
21.12 No Waiver.................................................................................................................157
21.13 Dispute Resolution ...................................................................................................157
21.14 Allowability of Costs ..................................................................................................157
21.15 Suspension of Work .................................................................................................157
21.16 Partial Termination ...................................................................................................157
22 PROJECT WARRANTIES ............................................................................................... 158
22.1 Contractor Project Warranties...................................................................................158

22.2 Project Warranty Term..............................................................................................159
22.3 Obligations of Contractor ..........................................................................................159
22.4 Correction of Work....................................................................................................159
22.4.1 Removal of Portion Not in Accordance with Contract Documents.........................160
22.4.2 Failure to Correct Non-Conforming Work .............................................................160
22.4.3 Destroyed or Damaged Construction ...................................................................161
22.4.4 No Limitation of Obligations Unless Stated in Otherwise in Contract Documents .161
23 SECURITY FOR PERFORMANCE AND WARRANTIES................................................. 162
23.1 Performance and Payment Bonds ............................................................................162

23.2 Parent Company Guarantee .....................................................................................163
24 CONTRACTOR REPRESENTATIONS AND COVENANTS ............................................ 164
24.1 Maintenance of Professional Qualifications; Performance By Qualified Personnel ...164

24.2 Performance of the Work ..........................................................................................164
24.3 Compliance with Applicable Laws .............................................................................164
24.4 Governmental Approvals ..........................................................................................165
24.5 Progression of Work .................................................................................................165
24.6 Feasibility of the Work, Project; Reasonable Investigation ........................................165
BRENT SPENCE BRIDGE CORRIDOR xi

24.7 Power and Authority .................................................................................................166
24.8 Good Standing .........................................................................................................166
24.9 Authorization ............................................................................................................166
24.10 Legal, Valid, and Binding Obligation .........................................................................166
24.11 No Breach ................................................................................................................166
24.12 No Conflicts ..............................................................................................................167
24.13 No Violation of Law...................................................................................................167
24.14 No Suits ....................................................................................................................167
24.15 No Organizational Conflicts of Interest ......................................................................167
24.16 No Debarment, Suspension Ineligibility, Exclusion ...................................................167
24.17 False or Fraudulent Statements and Claims .............................................................168
24.18 Certification Regarding Lobbying & Solicitation ........................................................168
24.19 Findings for Recovery ...............................................................................................169
24.20 Ohio Ethics Law Requirements.................................................................................169
24.21 NEPA Disclosure Statement .....................................................................................169
25 OTHER CONTRACTOR OBLIGATIONS ......................................................................... 170
25.1 Maintenance of Records ...........................................................................................170

25.2 Audit and Inspection Rights ......................................................................................170
25.3 Change Order Pricing Data.......................................................................................170
25.4 Claims Audits ...........................................................................................................170
25.5 Retention of Records ................................................................................................171
25.6 Public Records .........................................................................................................172
25.7 Escrow Documents...................................................................................................173
25.7.1 General ................................................................................................................173
25.7.2 Stipulation and Acknowledgements ......................................................................173
25.7.3 Format and Contents............................................................................................174
25.7.4 Submittal ..............................................................................................................175
25.7.5 Updating of the Escrow Documents .....................................................................175
25.7.6 Storage ................................................................................................................175
25.7.7 Examination and Copying ....................................................................................176
25.7.8 Ownership ............................................................................................................176
25.7.9 Final Disposition and Return of Escrow Documents .............................................176
25.8 Coordination with Other Contractors of the Department............................................176
25.9 Interference by Other Contractors of the Department ...............................................176
25.10 Assignment of Causes of Action ...............................................................................177
BRENT SPENCE BRIDGE CORRIDOR xii

25.11 Payroll Records ........................................................................................................177
26 MISCELLANEOUS .......................................................................................................... 178
26.1 Waiver ......................................................................................................................178

26.1.1 No Waiver of Subsequent Rights..........................................................................178
26.1.2 Custom Does not Constitute Waiver .....................................................................178
26.1.3 Waivers Must be in Writing ...................................................................................178
26.2 Successors and Assigns...........................................................................................178
26.2.1 Assignment by the Department ............................................................................178
26.2.2 Assignment by the Contractor; Changes of Control; Change of Organization .......178
26.3 Limitation on Liability for Non-Performance ..............................................................179
26.4 Title and Risk of Loss ...............................................................................................179
26.5 Survival ....................................................................................................................180
26.6 No Personal Liability .................................................................................................180
26.7 Notice to Parties .......................................................................................................180
26.8 Severability ...............................................................................................................181
26.9 Governing Law .........................................................................................................181
26.10 Counterparts and Electronic Signatures ...................................................................181
26.11 Further Assurances ..................................................................................................181
26.12 Headings ..................................................................................................................182
26.13 Entire Agreement......................................................................................................182
26.14 Construction and Interpretation of the Contract Documents ......................................182
26.15 Ownership and Copyright of Submittals ....................................................................183
26.16 Intellectual Property ..................................................................................................183
26.16.1 Owner Intellectual Property ............................................................................183
26.16.2 Obligation to Assign to Department ................................................................183
26.16.3 Creation .........................................................................................................183
26.16.4 Restricted License; Restricted Use.................................................................184
26.16.5 Patented Devices, Materials and Processes...................................................184
26.17 OBM Certification and Taxes ....................................................................................184
26.18 Independent Contractor ............................................................................................184
26.19 Drug-Free Work Place ..............................................................................................185
26.20 Conflicts of Interest ...................................................................................................185
26.21 Department Property ................................................................................................186
BRENT SPENCE BRIDGE CORRIDOR xiii

LIST OF EXHIBITS
Ex. Title
A Acronyms and Definitions
B Contract Particulars
C Proposal Commitments
D Key Personnel and Principal Participants
E Technical Requirements
F Noncompliance Points System
G Pricing Process
H Force Account Provisions
I Delay Costs
J Unit Pricing Provisions
K Form of Payment and Performance Bonds
L Disadvantaged Business Enterprise (DBE) Performance Plan and Good Faith Efforts
Disadvantaged Business Enterprise (DBE) Trucking; DBE Materials and Supplies

M
Vendors (MSVs)
N Contract Provisions for Federal Aid Construction Contracts
Notice of Requirement of Affirmative Action to Ensure Equal Employment Opportunity

O and Workforce Diversity Requirements on all ODOT Administered Federally Funded
Projects
P On-the-Job Training Program
Q Prompt Payment – ODOT Let Construction Projects
R Facilitated Partnering
S Lane Value Contract
T Critical Path Method Progress Schedule
U Steel Products Made in the United States
V Surface Smoothness Requirements
W Price Fluctuation Clauses
BRENT SPENCE BRIDGE CORRIDOR xiv

Ex. Title
X Digital Data for Material Ticketing
Y Interstate Cooperative Agreement (ICA)
Z Risk Register
AA Worksite Traffic Supervisor (WTS) Disincentive
BRENT SPENCE BRIDGE CORRIDOR xv

February 17, 2023 Progressive Design-Build Contract (PDBC)
Brent Spence Bridge Corridor Project
This Progressive Design-Build Contract (hereinafter the “PDBC”) for the Brent Spence Bridge
Corridor Project is entered into as of _____ (the “Effective Date”), by and between the State of
Ohio, Department of Transportation (hereinafter the “Department”), acting through its Director
and _________________ (hereafter the “Contractor” and together with the Department,
hereinafter referred to as the “Parties”).
WITNESSTH:
WHEREAS, on _______ _____, 202_, the Department and the Commonwealth of

Kentucky, Transportation Cabinet, acting through its Secretary (hereinafter, the “Cabinet”),
executed an Interstate Cooperative Agreement Regarding the Brent Spence Bridge Corridor
Project (the “ICA”) pertaining to the development, design, installation, construction and equipping
of (a) a companion bridge to the Existing Brent Spence Bridge, (b) certain improvements to the
Existing Brent Spence Bridge, and (c) corresponding interchange improvements to the I-71/I-75
corridor in Ohio and Kentucky, all as more specifically described in the ICA and under attached
Exhibit E (Technical Requirements) (collectively, the “Project”).
WHEREAS, pursuant to the ICA, the Department was designated as the Lead Agency (as
defined in the ICA) and charged with procuring a contractor to undertake the Project.
WHEREAS, in furtherance of its duties under the ICA and pursuant to Section 5517.011
of the Ohio Revised Code and related provisions of Ohio law and federal law, the Department
issued a Request for Proposals (RFP) together with Instructions to Offerors (ITO) for the Project
on ____ ____, 2023.
WHEREAS, in response to the RFP, the Department received ___ Proposals on ____
_____, 2023.
WHEREAS, in conjunction with the Procurement Administration Committee formed under

the ICA, the Department evaluated the Proposals and determined that the Contractor’s Proposal
was the response to the RFP that provided the apparent best value as described in the ITO, which
ultimately led the Department to award this PDBC to the Contractor.
WHEREAS, this PDBC and the other Contract Documents collectively constitute a part of
the Contract and are entered into in accordance with the provisions of the RFP.
WHEREAS, the Parties intend for this PDBC to be progressive-design-build contract

obligating the Contractor to perform all work necessary to complete the Project, which work,
subject to the Department’s rights to terminate this PDBC for convenience, shall be conducted in
two phases consisting of (i) a Phase 1 comprised of (a) Sub-Phase 1A and (b) Sub-Phase 1B and
(ii) a Phase 2.
NOW, THEREFORE, in consideration of the mutual covenants herein set forth to be kept
and performed, it is agreed by the Parties as follows:

1 CONTRACT DOCUMENTS AND INTERPRETATION

1.1 Governing Contract Documents
1.1.1 Intent of the Contract Documents
The Parties acknowledge and agree that the intent of the Contract Documents is to provide for
the design, construction, administration, and completion of the Work. The Contractor hereby
covenants and agrees to perform the Work in accordance with the Contract Documents.
1.1.2 Project Methodology

The Project shall utilize a Progressive Design-Build process to procure, award, and complete
the Work as further described under Section 2 (Progressive Design-Build Approach) hereof.
1.1.3 Project Standards

The Project Standards as set forth in the Technical Requirements together with any
subsequently approved Standards Deviation(s) in accordance with Section 4.1.6 (Standards
Deviations) hereof, shall replace, in whole, all sections of the ODOT 2023 Construction Material
Specifications 100 General Provisions (ODOT C&MS 100 Series Specifications) and the
Kentucky Standard Specifications Division 100 (KYTC SS Division 100). The Project Standards
as modified by any approved Standards Deviation(s) shall be implemented by the Department in
accordance with the Technical Requirements and subsequently approved Work Package
Proposals.
Work in Ohio shall conform to ODOT Standards and Specifications, and Kentucky work starting
at the northern approach of the Companion Bridge shall conform with KYTC Standards and
Specifications. More specifically, the forward abutment backwall, substructure unit, and
expansion joint of the Companion Bridge just to the north side of the Ohio River in Cincinnati,
Ohio shall conform to the KYTC Standards and Specifications. The approach slab and all other
work north of the expansion joint shall conform to ODOT Standards and Specifications. Any
ground improvements on the north side of the Ohio River such as paving, curb, sidewalk,
drainage, etc. shall be per ODOT Standards and Specifications.
1.1.4 Contract Management

This PDBC shall be managed in accordance with the laws of the State of Ohio and the ODOT
Standards and Specifications. The laws of the Commonwealth of Kentucky and the KYTC
Standards and Specifications shall only apply to those portions of the Work expressly identified
in the Technical Requirements and subsequently approved Work Package Proposals as
requiring the application of the KYTC Standards and Specifications.
1.1.5 Conflicts Among Project Standards

The Department will resolve conflicts, ambiguities, or inconsistencies among the Project
Standards with reference to the following order of precedence:
A. The Project Scope including approved Standards Deviations;

B. The Technical Requirements (including the Base Design and Conceptual Design as
incorporated into the Technical Requirements and to the extent not superseded by the
applicable Project Scope;
C. With respect to Work in Ohio and the administration of the PDBC, the ODOT
Standards and Specifications;
D. With respect to the Work in Kentucky, the KYTC Standards and Specifications;
E. Proposal Commitments in Exhibit C (Proposal Commitments) and Special Provisions;
F. Supplemental Specifications;
G. Standard Construction Drawings applicable to the corresponding Work; and
The Contractor hereby covenants and agrees to notify the Department in writing of any conflicts,
ambiguities or inconsistencies among the Project Standards upon identification of the same,
after which the Department shall review such conflict and issue a determination, which shall be
determinative and binding upon the Contractor.
1.2 Definitions
Exhibit A (Acronyms and Definitions) contains definitions applicable to the Contract Documents.
1.3 Contract Documents Order of Precedence

In the event of conflict among the Contract Documents during the performance of the Work with
respect to a particular Phase, the order of precedence of contractual incorporation shall be:
A. Change Orders issued subsequent to the then-current Phase Change Order or Early
Work Package Change Order (as applicable);
B. The applicable Phase Change Order or any Early Work Package Change Order (as
applicable);
C. Supplemental Agreements;
D. This PDBC and Exhibits (excluding Exhibit E (Technical Requirements)); and
E. All Submittals prepared during the performance of the corresponding Work that the
Department determines in writing shall be Contract Documents.
1.4 Interpretation and Construction of Contract Documents
In the Contract Documents, where appropriate:
A. The singular includes the plural and vice versa; and

B. References to statutes or regulations include all statutory or regulatory provisions
consolidating, amending, or replacing the statute or regulation referred to as of the
Effective Date.
Unless otherwise specified, lists contained in the Contract Documents shall not be deemed all-
inclusive. The Contractor acknowledges and agrees that it had the opportunity and obligation,
prior to submission of each Work Package Proposal, to review the Contract Documents and to
bring to the Department’s attention any conflicts or ambiguities contained therein. The
Department’s answers to the questions posed during the RFP process shall in no event be

deemed part of the Contract Documents and shall not be binding in interpreting the Contract
Documents unless included in the Contract Documents pursuant to an addendum or
amendment thereto or specifically directed in writing by the Department.
The fact that the Contract Documents omit or misdescribe any detail of the Work that is
otherwise necessary to carry out the intent of the Contract Documents and delivery of the
Project, or that are customarily performed, shall not relieve the Contractor from its obligation to
perform such omitted or misdescribed details as if fully and correctly set forth in the Contract
Documents, which omissions, correction of misdescriptions, or performance of those aspects
customarily performed shall not in itself be the basis for contractual relief, or other claim at law
or in equity.
Wherever the word "including," and variants, shall be deemed to be followed by the words
"without limitation". "Or" means the inclusive connotation of "or" (i.e., meaning one, some, or all
of a number of possibilities). "May," when used in the context of the PDBC shall mean a power
or right exercisable by the Department or Cabinet (or either's designee) means the power to
exercise that right or power in its sole discretion. "May," when used in all other contexts,
indicates permission by the Department or Cabinet for the Contractor, or one of its Affiliates or
Subcontractors, to do (or refrain from doing) an action.
All references inconsistent with any terms of this PDBC, including to measurement and payment
in the Standard Specifications, shall not apply. Measurement and payment shall be deemed as
references to equivalent provisions in this PDBC.
All references to time are to prevailing Eastern Standard time. Reference to a right include any
benefit, remedy, discretion, authority, or power associated with such right.
1.5 Term
Without limiting Section 26.5 (Survival) and post-termination obligations under Section 21
(Termination for Convenience), this Contract shall take effect on the Effective Date and will
remain in effect until:
1. Terminated in accordance with the terms of the Contract Documents.

1.6 Federal Requirements
The Project will be funded in part with federal funds. Notwithstanding any provision to the
contrary in the Contract Documents, if any conflict is identified between any Federal
Requirement set forth in Exhibits L, M and N and the requirements of the Contract Documents,
the Federal Requirements shall prevail over any such conflicting provisions.
The Contractor shall comply with and shall cause its Subcontractors of all tiers to comply with all
Federal Requirements. The Contractor shall include the Federal Requirements in all
Subcontracts on the Project, so that such provisions will be binding upon each Subcontractor
working on the Project. The Contractor shall take such action with respect to any Subcontract or
purchase order as the Department may direct as means of enforcing such provisions.
A. Compliance with 23 CFR 636.109: Federal Requirements prohibit private entities from
independently preparing NEPA documents or from having any decision-making
responsibility in the NEPA process. Therefore, the Department shall retain all NEPA
decision-making responsibility and the Contractor acknowledges that it shall be strictly

limited to producing studies and providing information related to the environmental

process in accordance with all applicable restrictions of the NEPA process and FHWA
policies and rules.
B. Disadvantaged Business Enterprises: It is the policy of the Department and Cabinet
that Disadvantaged Business Enterprises (DBEs), as defined in 49 CFR Part 26, and
other small businesses shall have the opportunity to compete fairly in contracts
financed in whole or in part with public funds. Consistent with this policy, the
Department and Cabinet will not allow any person or business to be excluded from
participation in, denied the benefits of, or otherwise be discriminated against in
connection with the award and performance of any U.S. Department of Transportation
assisted contract because of sex, race, religion, or national origin, as to be further
discussed below in Section 9.2 (Labor Laws to be Observed).
1.7 Standard of Care
The Contractor shall cause all Work to conform to the Project Standards , including but not
limited to, the ODOT Standards and Specifications , the KYTC Standards and Specifications,
and FHWA and AASHTO standards, practices, policies, guidelines and specifications. The
Contractor shall develop electronic Plans in accordance with the Design standards applicable to
the Jurisdictional Design & Maintenance Authority (JDMA).
Contractor represents and warrants that it is experienced in large scale and complex public
infrastructure projects, including, but not limited to, the design and construction of similar federal
interstate systems including federal highway bridges over significant waterways, and
rehabilitation and reconfiguration of existing interstate highways and bridges in comparable
urban areas and under comparable project conditions, throughout the United States. Given that
status, experience and expertise, Contractor represents, covenants, and agrees that all of the
services to be furnished by Contractor under or pursuant to this PDBC from the Effective Date
until Completion of the Contract, and services in connection with the Project and all obligations
to meet certain requirements described herein, shall be performed in a manner consistent with
that high standard of professional care, skill, diligence and quality which prevail among design-
build firms or entities engaged in the planning, design, construction and administration of large
scale and complex public infrastructure projects of similar scope, function, size, quality, and
detail including, but not limited to, the design and construction of similar federal interstate
highway systems, including federal highway bridges over significant waterways, and
rehabilitation and reconfiguration of existing interstate highway bridges and federal interstate
highway systems, in comparable urban areas throughout the United States. (the "Standard of
Care").

2 PROGRESSIVE DESIGN-BUILD APPROACH

2.1 Project Phases
The Work shall be performed by the Contractor in two phases: (1) the Preconstruction Phase
(Phase 1) consisting of (a) the Proof-of-Concept Phase (Sub-Phase 1A), (b) the Project
Development Phase (Sub-Phase 1B); and (2) the Final Design and Construction Phase (Phase
2).
2.2 Project Meetings

The Contractor covenants and agrees to attend all of the meetings set forth herein and in
Section 2.2 (Project Meetings) of the Technical Requirements, including but not limited to (1) the
Sub-Phase 1A Scope meeting, (2) the pre-design meeting, (3) cost and schedule meetings, (4)
design progress meetings, and (5) project coordination and logistics meetings, each as
described and defined under the Technical Requirements. The Contractor further covenants
and agrees to attend such additional meetings as may be required from time to time in the
Department’s reasonable discretion for special purposes, including those meetings identified in
Exhibit R (Facilitated Partnering). The Contractor acknowledges and agrees that such meetings
will include the applicable Contractor’s Representatives, including the Contractor’s Project
Manager, the Department and, based upon the content of the corresponding meeting, other
active participants invited by the Department, including but not limited to, the City of Cincinnati,
Ohio, the City of Covington, Kentucky, the City of Fort Wright, Kentucky and the City of Fort
Mitchell, Kentucky.
2.3 Phase 1: Preconstruction

2.3.1 Pre-Sub-Phase 1A Work
Following the Effective Date and prior to the issuance of the Sub-Phase 1A NTP, to the extent
the Sub-Phase 1A Proposal has not been finalized and incorporated by reference herein, the
Department and the Contractor shall conduct regular meetings to finalize the proposal for the
Sub-Phase 1A Work to incorporate the Sub-Phase 1A Project Scope (the “Sub-Phase 1A
Proposal”). The Contractor shall submit the Sub-Phase 1A Proposal to the Department in a form
agreed to by the Parties, which shall include (a) a draft of the Sub-Phase 1A Project Scope,
including all plans, reports, and other documents required to be developed by the Contractor,
(b) a projected schedule for the performance of such Sub-Phase 1A Work, and (c) the Maximum
Sub-Phase 1A Prime Compensation.
Following the Contractor’s submission of the draft Sub-Phase 1A Proposal, the Department
shall review the draft Sub-Phase 1A Proposal, and the Department and the Contractor shall
engage in good faith negotiations to finalize the terms and conditions of the Sub-Phase IA
Proposal to be incorporated into the Sub-Phase 1A Change Order. At the Department’s request,
the Contractor shall meet with the Department to review and discuss the draft Sub-Phase 1A
Proposal and adjustments to the Sub-Phase 1A Project Scope. When the Parties have agreed
to the Sub-Phase 1A Proposal, the Department shall prepare the Sub-Phase 1A Change Order
incorporating the Sub-Phase 1A Proposal.

The Contractor’s compensation for the preparation and negotiation of the Sub-Phase 1A
Change Order shall be determined based upon agreed upon hourly rates, multiplied by the
number of hours (or portions thereof) expended by Contractor’s personnel engaged in the
preparation and negotiation of the Sub-Phase 1A Change Order and shall be paid by the
Department in conjunction with the first Estimate submitted by the Contractor after the issuance
of the Sub-Phase 1A NTP; provided however, in the event the Parties do not agree upon the
terms and conditions of the Sub-Phase 1A Proposal or fail to execute the Sub-Phase 1A
Change Order, then the Department may exercise its right to terminate this Contract under
Section 21 (Termination for Convenience).
2.3.2 Sub-Phase 1A: Proof of Concept

Phase 1 and Sub-Phase 1A shall commence upon the Department’s issuance of the Sub-Phase
1A NTP and shall continue until the earlier of (i) the Department exercising its right to terminate
this PDBC under Section 21 (Termination for Convenience), or (ii) the final completion date for
the Sub-Phase 1A Work as shown in the Phase 1 Baseline Schedule. From time to time during
the Contractor’s performance of the Sub-Phase 1A Work, the Contractor and the Department
shall meet to review the Sub-Phase 1A Project Scope and corresponding cost expenditures with
reference to the Maximum Sub-Phase 1A Prime Compensation. In the event the Department
and the Contractor identify and mutually agree upon the necessity for adjustments to the Sub-
Phase 1A Project Scope, including adjustments pertaining to the Maximum Sub-Phase 1A
Prime Compensation, the Department shall prepare a Change Order incorporating such
adjustments into the Sub-Phase 1A Project Scope.
2.3.2.1 Sub-Phase 1B: Proposal

During Sub-Phase 1A, the Department and the Contractor covenant and agree to hold regular
meetings to mutually develop the Sub-Phase 1B Scope and establish the terms and conditions
of the Sub-Phase 1B Change Order. In conjunction with the foregoing negotiations, the
Contractor shall submit to the Department a draft Sub-Phase 1B proposal (the “Sub-Phase 1B
Proposal”) in a form agreed to by the Parties, which shall include (a) a proposed scope of work
for Sub-Phase 1B Project Scope, including a list of all plans, reports, and other documents
required to be developed by the Contractor, (b) a schedule for the performance of such Sub-
Phase 1B Work and a preliminary schedule for the Phase 2 Work as required by Exhibit T
(Critical Path Method Progress Schedule) and (c) the proposed Maximum Sub-Phase 1B Prime
Compensation.
The Department shall review the Contractor’s Sub-Phase 1B Proposal and the Department and
the Contractor shall engage in good faith negotiations to finalize the Sub-Phase 1B Proposal
prior to the expiration of Sub-Phase 1A. At the Department’s request, the Contractor shall meet
with the Department to review and discuss the draft Sub-Phase 1B Proposal and adjust the
Sub-Phase 1B Scope. When the Parties have agreed to the Sub-Phase 1B Proposal, the
Department shall prepare a Sub-Phase 1B Change Order incorporating the Sub-Phase 1B
Proposal.

2.3.3 Sub-Phase 1B: Project Development

Sub-Phase 1B commences upon the Department’s issuance of a Sub-Phase 1B NTP and shall
continue until the sooner to occur of (i) the Department exercising its rights to terminate this
PDBC under Section 21 (Termination for Convenience), or (ii) the final completion date for Sub-
Phase 1B as set forth in the Sub-Phase 1B Change Order. From time to time during the
Contractor’s performance of the Sub-Phase 1B Work, the Contractor and the Department shall
meet to review the Sub-Phase 1B Project Scope and corresponding cost expenditures with
reference to the Maximum Sub-Phase 1B Prime Compensation. In the event the Department
and the Contractor identify and mutually agree upon the necessity for adjustments to the Sub-
Phase 1B Project Scope, including adjustments pertaining to the Maximum Sub-Phase 1B
Prime Compensation, the Department shall prepare a Change Order incorporating such
adjustments into the Sub-Phase 1B Project Scope.
2.3.3.1 Early Work Package Proposal

The Department may request by written notice that the Contractor submit an Early Work
Package Proposal to the Department for the performance of a part of the Phase 2 Work
concurrent with the performance of the Phase 1 Work, in which case the Contractor shall submit
that Early Work Package Proposal within 30 days of the Department’s request (or such other
period agreed by the Parties).
During the performance of the Sub-Phase 1B Work, the Contractor may elect to submit an Early
Work Package Proposal or the Department may elect to request an Early Work Package
Proposal from the Contractor. In each case, any Early Work Package Proposal shall include the
performance of a portion of the Phase 2 Work concurrent with the performance of the Phase 1B
Work.
Any Early Work Package Proposal shall be subject to the Department’s approval in its sole and
absolute discretion.
Upon submittal to the Department by the Contractor, an Early Work Package Proposal will
constitute an offer that is binding on the Contractor for the validity period stated in that Early
Work Package Proposal.
Except as otherwise expressly provided herein, each Early Work Package Proposal submitted
to the Department under this Section 2.3.3.1 shall comply with the requirements that are
established during Sub-Phase 1A for the Form of an Early Work Package Proposal.
Each Early Work Package Proposal that is agreed to by the Department in accordance with this
Section 2.3.3.1 shall be deemed a sub-set and a part of the build-up of the Phase 2 Proposal,
and any Phase 2 Change Order agreed and executed shall be deemed to incorporate any Early
Work Package Change Order.
If an Early Work Package Proposal is not accepted by the Department in accordance with this
Section 2.3.3.1, the scope of the Early Work Package shall be included within the Phase 2
Proposal submitted by the Contractor under Section 2.3.3.2 (Phase 2 Proposal).

If the scope of an Early Work Package is removed from the Phase 2 Work, the Department
may, in its sole discretion, proceed with any other action as the Department deems appropriate
for delivery of that Early Work Package, including soliciting from, negotiating with, or awarding a
contract to any other Person for any part of that Early Work Package.
2.3.3.2 Phase 2 Proposal

As part of its obligations during the performance of the Phase 1 Work, the Contractor shall
develop and submit a proposal to perform the Phase 2 Work (the “Phase 2 Proposal”). Upon the
Department’s acceptance of the Phase 2 Proposal, the Parties shall execute the Phase 2
Change Order.
Within 60 Days of the Department’s Notice, the Contractor shall submit its draft Phase 2
Proposal to the Department. Upon submittal to the Department by the Contractor, the Phase 2
Proposal shall constitute an offer that is binding on the Contractor.
The Phase 2 Proposal shall be in the form agreed by the parties during Sub-Phase 1A and shall
include:
A. The Contract Price for the Work, together with all required supporting forms and
information as required by Exhibit G (Pricing Process);
B. Proposed updates to the Baseline Project Schedule to incorporate the Phase 2 Work,
including the Substantial Completion Deadline and the Completion of the Contract
Deadline;
C. The initial cost and resource loaded schedule upon which the Contract Price for the
Phase 2 Proposal is based;
D. Subject to Section 8 (Subcontracting Requirements), an updated list of the Major
Subcontractors proposed to perform the Phase 2 Work in compliance with the
Subcontractor Bidding and Selection Plan;
E. The proposed organization chart for Phase 2 and a description of any additions or
changes to the Key Personnel, in each case in the form and with the supporting
information required under Section 10 (Authorized Representatives and Key
Personnel);
F. A report that summarizes the agreed assumptions upon which the Phase 2 Proposal
is based;
G. The Phase 2 Project Scope developed in accordance with Section 3.3 (Phase 2
Project Scope);
H. The Parties’ respective obligations for obtaining any required Governmental Approvals
or new Governmental Approvals;
I. DBE Forms required in accordance with Section 9 (Labor Requirements);
J. An updated DBE Performance Plan prepared in accordance with Exhibit L (DBE
Performance Plan and Good Faith Efforts) evidencing how the Contractor will achieve
its listed commitments for the Phase 2 Work through the utilization of DBE firms;
K. Completed certifications for the Phase 2 Proposal completed in the form agreed by the
parties during Sub-Phase 1A;

L. The Home Office Overhead Payment (HOOP) for Phase 2 as set forth in Exhibit I
(Delay Costs, Part (f) Home Office Overhead);
M. A list of the Design Documents, including all addenda thereto, used in preparation of
the GMP / Lump Sum, including a list of the clarifications and assumptions made to
supplement the information contained in the Design Documents;
N. ROW acquisition responsibilities and schedule;
O. The studies, plans, and reports generated as part of Sub-Phase 1B, including any site
investigation reports, the Utility Map, ROW Plans, Regulated Materials Report, Project
Management Plan, Quality Management System Plan, Safety Plan, and DBE
Performance Plan;
P. Description of agreed Noncompliance Points consistent with the Noncompliance
Points Table included in Exhibit F (Noncompliance Points System);
Q. Description of the agreed disincentives for Lane Closure Charges consistent with the
Lane Value Tables included in Exhibit S (Lane Value Contract);
R. Any other document, report, or information required under the terms of this Contract to
be submitted with or as part of the Phase 2 Proposal;
S. Such other supporting documentation as may be reasonably requested by the
Department; and
T. The allocation between the Contractor and the Department of the risks set forth in the
Risk Register.
Portions of the Phase 2 Proposal may be attached at the Department’s discretion, as exhibits
and incorporated into the Phase 2 Change Order and if attached will become binding Contractor
commitments under the PDBC, as amended.
2.3.3.3 Phase 2 Proposal Review and Negotiations

2.3.3.3.1 Initial Review and Negotiation of Phase 2 Proposal
The Contractor shall, upon request by the Department, present the Phase 2 Proposal to the
Department, the Cabinet, the ICE, and others invited by the Department to attend the proposal
meeting.
If the Phase 2 Proposal submitted by the Contractor is acceptable to the Department, in its sole
discretion, the Department will Notify the Contractor of its acceptance, following which:
A. The Parties will execute the Phase 2 Change Order; and

B. subject to all other conditions under Section 2.8 (Notices to Proceed) being satisfied,
the Department will issue the Phase 2 NTP.
If the Department, in its sole discretion, notifies the Contractor that the Phase 2 Proposal is not
acceptable within 60 days of delivery of the Phase 2 Proposal, then the Contractor and the
Department shall enter into good faith negotiations prior to which the Contractor shall resubmit
its Phase 2 Proposal incorporating those terms and conditions upon which the Contractor and
the Department are in agreement and the Parties shall continue to negotiate until the earlier of
(i) the Department’s acceptance of the resubmitted Phase 2 Proposal, (ii) the Department’s

election to issue a written notice to not proceed to the Contractor in accordance with Section
2.3.3.3.2 (Failure to Agree to a Phase 2 Change Order), (iii) the expiration of the term of Sub-
Phase 1B as set forth under the Sub-Phase 1B Change Order, or (iv) the Department’s election
to terminate this Contract for convenience in accordance with Section 21(Termination for
Convenience).
2.3.3.3.2 Failure to Agree to a Phase 2 Change Order

Without limiting the Department’s rights under Section 21 (Termination for Convenience), with
respect to the Phase 2 Proposal the Department may by a written notice delivered to the
Contractor either:
A. Not proceed with requiring the Contractor to submit a Phase 2 Proposal, including as
a result of a delay or failure in the satisfaction of the conditions under Section 2.3.3.2
(Phase 2 Proposal); or
B. Reject, at its sole discretion, the Phase 2 Proposal and not proceed to negotiate,
agree or execute a Phase 2 Change Order.
2.3.3.3.3 Actions Following Notice of Failure to Agree Phase 2 Change Order
Following delivery of a written notice under Section 2.3.3.3.2 (Failure to Agree to a Phase 2
Change Order) or a failure by either Party to execute a Phase 2 Change Order after the
Department’s acceptance of the Phase 2 Proposal in accordance with Section 2.3.3.3.1 (Initial
Review and Negotiation of Phase 2 Proposal):
A. The Department and Contractor may agree to a Change Order that obligates the
Contractor to perform and complete any part of the Phase 2 Work as an Early Work
Package prior to expiration of the term of Phase 1B, or such longer period as may be
agreed upon between the Parties;
B. The Contractor shall continue to perform and complete the Phase 1B Work (other than
that part of the Phase 1B Work requiring preparation of a Phase 2 Proposal or solely
for the purposes of preparing a Phase 2 Proposal);
C. Upon the Department’s written notice, the Contractor shall assign to the Department
all of the right, title, and interest of the Contractor in and to the work products
developed under the Phase 1 Work; including the Design Work;
D. Upon completion and the Department’s written acceptance of the Design Work and
any remaining obligations under the Phase 1B Work, this Contract will expire in
accordance with Section 1.5 (Term);
E. Title to the Design Work will remain vested in or pass to the Department in
accordance with Section 26.14 (Ownership and Copyright of Submittals). Any
Submittals which are provided to the Department by the Contractor or Subcontractors
as part of the Phase 1 Work may be used and disclosed by the Department in
accordance with Section 26.15 (Intellectual Property);
F. The Department may, in its sole discretion, proceed with any other action as the
Department deems appropriate for delivery of the Phase 2 Work, including soliciting
from, negotiating with, or awarding a contract to any other Person for any part of the
Phase 2 Work; and

G. The Department may, in its sole discretion, terminate this PDBC pursuant to Section
21 (Termination for Convenience) if it determines to not proceed with the Phase 2
Work.
2.4 Phase 2: Final Design and Construction
2.4.1 Phase 2 Change Order
Phase 2 shall commence upon the Department’s issuance of a Phase 2 NTP and shall continue
until the end of the term of the Phase 2 Work as set forth in the Phase 2 Change Order. If
authorized in an executed Early Work Package, Early Work on Phase 2 may begin before
Phase 1B is completed, with Early Work and Phase 1B proceeding concurrently.
The Phase 2 Change Order shall include the content specified in the Project Scope and
generally apply to all Work Packages. The executed Phase 2 Change Order shall not be
modified except through a Change Order.
2.5 Development of Change Orders and Work Packages

2.5.1 Open Book Basis of Negotiations
The development of all Change Orders and Work Packages shall be on an Open Book Basis,
and the Department and applicable Authorized Representatives shall have the right to access
all records, accounts, and other data used by the Contractor in connection with the preparation
of any draft or final Proposal, subject to the provisions of Section 25.7 (Escrow Documents).
The Contract Price shall be developed in a cooperative manner in accordance with the
guidelines and principles described in Exhibit G (Pricing Process).
2.5.1.1 Calculation of the Contract Price

The Contract Price for each Early Work Package and for the Phase 2 Work shall be computed
as the sum of the following and any other components agreed by the Department and the
Contractor:
A. In the case of an Early Work Package, the Contractor’s reasonable, good faith
estimate of the cost of the Phase 2 Work authorized therein in a format developed
pursuant to the protocols in Exhibit G (Pricing Process);
B. In the case of the Phase 2 Change Order, the Contract Price reflected in any
previously executed Early Work Packages, as well as the Contractor’s reasonable,
good faith estimate of the cost of the Work for the balance of the Design and
Construction Work in a format developed pursuant to the protocols in Exhibit G
(Pricing Process); and
C. Any allowances stipulated by the Department and a statement of their basis (e.g.,
quantities, unit prices).
The backup support for the calculation of the Contract Price shall be provided to the Department
in a manner and in the format developed pursuant to the protocols in Exhibit G (Pricing
Process).

The Department and the Contractor may agree in any Early Work Package Change Order or in
the Phase 2 Change Order that a portion or all of the Work referenced therein shall be
performed on the basis of a Lump Sum or as a Guaranteed Maximum Price (GMP).
2.5.1.2 Cost and Resource Loaded Schedule

Each Early Work Package Proposal and the Phase 2 Proposal shall include a cost and resource
loaded schedule consistent with the requirements of Exhibit T (Critical Path Method Progress
Schedule) allocating the applicable GMP / Lump Sum among the various portions of the Phase
2 Work authorized therein. The cost and resource loaded schedule shall be in the format
developed pursuant to the protocols in Exhibit G (Pricing Process). The Contractor shall revise
and re-submit the cost and resource loaded schedule to be consistent with the Release for
Construction (RFC) Plans.
2.6 Risk Identification, Pricing and Assignment

2.6.1 Risk Approach
The Parties will adopt a collaborative approach to risk identification, pricing and risk assignment
and the Contractor shall cooperate with the Department to:
A. Develop, review and make updates to the Risk Register, attached hereto as Exhibit Z
including identifying new risks and reflecting discussions and decisions made during
risk management meetings;
B. Develop proposals and seek solutions for avoiding and mitigating the risks listed on
the Risk Register during the development of the Design Documents, the development
of the Baseline Schedule, and the DBT PMP;
C. Develop qualitative and quantitative analysis of the risks;
D. Develop methods to track costs and time incurred directly associated with such risks;
E. Consider different approaches to the risk allocation for the Construction Work and
determine the risk allocation assumptions for the purposes of preparing any Early
Work Package Proposal and the Phase 2 Proposal;
F. Determine the specific mitigation actions to be taken by each Party in response to the
risks listed on the Risk Register;
G. Close in the Risk Register those risks which have been avoided or passed and
document the resolution; and
H. Otherwise assess, review and monitor risks and risk response strategies as required
under the Project Scope.
Risks applicable to the Phase 2 Work will be identified jointly during Phase 1 and the Parties
shall endeavor to agree to the probability of occurrence, ranges of potential cost impact,
potential schedule impact and mitigation measures.
The Department will consider changes to the initial allocation of risk resulting from the process
outlined in this Section 2.6.1 (Risk Approach) during the negotiation of a Phase 2 Change
Order.

2.6.1.1 Risk Register

The Parties shall develop a Risk Register with respect to the entire Project in accordance with
the guidelines and principles described in this Section 2.6 (Risk Identification, Pricing and
Assignment) and Section 18.1 (Partnering).
The Contractor shall be responsible for maintaining and updating the Risk Register. The Risk
Register shall identify potential risk issues related to Construction Work (each a “Risk Register
Event”). All Risk Register Events shall be categorized as either a Department Risk, a
Provisional Risk, or a Contractor Risk.
The Risk Register shall include dates on which the Department gives its approval of a particular
Risk Register Event, and the Risk Register Event shall be deemed as being in effect of that
date. All Phase Change Orders shall include the most-current Risk Register as of the effective
date of the Phase Change Order updated with all Risk Register Events reasonably expected to
be applicable to the Work Package.
The Risk Register shall also define mitigation strategies to be used by the Parties with respect
to Risk Register Events and identify any potential cost, if any, and/or time impacts, if any, to the
Project.
2.6.1.1.1 Department Risks

All Risk Register Events that are a Department Risk shall describe the types and extent of relief
that the Contractor shall be entitled to seek upon occurrence of the Risk Register Event. Risk
Register Events that are Department Risks may also include requirements for cost sharing
between the Parties, determining of time impacts, payment requirements, and other terms.
If a Risk Register Event occurs while performing Construction Work, and the Risk Register
Event is a Department Risk, then the Contractor shall be entitled to seek a Change Order in
accordance with Section 12.3 (Change Orders).
2.6.1.1.2 Provisional Risks

All Risk Register Events that are Provisional Risks shall specify:
1. the amount of any Provisional Sum;

2. whether the Provisional Sum is a Shared Provisional Sum;
3. the types and extent of relief (cost and/or schedule) that the Contractor is provided
upon occurrence of the Risk Register Event;
4. whether the Risk Register Event provides for relief in accordance with the PDBC if the
Provisional Sum, Shared Provisional Sum, or other identified relief is exhausted; and
5. any required mitigation efforts to be taken by the Contractor.
Event is a Provisional Risk eligible for relief, and the Provisional Sum or other relief provided in
the Risk Register is exhausted, then, if identified in the Risk Register, the Contractor may

submit a written Notice of Potential Change Order in accordance with Section 12.3 (Change
Orders).
If a Risk Register Event expressly identifies a Shared Provisional Sum, then upon achievement
of Substantial Completion, or other such date determined by the Department, any unused
Shared Provisional Sums across all Work Packages shall be allocated 90% to the Department
and 10% to the Contractor, unless otherwise negotiated during Phase1 and the Contractor’s
share shall be included in the Project finalization process as provided in Section 5.14.2.2
(Finalization).
2.6.1.1.3 Contractor Risks

Event is a Contractor Risk, then the Contractor shall not be entitled to seek any additional costs
or schedule relief for the occurrence of the Risk Register Event beyond that identified in the Risk
Register.
2.6.2 Risk Management Meetings

A. The Contractor shall participate in and attend risk management meetings with the
Department on a monthly basis together with a kick-off risk management meeting
within 45 Days of the Sub-Phase 1A NTP.
B. The agenda for the kick-off risk management meeting will be set by the Department
and will include a presentation of the then current Risk Register. The agenda for
subsequent risk management meetings will be set by the Department in consultation
with the Contractor.
C. Each of the Parties shall ensure that each risk management meeting is attended by
team members that:
1. Are consistent across all risk management meetings (as practicable);
2. Include the Department’s Project Manager, ODOT and KYTC Construction Leads,
ODOT and KYTC Design Leads, the State Cost Estimator and the Independent
Cost Estimator;
3. Include the Contractor’s Project Manager, the Construction Manager, the Design
Manager; and any other Key Personnel requested by the Department (see Section
10 (Authorized Representative and Key Personnel);
4. Include the Contractor’s Scheduler as defined in Exhibit T (Critical Path Method
Progress Schedule) and the person within the Contractor’s organization
responsible for generating the Cost Model and Opinions of Probable Cost;
5. Have specialist knowledge to effectively consider key Project risks and complex
matters relating to the Work;
6. Are authorized to discuss key Project matters on behalf of their organization; and
7. If requested by the Department, or if requested by the Contractor and with the
Department’s approval, include representatives of a Subcontractor.

D. Following the risk management meetings, the Contractor shall submit to the
Department for its review, a written report of the points discussed and agreed at the
risk management meeting and any consequential impact on the Project and shall
update and re-submit any such written report to incorporate any corrections notified to
it by the Department.
2.7 Cost Submittals
2.7.1 Sub-Phase 1A Opinion of Probable Cost
In collaboration with the Department, the Contractor shall develop an Opinion of Probable Cost
(OPC) for the Sub-Phase 1B Work and the Phase 2 Work consistent with the Base Design (as
amended during Sub-Phase 1A) and developed in accordance with Exhibit G (Pricing Process).
2.7.2 Cost Submittals during Sub-Phase 1B (GMP or Lump Sum)

The Contractor shall develop the Design Documents to a level of detail required in the Sub-
Phase 1B Project Scope and sufficient to support each Early Work Proposal or Phase 2
Proposal and update the Base Design accordingly.
The Contractor shall submit the Phase 2 Proposal for the remaining Phase 2 Work not already
authorized as an Early Work Package following the protocols in Exhibit G (Pricing Process). The
Contractor is entitled to treat such Submittals as Escrow Documents in accordance with Section
25.7 (Escrow Documents). The Contractor shall develop each GMP or Lump Sum through
negotiation on an Open Book Basis, allowing the Department to review and evaluate all cost
data and underlying assumptions, supported by a transparent and competitive Subcontractor
procurement processes further described in Section 8 (Subcontracting Requirements), and
subject to the self-performance provisions described in Section 8 (Subcontracting
Requirements).
As further described in Exhibit G (Pricing Process) Part C: (Basis for Establishing Price), the
Contract Price for each Work Package will be based on the reasonably estimated actual cost of
completing the associated Work including the Project Mark-up. The Project Mark-up will be
established as of the Effective Date and will not be renegotiated as part of any GMP or Lump
Sum Proposal negotiation.
2.8 Notices to Proceed (NTP)

2.8.1 Contractor’s Obligations
All obligations of the Contractor under this Section 2.8 shall be completed by the Contractor in
such a manner that there is no material adverse impact to the designated Completion Deadlines
under the Project Schedule.
2.8.2 Notice to Proceed for the Sub-Phase 1A Work

The Contractor shall perform or permit performance of any part of the Sub-Phase 1A Work on
the Commencement Date stated in the Sub-Phase 1A NTP. The Department will issue the Sub-
Phase 1A NTP no later than 30 Days after the following conditions have been satisfied:

A. The Contract has been executed and the Contractor has submitted and the
Department has accepted the Sub-Phase 1A Proposal;
B. The Department has received the Contractor’s required insurance certificates and
associated documentation for the Sub-Phase 1A Services in accordance with Section
17 (Insurance Requirements); and
C. The Contractor has designated the initial Contractor’s Representative in accordance
with Section 10.1 (Authorized Representatives).
2.8.3 Notice to Proceed for the Sub-Phase 1B Work
The Contractor shall not perform or permit performance of any part of the Sub-Phase 1B Work
until the Commencement Date stated in the Sub-Phase 1B NTP. The Department will issue the
Sub-Phase 1B NTP no later than 30 Days after the following conditions have been satisfied:
A. The Parties have agreed and executed the Sub-Phase 1B Change Order;
B. The Department has received the Contractor’s required insurance certificates and
associated documentation for the Sub-Phase 1B Work in accordance with Section 17
(Insurance Requirements); and
C. The Contractor has satisfied any other conditions to the issuance of Phase 1B NTP as
agreed by the Parties during Phase 1A.
2.8.4 Notice to Proceed for Early Work
The Contractor shall not commence performance of that part of the Phase 2 Work included in
any Early Work Package until the Commencement Date stated in an Early Work Package NTP.
The Department will issue an Early Work Package NTP no later than 45 Days after the following
conditions have been satisfied:
A. The Early Work Package has been authorized under a Change Order;
B. The Department has received the Contractor’s Performance Bonds and Payment
Bonds and required insurance certificates for that Early Works Package in accordance
with the Early Work Change Order; and
C. The Contractor has obtained any and all Governmental Approvals (other than any the
Department-Provided Approvals) required for the performance of that Early Work
Package.
2.8.5 Notice to Proceed for Phase 2 Work
The Contractor shall not perform or permit the performance of any part of the Phase 2 Work
until the Commencement Date stated in the Phase 2 NTP. The Department will issue the Phase
2 NTP no later than 45 Days after the following conditions have been satisfied:
A. The Parties have agreed and executed the Phase 2 Change Order;
B. The Department has received the Contractor’s Performance Bonds and Payment
Bonds and required insurance certificates and documentation for the Phase 2 Work in
accordance with the Phase 2 Change Order;

C. The Contractor has completed any other conditions precedent to the issuance of the
Phase 2 NTP under the Phase 2 Change Order;
D. The Contractor has obtained any and all Governmental Approvals (other than any
Department-Provided Approvals) required to commence the performance of the Phase
2 Work;
E. The Department has approved the DBT PMP and Quality Management System Plan;
and
F. The Department has approved the Project Baseline Schedule.
Issuance of Phase 2 NTP authorizes the Contractor to perform all other Work and activities
pertaining to the Project.
2.9 The Department’s Rights

By entering into this PDBC, the Department is not obligating itself to authorize Construction
Work on any component of the Project. In the event an Early Work Package has been executed
in accordance with the terms hereof, the Department shall be under no obligation to the
Contractor to proceed with any additional Work Package or other component of the Project,
including the Phase 2 Work.
The Department will, in its sole discretion, determine:
A. Whether or not it is in the best interest of the Department and the general public for
the Department to continue to work with the Contractor after completion of the Phase
1 Work;
B. Whether or not to require that the Contractor submit a Phase 2 Proposal;
C. Whether or not to accept any Early Work Package Proposal or execute an Early Work
Package Change Order; and
D. Whether or not to accept the Contractor’s Phase 2 Proposal or execute the Phase 2
Change Order.
The Contractor is not entitled to claim or seek payment from the Department of any amount as a
result of the Department making a determination not to proceed with requiring submittal of and
Early Work Package Proposal, a Phase 2 Proposal, a Phase 2 Change Order, or otherwise
authorize the Contractor to perform the Phase 2 Work (in whole or part) or to award the Phase 2
Work (in whole or in part) to another Person or taking any other action or exercising any other
right under this Section 2.9.
The Department's rights under Section 2.3.3.3.2 (Failure to Agree to a Phase 2 Change Order)
are without prejudice to its rights and remedies for a Contractor Default under Section 19
(Default), including where such Contractor Default results in a failure to agree to a Phase 2
Change Order, and the Department may terminate this Contract for any or no reason at its
convenience in accordance with Section 21( Termination for Convenience).

3 PROGRESSIVE DESIGN-BUILD REQUIREMENTS

3.1 Sub-Phase 1A Proposal1
The Sub-Phase 1A Proposal shall include the following activities and deliverables:
A. Project Management Plan (DBT PMP) as further described in Technical Requirements

Section 2.1;
B. The Design Quality Management System Plan as further described in Technical
Requirements Section 3;
C. Setting up the Project Management Office (PMO) as further described in Technical
D. DBE Performance Plan, DBE Outreach Plan and associated plans as described in
Technical Requirements Section 5;
E. Public information and communications support as further described in Technical
F. Environmental documents and Submittals as further described in Technical
G. Survey verification and subsurface utility memorandum as further described in
H. Utilities coordination as further described in Technical Requirements Section 9;
I. Railroad coordination as further described in Technical Requirements Section 10;
J. Right of Way Plans as further described in Technical Requirements Section 11;
K. Subsurface Geotechnical Exploration Reports as further described in Technical
L. Building Demolition and Removal Plan as further described in Technical Requirements
Section 13;
M. Development of engineering reports and development of the Base Design for
roadway, drainage, structures, drainage, sanitary and combined sewers, structures,
aesthetics, enhancements and traffic control as further described in Technical
Requirements Section 14 to Section 20;
N. Conceptual MOT Plan and narrative together with requirements for the Traffic
Management Plan (TMP) and Incident Management Plan (IMP) as further described in
O. Development of Governmental Approvals strategy and schedule to submit and obtain
all Governmental Approvals in accordance with the Baseline Schedule;
P. Preliminary engineering development including iterative exploration of value-adding
options and constructability analysis to investigate alternatives;
Q. Development of the Sub-Phase 1B Project Scope;
1The Sub-Phase 1A Proposal (incorporating the Subphase 1A Project Scope) negotiated prior to
execution of the PDBC will replace the preliminary version in this Section 3.1.

R. Development of the Project Schedule for all Phases to the stage and level of detail
described in Exhibit T (Critical Path Method Progress Schedule);
S. Updating and further development of the Project Risk Register and pricing of risks as
further described in Section 2.6 (Risk Identification. Pricing and Assignment);
T. Development of a preliminary Construction Management Plan;
U. Development of a preliminary Subcontractor Bidding and Selection Plan;
V. Validation of the Base Design to establish Proof-of-Concept;
W. Update the Base Design as necessary to determine the Opinion of Probable Cost
(OPC);
X. Development of the Cost Model and Estimating Methodology Report for development
of the GMP / Lump Sum as further described in Exhibit G (Pricing Process);
Y. Development of the OPC for the updated Base Design as further described in Exhibit
G (Pricing Process); and
Z. Development of the Sub-Phase 1B Proposal including the Maximum Sub-Phase 1B
Prime Compensation.
3.2 Sub-Phase 1B Project Scope
The Sub-Phase 1B Project Scope will be developed and agreed during Sub-Phase 1A and is
expected to include the following activities and deliverables:
A. DBT PMP for Phase 2;

B. Quality Management System Plan for Phase 2;
C. DBE Performance Plan and outreach for Phase 2 including the setting of a DBE
participation target for the Design and Construction Work;
D. Development of Railroad Agreements and Utility Agreements;
E. Further development of the Phase 2 Project Scope including evaluation of Project
Standards and Specifications;
F. Further development of the Phase 2 Baseline Schedule to the stage and level of detail
described in Exhibit T (Critical Path Method Progress Schedule);
G. Further development of the Project Risk Register and the allocation and management
of risk;
H. Assist in the development of cost and risk sharing mechanisms for Phase 2;
I. Further development of applications for Governmental Approvals and initial submittals
for applicable Governmental Approvals in accordance with the Baseline Schedule;
J. Further design and engineering development of the selected alternative including
updated constructability analysis to the appropriate level of detail for GMP / Lump
Sum proposal development for Early Work Packages and Phase 2 Change Order;
K. Preparation of procurement packages and selection of Subcontractors in accordance
with Subcontractor Bidding and Selection Plan;

L. Causing the conduct of required investigations and surveys including geotechnical and
SUE and reporting the results and setting forth the potential impact on the Project;
M. Further investigation and analyses such as structural, hydraulic, drainage,
geotechnical as necessary and appropriate to develop the Design Documents, the
Baseline Schedule, and the DBT PMP;
N. Generate the cost and resource loaded schedule necessary to establish GMP or
Lump Sum(s) for Early Work Packages and Phase 2 Change Order;
O. Coordinate with Independent Cost Estimator (ICE) and the State Cost Estimator
(SCE) to develop the GMP or Lump Sum Price Proposals using the applicable
approach in Exhibit G (Pricing Process);
P. Identify Early Work and submit Early Work Package Proposal(s);
Q. Submit Phase 2 Proposal; and
R. Required Payment Bond and Performance Bond for Early Work Packages and Phase
2.
3.3 Phase 2 Project Scope
The Phase 2 Project Scope shall include performance requirements, Project Standards,
specifications, the Technical Requirements, drawings and other documents applicable to the
Phase 2 Work, as set forth in the Phase 2 Change Order, and describing the Contractor’s
responsibilities. The Department’s initial requirements and a framework for the Phase 2 Project
Scope shall be developed and agreed between the Parties as part of the Sub-Phase 1A Work.
The Department is entitled to supplement the Phase 2 Project Scope at any time during Phase
1 and any impact, if any, upon the Phase 1 Work will be administered through the process
described in Section 12 (Contract Changes). The Contractor is responsible for identifying
additions or amendments to the Phase 2 Project Scope necessary to appropriately define and
perform the Work and, subject to the Department’s approval, such additions and amendments
may be incorporated into the Phase 2 Project Scope during Phase 1.
The Phase 2 Project Scope will be considered a part of and included in an exhibit to the PDBC
at the execution of the Phase 2 Change Order and at that time will incorporate and supersede
all matters governing the Phase 2 Work that formerly appeared in the Technical Requirements.
Subsequent changes to the Phase 2 Project Scope will be in accordance with the Change Order
process as set forth in Section 12.
3.4 Project Standards

An initial list of Project Standards is included in Section 1.2 (Governing Regulations) of the
Technical Requirements. The Department shall supplement the Standards to the Project Scope
during Phase 1 and any impact upon the Phase 1 Work, if any, will be administered through the
process in Section 12 (Contract Changes). The Contractor is responsible for identifying
additional Project Standards necessary and appropriate to define and perform the Work and,
subject to the Department’s approval, may add these to the Project Scope during Phase 1.

3.5 Reference Information Documents

3.5.1 Review of RIDs and Project Site
Project Reference Information Documents (RIDs) are available to the Contractor at the following
location:
https://www.dot.state.oh.us/Divisions/ConstructionMgt/design-build/bsb-project-
procurement/ReferenceFiles/Forms/AllItems.aspx
RIDs may include electronic copies of existing reports, plans, photographs, topographic
mapping, traffic data and projections, utility information, administrative guidelines, directives,
technical manuals, specifications, and other documents pertinent to the Phase 1 Work.
The Contractor shall, prior to the kick-off Risk Management Meeting, as described in Section
2.6.2 (Risk Management Meetings), in accordance with prudent and generally accepted
engineering and construction practices, review and analyze the RIDs, including but not limited
to, the boring logs and other geotechnical information, drainage information, and environmental
information contained therein, and inspect and examine the Project Site and surrounding
locations.
At the kick-off Risk Management Meeting, described in Section 2.6.2, the Contractor and
Department shall address (1) the Contractor’s review and analysis of the RIDs and (2) based on
Contractor’s review and analysis of the RID’s, the Contractor’s determination and assessment of
the additional testing necessary and appropriate to perform the Work.
The Contractor hereby agrees and acknowledges that as a result of its review and analysis of
the RIDs, its inspection and examination of the Project Site and surrounding areas, the
Contractor is familiar with the Project Site and acknowledges and agrees that it is responsible
for determining and obtaining any additional information and testing the Contractor deems
necessary and appropriate to perform the Work in accordance with the Contract Documents.
The Department may review Submittals based upon the RIDs and provide comments where
necessary. Such review shall not relieve the Contractor of any obligation concerning accuracy
or completeness of Submittals based upon the RIDs.
Additional Documents may be proposed to be added to the RIDs by either Party at any time
during Phase 1. For the Phase 2 Work, portions of the RIDs may be explicitly referenced in a
Phase 2 Change Order for the purpose of defining the Department’s requirements. Such
portions are deemed incorporated in the PDBC solely to the extent that they are so referenced.
In the performance of the Phase 2 Work, the Contractor may rely on the RIDs only to the extent
expressly agreed upon and set forth in the Phase 2 Change Order.
3.6 Base Design

The Department is entitled to add or amend the Base Design at any time during Sub-Phase 1A
and any impact upon the Phase 1 Work will be administered through the process described in
Section 12 (Contract Changes).
The Contractor shall validate the Base Design during Sub-Phase 1A to establish Proof-of-
Concept and shall identify, for the Department’s review and comment, any suggested

amendments to the Base Design. Upon the Department’s approval of any Contractor-identified
amendments to the Base Design, the Contractor shall update the Base Design prior to the start
of Sub-Phase 1B such that the Base Design depicts the layout of the Project and all the
requirements necessary to develop the Opinion of Probable Cost (OPC).
The contractor shall update the Base Design during Sub-Phase 1B such that the Base Design
depicts the layout of the Project used to develop the Phase 2 Change Order.
3.7 Contractor’s Responsibility for Constructability, Safety and

Life-Cycle Performance
The Contractor assumes responsibility for the professional quality, technical accuracy, timely
development and completion, and coordination of the Design Documents and all other
Professional Services. The Contractor shall review the Design Documents for constructability
and safety and shall cooperate with the Department to demonstrate that the design optimizes
maintenance, and life cycle performance of all elements of the Project and allows safe, efficient,
and cost- effective operation of the Project.
3.8 Project Schedule

The Contractor shall prepare, provide, update and maintain the Project Schedule throughout
each Phase. The Project Schedule shall be prepared in accordance with the requirements of
Exhibit T (Critical Path Method Progress Schedule) and the Project Scope.
The Contractor shall complete the Sub-Phase 1A Work in accordance with the scheduled
Completion Deadline for the Sub-Phase 1A Work established in the Project Schedule.
The Contractor shall perform and complete all Phase 1 Work, notwithstanding the execution of
any Early Work Package Change Order or Phase 2 Change Order and the resulting concurrent
obligation to perform any Early Work Package or the Phase 2 Work.
3.9 Governmental Approvals

The Parties will collaborate and fulfill their respective responsibilities during Phase 1 to obtain
necessary Governmental Approvals as defined in the Permitting Plan. Following the execution
of the Phase 2 Change Order, the Contractor will be responsible to apply for and obtain all
remaining Governmental Approvals or any modifications to Governmental Approvals already
obtained.
As part of the Phase 2 Work the Contractor shall procure all Governmental Approvals ; pay all
charges, fees, and taxes; and provide all notices necessary and incidental to the due and lawful
prosecution of the Work. It is the responsibility of the Contractor to obtain any Governmental
Approvals and pay any costs required by the local road or street agency for the use of any Right
of Way in connection with the Work.

4 DESIGN REQUIREMENTS AND SUBMITTALS

4.1 Design of the Project
4.1.1 Design Progress Meetings
The Contractor shall hold regularly scheduled design progress meetings as agreed upon by the
Parties in accordance with the Sub-Phase 1A Proposal and shall coordinate with the
Department to determine agenda topics prior to each meeting. The purpose of Design Progress
Meetings is to keep open communication between the Designer and the Department to discuss
anticipated design approaches, anticipated submissions, and status of design submissions
being reviewed by the Department. The Contractor’s senior personnel are required to participate
in all Design progress meetings. Refer to Technical Requirements Section 2.2.1.4 (Design
Progress Meeting) for further details.
4.1.2 Infeasibility of Design

Infeasibility of accepted Contractor designs, errors in the Design Documents, or improper
Contractor design assumptions shall not be considered a revision to the Contract Documents.
4.1.3 Design Responsibilities

The Contractor shall perform the Professional Services in accordance with the Governing
Regulations set forth in Section 1.2 (Governing Regulations) of the Technical Requirements as
may be amended by the Project Scope. The Contractor shall:
A. Consult with Department to understand the requirements for the Project and review
available data.
B. Advise the Department as to the necessity of providing or obtaining from others
additional reports, data or services and assist the Department in obtaining such
reports, data, or services.
C. Develop Ohio Maintenance of Traffic (MOT) plans in accordance with the Standard
Construction Drawings, Location and Design Manual, and OMUTCD. Develop
Kentucky MOT plans in accordance with MUTCD, except when the KYTC Standard
Drawings or Standard Specifications are more restrictive, the KYTC Standard
Drawing and Specifications shall govern.
D. Develop and maintain and make available to the Department a project record which
includes all significant events (changes, comments, etc.) which influenced the
development of the Project.
E. Perform any surveys (for Ohio pursuant to ODOT Survey Manual; for Kentucky
pursuant to KYTC Highway Design Manual and Standard Specifications) required for
the Project.
F. Perform hydraulic analysis as set forth in the Project Scope. The results of the
analyses must show no harmful interference to adjacent riparian vegetation (along
streams) resulting from the Work. Results must be certified by the Contractor. The
certification must state that the proposed structure will have an equal to or greater
hydraulic capacity and that a deletion or reduction of existing auxiliary openings and
overflow areas is not planned.

G. Perform any additional needed soils surveys, soils borings, and geotechnical
investigations, as appropriate with analysis necessary to develop the Design
Documents.
H. Reference the appropriate Technical Requirements, including the ODOT Construction
and Materials Specifications or KYTC Standard Specification for Road and Bridge
Construction, as appropriate, in the Plans for all Construction Work to be performed
and all Materials to be furnished.
I. Provide Plans, specifications and supporting documents for review by the Department
at each stage of plan development required by the Project Scope.
J. Provide written approval on Contractor accepted Shop Drawing(s). Contractor’s
written approval shall be provided with all Submittals to the Department.
K. Provide approval between the Designer and the individual within the Contractor’s
organization responsible for erection and temporary works regarding acceptability of
developed Engineered Drawings identified in the following ODOT C&MS Sections:
501.05.A 1(Bracing adjacent to railroad tracks), 501.05A 2 (Demolition of Structures
over or within 14 feet of railroad tracks), 501.05.A 3 (Erection of structural members
over or within 14 feet of railroad tracks), 501.05B 3 (Falsework for cast-in-place
concrete slab bridges), & 501.05B 6 (Total load applied during construction exceeds
75 percent of legal limit). Contractor’s written approval shall be provided with the
Submittal to the Department.
L. Provide concurrence on acceptability of Corrective Work Plan (CWP) as described in
ODOT C&MS Section 501.05.C (Corrective Work). Written concurrence shall be
provided with the submittal to the Department.
4.1.4 Design and Professional Services Prequalification
Design Work or Professional Services that requires prequalification may only be performed by
firms that are prequalified for that Work at the time of performance of the Design Work or
Professional Services.
The Contractor shall cause the Designer and all other Subconsultants performing Design Work
or Professional Services to be prequalified by ODOT or KYTC, as appropriate to the JDM for the
Work and in the category for which each organization is performing the Work.
The Designer and all Subconsultants’ names and addresses must be the same as those on file
with ODOT or KYTC as appropriate. All Professional Services must comply with Section
4733.16 of the Ohio Revised Code for Work within Ohio’s jurisdiction or Kentucky Revised
Statute 322.060 for work within Kentucky’s jurisdiction.
The Contractor shall interpret all references to guidelines, recommendations and considerations
within applicable design manuals as minimum requirements except when specifically excluded
within the Project Scope. The Contractor shall perform recommended evaluations if not
provided by the Department.
4.1.5 Standards Deviations

The Contractor shall perform an analysis and submit to the Department for review and approval
any proposed deviation in any Project Standard or Governing Regulation. The Contractor’s
analysis shall indicate the reasons for a Standards Deviation and shall propose an acceptable

solution. A Standards Deviation shall not be included in the Design Documents without the
Department’s written approval.
4.1.6 Engineering Properties of Subsurface Conditions

The Contractor shall determine the engineering properties of all subsurface conditions and
Materials for design and construction of the Work. The Contractor shall base such subsurface
determinations on exploration data and information provided by the Department and procured
by the Contractor, local and regional geologic and hydrogeologic mapping and publications, and
experience in similar geologic settings and construction. The Contractor covenants and agrees
to perform all interpretation and interpolation of geotechnical information in a manner which
would be reasonably exercised by members of the engineering profession practicing under
geological and regional conditions similar to those of the site of the Project. The Contractor
acknowledges and agrees that all use of, interpretation of, and interpolation of the geotechnical
data and information for design and construction, both at specific exploration locations and
between locations, are the sole responsibility of the Contractor.
4.2 Department’s Responsibilities for Design Activities

The Contractor shall submit the Design Documents to the Department. The Department
reserves the right to review and comment on the Design Documents in accordance with Section
4.8 (Department Review of Contractor Submittals). The Contractor shall cause the Designer and
Subconsultants, if appropriate, to be available throughout the Term to answer questions, issue
clarifications, and correct errors and omissions.
The Department shall have the discretion to determine the level of review required for any
Submittal in accordance with Section 4.7 (Contractor Submittals Listing & Schedule). The
Contractor bears sole responsibility for the quality, accuracy, completeness, and compliance
with the requirements of the Contract Documents regardless of the Department’s level of
review.
The Department’s failure to identify improper or incorrect design (including any errors and
omissions in the Base Design) shall not, in any way, prevent later rejection of a Design
Document if an improper or incorrect design is discovered, or obligate the Department to grant
acceptance under Section 5.14.1 (Partial Acceptance) or Section 5.14.4 (Completion of the
Contract and Continuation of Contractor’s Responsibilities).
4.3 Errors and Omissions

The Contractor shall be responsible for the accuracy of the Design Work and shall promptly
make necessary revisions or corrections resulting from its negligence, errors or omissions. The
Department’s use of the Contractor’s services shall not relieve the Contractor of any
responsibility for subsequent correction of its negligent act, error or omission or for clarification
of ambiguities.
In the event of any negligent act, error or omission which the Department determines to be the
responsibility of the Contractor, the correction, repair or reconstruction of which may require
additional field or office work, the Contractor shall perform such corrective action as may be
necessary.

The Contractor shall be responsible for damages including but not limited to economic waste,
direct and indirect damages incurred as a result of its negligent act, error or omission, and for
losses or costs to repair or remedy construction.
4.4 Financial and Cost Accounting Requirements for Errors and

Omissions
When notified by the Department of a potential error or omission in the Work, the Contractor
shall establish and maintain financial and related cost accounting records to segregate all costs
associated with evaluation and correction of the potential error or omission. All costs associated
with errors and omissions, including directly-associated costs (e.g., legal, accounting, and other
professional fees), shall be borne by the Contractor and may not be charged to the Department
directly or through overhead with respect to this Project.
4.5 Submittals and Documentation

The Contractor shall make all Submittals to the Department in accordance with the Technical
Requirements Section 2.1.3 (Document Control) and as set forth in in the Project Scope. The
Contractor covenants and agrees to provide all information requested by the Department as a
result of a request made pursuant to the Ohio Open Records Law Ohio Rev. Code sec. 149.43
et seq. within the timeframe provided to the Contractor in conjunction with such request.
4.6 IDQF Review of Submittals

As further described in Technical Requirements Section 2.3 (Design Submittals), the Contractor
shall schedule a Submittal meeting with the IDQF to present each design Submittal to the
Department and invite other agencies as needed. The Contractor covenants and agrees to
cause the IDQF to: (i) complete a formal review of the Submittals and all Design Documents, to
ensure that all contractual and scope requirements are achieved, and (ii) verify that there are no
conflicts between Buildable Units in such Submittals being reviewed and any previously
approved Design Documents. Upon IDQF written verification that a design Submittal is in
compliance with the foregoing requirements, the Contractor shall submit Design Documents to
applicable agencies requiring review and upload electronic copies to the Department’s
Electronic Content Management System (ECMS).
4.7 Contractor Submittals Listing & Schedule

A. The Contractor shall submit to the Department for review and acceptance, a
comprehensive list and schedule for Contractor Submittals with the dates of each
Submittal in order to achieve the Completion Deadlines (the “Submittals Listing &
Schedule”).
B. In its Submittals Listing & Schedule, the Contractor shall distinguish between
Submittals required to be reviewed and approved by the Department and those for
informational purposes only. In addition, the Submittals Listing & Schedule shall
include:
1. A description of any Contractor Submittals that are not already described in the
Contract Documents including identifying the contents and purpose;

2. The planned schedule for submittal of the Contractor Submittals, which shall be
consistent with the Project Schedule and any time period for Submittals under this
PDBC;
3. The required or proposed level of review to be provided by the Department; and
4. Any required reviews or approvals of Contractor Submittals by third parties.
C. The Submittals Listing & Schedule shall be submitted as part of the DBT PMP for the
Sub-Phase 1A Work and shall include a list of Contractor Submittals to be submitted
to the Department in relation to the performance of the Phase 1 Work.
D. The Contractor shall maintain, update, and re-submit its Submittals Listing &
Schedule:
1. At least monthly if there have been any material changes in the prior month;
2. Together with its initial submittal and each subsequent submittal of its Design
Quality Management Plan, so as to include all Design Documents;
3. Together with submittal of any Early Work Package Proposal;
4. Together with submittal of its Phase 2 Proposal; and
5. During the performance of the Phase 2 Work to establish all Submittals associated
with Final Design, the Construction Work and the As-Built Drawings.
E. The Department will complete its review of the initial Submittals Listing & Schedule
and any update to it, issue its comments, and confirm its acceptance or rejection,
within 15 Days of receipt. If the Department does not provide its acceptance or
rejection or provide comments within such time period, the Contractor may proceed to
submit Contractor Submittals in accordance with the Submittals Listing & Schedule.
4.8 Department Review of Contractor Submittals
A. The Contractor shall submit all Contractor Submittals to the Department within the
time periods under the accepted Submittals Listing & Schedule.
B. For those Contractor Submittals which have been designated as requiring the
Department’s review and approval, unless a different review period is agreed between
the Parties and inserted in the Submittals Listing & Schedule, the Department will
complete its review, issue its comments, and confirm its approval or rejection, within
15 Working Days of the Department’s receipt beginning on the first Working Day
following the Submittal Date.
C. Whenever there are more than five concurrent Submittals within an individual
discipline under review by the Department, an additional five Working Days shall be
added to the prescribed review period for each additional increment of 5 concurrent
Submittals within that discipline. For example, if there are between six and 10
Submittals in concurrent review within the “roadway” discipline, then an additional five
Business Days shall be added to the prescribed review period for each Submittal
within that discipline; if there are between 11 and 15 Submittals in concurrent review,
then an additional 10 Working Days shall be added to the prescribed review period for
each Submittal within that discipline, and so forth. For the purpose of this Part C, one
Submittal may not contain more than 200 sheets excluding technical reports,
calculations and cross sections sheets unless approved by the Department.

D. If the Department does not provide its approval or disapproval of a Contractor

Submittal within the review period set forth in item B above, the Contractor shall
provide a Notice to the Department stating the date on which the Department’s
disposition should have been received. If the Department fails to respond within a
further 2 Working Days thereafter, the Contractor may seek an extension of time and
reimbursement under Section 13 (Time Extension to the Completion Deadlines and
Payment for Excusable Delays) if the absence of Department approval or disapproval
of the Submittal materially adversely impacts the Critical Path of the Baseline
Schedule.
4.9 Contractor Analysis of the Department Review Comments
A. The Contractor shall provide Notice to the Department in writing within 7 Days after
receipt of any Department comments to a Contractor Submittal if the Contractor
determines that incorporation of any comment(s) would cause the Submittal to
become deficient in any respect, would materially increase the scope of the Work,
amount to a Change Order, would give rise to a delay that materially adversely
impacts the Critical Path of the Baseline Schedule or would otherwise materially
adversely affect in any manner the performance of the Work. Upon receipt of a
notification from the Contractor, the Department will have the right to modify the
comment(s) and/or address the issues raised in the Contractor’s notice in question.
B. The Contractor’s failure to provide Notice to the Department in accordance with this
Section 4.9 shall constitute the Contractor’s full acceptance of the Department’s
comments, the Contractor’s full acceptance of all responsibility for resulting changes
to the Contractor Submittals, and the Contractor’s full acceptance that the comment
does not constitute a change to the Work.
C. Prior to execution of the Phase 2 Change Order, the Contractor shall review and
evaluate any Department comments to a Contractor Submittal provided as part of the
Phase 1 Work for the purposes of the preparation of its Phase 2 Proposal, including
providing recommendations to the Department for different approaches so as to
achieve value for money and cost and schedule certainty for the Phase 2 Work.
D. Following receipt of the Contractor’s recommendations, the Department will resolve
the treatment and approach to the comment as it applies to the Phase 2 Work and
provide Notice to the Contractor of any related assumptions to apply to the Phase 2
Proposal.
4.10 Contractor Revision and Re-submittal
The Contractor shall revise all Contractor Submittals to include a disposition of all the
Department-provided comments within 14 Days of receipt of the comments from the
Department (including revisions to previous comments) and resubmit such Contractor
Submittals to the Department for review and approval by the Department.
4.11 Plans and Working Drawings

The Plans shall show details of structures, the lines and grades, typical cross-sections of the
Roadway, and the location and design of structures. The Contractor shall keep at least one set
of Plans at the Project Site at all times.

The Contractor shall prepare Working Drawings when required by the Contract Documents and
after verifying applicable field and plan elevations, dimensions, and geometries. Where Work
consists of repairs, extension, or alteration of existing structures, the Contractor shall take
measurements of existing structures to accurately join old and new Work.
Unless otherwise indicated, the Department will review Working Drawing Submittals to ensure
conformance with the Contract and to provide the Contractor a written response to document
the results of its review as follows:
A. “ACCEPTED” – The Department accepts the Submittal for construction, fabrication, or

manufacture.
B. “ACCEPTED AS NOTED” – The Department accepts the Submittal for construction,
fabrication, or manufacture, subject to the Contractor’s compliance with all Department
comments or corrections to the Submittal. If also marked “RESUBMIT,” the
Department still accepts the submittal, but requires the Contractor to provide a
corrected submittal to the Department.
C. “NOT ACCEPTED” – The Department does not accept the Submittal. The Submittal
does not conform to Contract requirements. Do not begin construction, fabrication, or
manufacture of Work included in the Submittal. Revise the submittal to comply with
Department comments or corrections and Contract requirements and provide the
revised Submittal to the Department for another review.
“Accepted” and “Accepted as Noted” Working Drawings are Contract Documents. The
Department’s acceptance will not relieve the Contractor of responsibility to complete the Work
according to the Contract Documents nor relieve a signatory engineer’s responsibility as defined
by OAC 4733-23 and KRS 322.340.

5 CONTROL OF WORK
5.1 Authority of the Department
The Department shall determine in its sole discretion:
A. The quality and acceptability of Materials furnished;

B. The quantity of Work performed;
C. The Contractor’s rate of progress;
D. The interpretation of the Contract Documents;
E. Acceptable fulfillment of the Contract;
F. Contractor compensation; and
G. The acceptability of the Contractor’s Design and Design Documents.
The Department’s acceptance of the Work or any portion thereof does not constitute a waiver of
the Department’s right to pursue any and all legal remedies for Nonconforming Work or Work
performed by the Contractor in an un-workmanlike manner.
The Department will not supervise, direct or have control or authority over, nor be responsible
for the Subcontractors’ or Subconsultants’ means, methods, techniques, sequences or
procedures of construction, design, or the safety precautions and programs incident thereto, or
for any failure of Contractor to comply with Laws and regulations applicable to the furnishing or
performance of the Work.
The Department will not be responsible for the Contractor’s failure to perform or furnish the
Work in accordance with the Contract Documents. The Department may order immediate
remediation of conditions which endanger the public safety or welfare as set forth in Section
5.10.6 (Public Convenience and Safety), Section 5.11.1 (Maintenance During Construction),
Section 5.11.2 (Failure to Maintain Roadway or Structure), Section 5.11.6 (Protection and
Restoration of Property), Section 5.12 (Contractor’s Use of the Right of Way or Other
Department-Owned Property), and Section 17 (Insurance Requirements).
5.2 Phase 2 Preconstruction and Progress Meetings

The Contractor shall meet with the Department for a preconstruction meeting before beginning
the Construction Work, including Construction Work conducted pursuant to any Early Work
Package.
At or before the preconstruction meeting, the Contractor shall submit the updated Progress
Schedule to the Department and furnish to the Department a list of proposed Subcontractors
and major Material suppliers not included in the Phase 2 Change Order or Early Work Package,
as applicable. If the Contractor fails to deliver the required submissions to the Department at or
before the preconstruction meeting, the Department may order the meeting suspended until the
required submissions are furnished to the Department. The Contractor shall not be permitted to
commence the corresponding Construction Work until the meeting is reconvened and
concluded or the Department gives specific written permission to proceed with the
corresponding Construction Work.

The Contractor covenants and agrees to conduct monthly Progress Meetings with the
Department unless an alternate frequency is otherwise determined and agreed upon in writing
by the Department at the preconstruction meeting. The Contractor covenants and agrees to
coordinate with the Department to determine agenda topics prior to each meeting. The purpose
of Progress Meetings is to maintain and foster open communication between the Contractor and
the department. The Contractor’s senior personnel team shall participate in all Progress
Meetings. The agendas for the Progress Meetings shall include Partnering in accordance with
the department facilitated partnering process as described in Exhibit R (Facilitated Partnering).
5.3 DBT Project Management Plan

The Contractor shall develop a DBT Project Management Plan (DBT PMP) in accordance with
Section 2.1 (DBT Project Management Plan) of the Technical Requirements, for management,
administration, design, Quality Management System Plan, geotechnical investigations,
construction, testing, environmental monitoring and compliance.
After adoption of the DBT PMP, the Contractor covenants and agrees to implement the DBT
PMP to accomplish the quality functions and objectives set forth in the Technical Requirements
as may be amended in the Project Scope.
5.4 Cooperation Between Contractors

Intentionally omitted.
5.5 Authority and Duties of Inspector

The Department, acting through its Inspectors, is authorized to inspect the Work and the
preparation, fabrication, or manufacture of Materials; provided however, Inspectors are not
authorized to alter or waive requirements of the Contract Documents and the Contractor shall
not be entitled to rely on any such alteration or waiver by any such Inspector. Inspectors are
authorized to: (i) notify the Contractor of Work that does not conform to the Contract
Documents; (ii) reject Materials that do not conform to Specification requirements; and (iii) until
the issue is decided by the Department, suspend portions of the Work if there is a question
regarding the Contract Documents, use of unapproved Material, or safety. Inspectors are not
obligated or authorized to provide direction, superintendence, or guidance to the Contractor, its
crew, its Subcontractors, Subconsultants, or Suppliers to accomplish the Work.
Any action or inaction of the Inspector does not constitute a waiver of the Department’s right to
pursue any and all legal remedies for Nonconforming Work, or work performed by the
Contractor in an un-workmanlike manner.
5.6 Inspection of Work

The Contractor acknowledges and agrees that the Department, in its sole discretion, may elect
to inspect Materials and the Work. The Contractor covenants and agrees to provide the
Department or its representatives, including its Inspectors, with access to the Work, information,
and assistance necessary to conduct a complete inspection of the Work or applicable portions
thereof. Notwithstanding anything to the contrary contained herein, the Contractor shall notify
the Department at least 24 hours prior to all testing and inspection needs. Modifications to
previously provided inspection notices are considered new notices and will follow the 24 hour
prior notice requirement.

When directed by the Department, the Contractor shall remove or uncover completed Work to
allow inspection. After the Department’s inspection, the Contractor shall restore the Work
according to the requirements of the Contract Documents. If the inspected Work conformed to
the requirements of the Contract Documents, the Department will pay for uncovering or
removing and restoring the Work as Extra Work according to Section 12 (Contract Changes).
The Department will not pay for uncovering or removing and restoring Nonconforming Work.
The Department shall have the discretion to determine the level of inspection for any item of
Work. The Contractor bears sole responsibility for the quality of Work and compliance with the
Contract Documents regardless of the Department’s level of inspection.
The Department’s failure to identify Nonconforming Work shall not, in any way, prevent the
Department’s subsequent rejection if Nonconforming Work is discovered, or obligate the
Department to grant acceptance under Section 5.14.1 (Partial Acceptance) or Section 5.14.4
(Completion of the Contract and Continuation of the Contractor’s Responsibilities).
Inspection of Work may also include inspection by representatives of KYTC, the federal
government, other Government Entities or railroad corporations that pay a portion of the cost of
the Work. Such inspections will not make such organizations a party to the PDBC and will not
be considered as interfering with the rights of the Contractor or Department.
5.7 No Waiver of Legal Rights

The following Department actions do not waive the Department’s rights or powers under the
Contract, or any right to damages herein provided:
A. Inspection by the Department or by any of Department Inspectors or representatives.

B. Review of Design Documents by the Department’s Project Manager, or any of the
Department’s representatives.
C. Any order, measurements, or certificate by the Department or its representatives.
D. Any order by the Department or its representatives for the payments of money or the
withholding of money.
E. Acceptance of any Work.
F. Any extension of time.
G. Any possession taken by the State or its representatives.
The Department will not consider any waiver of a breach of this Contract to be a waiver of any
other subsequent breach.
5.8 Furnishing Right-of-Way

The Department will provide, or with respect to Kentucky cause the Cabinet to provide, the
Contractor with legal access rights to the Project ROW during the performance of the Phase 1
Work in compliance with Section 11 (Right-of-Way) of the Technical Requirements as may be
amended in the Project Scope, including ingress and egress from a public Road.
The Contractor shall comply with the requirements of ORC 5517.01, 29 CFR 1926, KRS
322.470 and shall notify the property owner or person in possession of the property at least 48

hours prior to entry into said property. The notification format shall be approved by the
Department (or the Cabinet with respect to property in Kentucky) before use.
The Sub-Phase 1A NTP shall constitute permission for the Contractor to occupy public Right-
of-Way within the Project area for the performance of the Phase 1 Work in compliance with
Section 11 of the Technical Requirements (Right of Way) as may be amended in the Project
Scope.
The Department, with respect to Project ROW located in Ohio, and the Cabinet, with respect to
Project ROW in Kentucky, are responsible for securing all necessary Project ROW in advance
of Construction Work. Provisions governing access dates to each parcel are set forth in Section
11 of the Technical Requirements as may be amended in the Project Scope. Any exceptions will
be identified at the time of the Phase 2 NTP. If any parcels have not already been cleared for
access by the Contractor on the date of the Phase 2 NTP, the Department will identify in the
Phase 2 Change Order the specific dates such parcels will be made available to the Contractor.
Where proposed Work is beyond the Project ROW limits, the Contractor shall not commence
any Construction Work outside of the Project ROW until notified by the Department that the
needed additional Project ROW has been acquired and is otherwise available for Construction
Work.
5.9 Unauthorized and Nonconforming Work

5.9.1 Nonconforming and Unauthorized Work
The Contractor shall correct any Nonconforming Work in the manner and within the time frames
required by the Contract Documents, at no cost to the Department. The Department may reject
or require the Contractor to remedy any Nonconforming Work and/or identify additional Work
that must be done to bring the Project into compliance with Contract Document requirements at
any time prior to Completion of the Contract, whether or not previous oversight, spot checks,
audits, reviews, tests, inspections, acceptances, or approvals were conducted by any Person.
Unauthorized Work is Work done contrary to the instructions of the Department, beyond the
plan lines, or any Extra Work done without the Department’s permission. The Department will
not pay for Unauthorized Work. The Department may order the Contractor to remove or replace
Unauthorized Work at no expense to the Department.
If the Contractor fails to comply with the Department’s orders under the provisions of this
Section 5.9.1 (Nonconforming and Unauthorized Work), the Department may correct or remove
and replace Nonconforming Work or Unauthorized Work and deduct the costs from the Contract
Price.
5.9.2 Nonconforming Work Compensation Adjustment

The Department may, in its sole discretion, accept any Nonconforming Work without requiring it
to be fully corrected, and shall be entitled to a reduction in the Contract Price in an amount
determined by the Department, equal, at the Department’s election, to:
1. The amount allocated to such Work in the Price Proposal;

2. The Contractor’s cost savings associated with its failure to perform the Work in
accordance with the Contract Document requirements; or

3. The amount deemed appropriate by the Department to provide compensation for

impacts to affected parties such as future maintenance and/or other costs relating to
the Nonconforming Work.
5.10 Construction Requirements
5.10.1 Prosecution and Progress
The Contractor shall notify the Department in writing at least 24 hours before starting the Work.
If the prosecution of the Work is suspended, the Contractor shall notify the Department in writing
a minimum of 24 hours in advance of resuming construction.
The Contractor shall pursue the Work diligently and continuously as to achieve the Completion
Deadlines for each Milestone and achieve Substantial Completion of the Project by the
Substantial Completion Deadline.
5.10.2 Limitation of Operations

The Contractor shall limit operations to prevent unnecessary inconvenience to the traveling
public in accordance with the MOT. If the Department concludes that the extent of the
Contractor’s Work unnecessarily inconveniences the public or concludes limiting operations are
necessary to protect existing facilities or completed Construction Work from damage, the
Department will require the Contractor to finish portions of Work in progress before starting new
Work.
5.10.3 Load Restrictions

The Contractor shall comply with all legal load restrictions when hauling Materials on public
roads.
The Contractor shall operate Equipment of a weight or so loaded as to not cause damage to
Structures, to Roads, or to other types of construction. The Contractor shall comply with ODOT
C&MS subsection 501.05.B.6 (Total load applied to a structure during construction exceeds 75
percent of legal limit) for allowed loads on Bridges for Work undertaken in Ohio and KYTC SS
105.10 for Work undertaken in Kentucky.
The Contractor shall not (i) use off road vehicles on bases or pavements unless permitted by
the Department in writing, (ii) haul on concrete pavement, base, or Structures before the
expiration of the curing period or (iii) exceed the legal load limits in this section unless permitted
by the Department in writing.
5.10.4 Haul Roads

Prior to hauling Equipment or Materials, the Contractor shall provide written notification to the
Department of the specific roads or streets on the haul route. If the haul route includes roads
and streets that are not under the jurisdiction and control of the State of Ohio or the
Commonwealth of Kentucky, as applicable, and the Department determines that State
controlled roads are not available or practical for a haul route, the Contractor may use local
roads and streets that are not restricted by the relevant Government Entity. If the Department
determines that state controlled roads are available and practical for a haul route, the Contractor

shall revise the proposed haul route provided in the original written notification and resubmit to
the Department.
If the Department determines that haul route roads were properly used by the Contractor for any
purpose in connection with the Work and that the haul route roads were damaged, then the
Department may order the Contractor to perform immediate and practical repairs to ensure
reasonably normal traveling conditions. The Department will pay for repairs according to
applicable provisions of Section 12 (Contract Changes).
The Contractor shall not file a Claim for delays or other impacts to the Work caused by disputes
with Government Entities regarding the use of local roads or streets as haul routes. The
Contractor shall save the Department harmless for any closures or hauling restrictions outside
the Project Limits beyond the control of the Department.
5.10.5 Restoration of Surfaces Opened by Permit

The Jurisdictional Design and Maintenance Authority (JDMA) may grant to the municipality in
which the Work is performed a reservation of rights to construct or reconstruct any utility service
in the highway or street or to grant permits for same, at any time.
Any individual, firm, or corporation wishing to make an opening in the highway must secure a
permit from the JDMA. The Contractor shall allow parties bearing such permits, and only those
parties, to make openings in the highway. When ordered by the Department, the Contractor
shall make in an acceptable manner all necessary repairs due to such openings. The necessary
repairs will be paid for as Extra Work, or as provided in the Contract Documents, and will be
subject to the same conditions as the original Work performed.
5.10.6 Public Convenience and Safety

At all times, the Contractor shall ensure that the Work interferes as little as possible with the
normal unrestricted flow of traffic. The Contractor shall provide for the safety and convenience
of the general public and the residents adjacent to the Project Site and the protection of persons
and property. Furthermore, the Contractor shall not close any highways or streets unless
specifically allowed by the Contract per Section 11.3.2 (Lane Closure Deductions).
Any illegal drugs, drug paraphernalia, mobile drug labs or dumps, weapons or firearms found on
the Project ROW shall be considered a potential crime scene and shall not be handled or
moved. In such an event, the Contractor shall immediately notify law enforcement and the
Department.
5.10.7 Sanitary Provisions

The Contractor shall provide and maintain sanitary accommodations in a neat condition for the
use of employees and Department representatives that comply with the requirements of the
State and local Boards of Health, or of other Government Entities having jurisdiction over the
Project.

5.10.8 Bridges over Navigable Waters

The Contractor shall conduct all Work on navigable waters so that it does not interfere with free
navigation of the waterways and that it does not alter the existing navigable depths, except as
allowed by permit issued by the U.S. Coast Guard.
5.10.9 Use of Explosives

Use of explosives is prohibited for this Project.
5.10.10 Unmanned Aircraft Systems

If the project requires or anticipates the use of unmanned aircraft systems within Project Right-
of-Way, the Contractor will follow proper risk assessment and federal regulations in accordance
with ODOT Supplement 1132 in Ohio and KRS Chapter 183 in Kentucky.
5.11 Damage to the Work and Maintenance During Construction

5.11.1 Maintenance During Construction
The Contractor shall maintain the Work during construction and until the Department accepts
the Work under Section 5.14.4 (Completion of the Contract and Continuation of Contractor’s
Responsibilities), except for portions of the Work accepted under Section 5.14.1 (Partial
Acceptance). The Contractor is responsible for damage done by its Equipment.
The Contractor shall maintain the previous courses or subgrade during all construction
operations, when placing a course upon other courses of embankment, base, subgrade,
concrete or asphalt pavement, or other similar items previously constructed. This maintenance
includes, but is not limited to draining, re-compacting, re-grading, or if destroyed, the removal of
Work previously accepted by the Department.
The Contractor shall maintain the post construction storm water Best Management Practice
(BMP) features. The Contractor shall prevent sediment laden surface water from coming in
contact with the BMP features during construction.
The Contractor shall maintain the Work during the Construction Period and before acceptance
of the Work under Section 5.14.4, except for portions of the Work accepted under Section
5.14.1. The Department will not provide additional compensation for maintenance Work. All cost
of maintenance Work during construction and before the project is accepted shall be included in
the Contract Price and the Contractor will not be paid an additional amount for such Work.
Snow and ice control during the Construction Period will be by the JDMA and applicable
Government Entities. The Contractor’s incident management responsibilities during the
construction Period shall be in accordance with the Incident Management Plan (IMP) to be
developed by the Contractor as further described in Technical Requirements Section 21
(Maintenance of Traffic) as may be amended in the Project Scope.
The Contractor shall not be required to assume any maintenance responsibilities until NTP for
Construction Work pursuant to an Early Work Package Change Order or the Phase 2 Change
Order, following which the Contractor shall be responsible for maintenance of existing facilities
within the Project Limits as described herein. The Contractor shall not be required to assume

maintenance responsibility for the Existing Brent Spence Bridge until the start of physical work
on the Existing Brent Spence Bridge and only until partial acceptance of the physical work on
the Existing Brent Spence Bridge or Completion of the Contract whichever is the earlier.
The Contractor shall perform a baseline inspection and submit a baseline inspection report that
shall be used as a benchmark to determine the minimum required maintenance condition of all
existing project elements throughout the Construction Period. Subject to the requirements of the
Phase 2 Change Order, the Contractor shall maintain all elements within the Project limits such
that the baseline element condition is equaled or exceeded.
5.11.2 Failure to Maintain Roadway or Structure

If the Contractor, at any time, fails to comply with the provisions of Section 5.11.1 (Maintenance
During Construction), the Department will immediately notify the Contractor of such
noncompliance. If the Contractor fails to remedy unsatisfactory maintenance within 24 hours
after receipt of such notice, the Department may immediately proceed to maintain the Project,
and deduct the entire cost of this maintenance from monies due or to become due the
Contractor in accordance with the Contract Documents.
5.11.3 Contractor Responsibility for Work

Until the Department accepts the Work during the Final Inspection according to Section 5.14.2
(Final Inspection and Substantial Completion), the Contractor is responsible for the Project and
shall take every precaution against injury or damage to any part thereof by the action of the
elements or from any other cause, whether arising from the execution or from the non-execution
of the Work. The Contractor shall rebuild, repair, restore, and make good all injuries or damages
to any portion of the Work occasioned by any of the above causes before Completion of the
Contract. The Contractor shall bear the expense of the repairs except when damage to the
Work was due to a Force Majeure Event, as set forth in Section 14 (Force Majeure Events),
without the fault or negligence of the Contractor.
5.11.4 Damage by Traffic Using Substantially Completed Work

In the event that the Department determines that damage to completed permanent items of
Work results from traffic using a substantially completed section of Roadway, the Department
may compensate the Contractor for repair of the damage as authorized by Change Order.
Additionally, if traffic permanently damages beyond use the following temporary maintenance of
traffic items, the Department will compensate the Contractor for replacement of the item as
authorized by Change Order:
1. Arrow board;
2. Work zone signal, pole, or controller;
3. Lighting unit or pole;
4. Changeable message sign;
5. Work Zone Impact Attenuator;
6. Truck Mounted Impact Attenuator; or
7. Digital Speed Limit Sign Assembly.

To receive compensation for the damage to permanent items of Work or temporary

maintenance of traffic items named above, the Contractor must first meet the following
requirements.
A. Notify the Department of each occurrence of damage in writing within 10 Days.

B. Contact the local law enforcement agency to determine if the accident was
investigated and a report filed. If an accident report was filed, obtain the report and
notify the motorist, and copy their insurance company, via certified mail informing both
that the motorist is responsible for the cost of damage repairs. If the motorist does not
respond within 30 Days, make a second attempt to contact the motorist and copy the
insurance company via certified mail.
C. If no response is received from the motorist or insurance company within 30 Days of
the motorist receipt of the second notice, send a letter to the Department within
eighteen months of the event and include documentation of good faith effort to seek
recovery from responsible parties.
D. The Department will make an adjustment according to Section 13 (Time Extension to
the Completion Deadlines and Payment for Excusable Delays) and Section 12.8
(Changes and Extra Work Price Determination) to compensate the Contractor for the
added costs and delays, if any, resulting from the repair or replacement of damaged
Work.
If there is no accident report on file and no means of identifying the responsible motorist, the
Contractor will be compensated to repair the damaged Work.
In case of suspension of Work by the Contractor or under the provisions of Section 20.2
(Department Suspension for Cause), the Contractor shall be responsible for the Project and
shall take necessary precautions to prevent damage to the Project; provide for normal drainage;
and erect any necessary temporary structures, signs, or other facilities at its expense. During
such period of suspension of Work, properly and continuously maintain in an acceptable
growing condition all living material in newly established plantings, seedings, and soddings
furnished under the Contract Documents, and take adequate precautions to protect new tree
growth and other vegetative growth against injury.
5.11.5 Removal of Graffiti

The Department may direct the Contractor to remove graffiti any time during the Work. The
Department will make an adjustment according to Section 13 (Time Extension to the Completion
Deadlines and Payment for Excusable Delays) for delay impacts to Critical Path activities and
Section 12.8 (Changes and Extra Work Price Determination) to compensate the Contractor for
the added costs, if any, resulting from all ordered graffiti removal.
5.11.6 Protection and Restoration of Property

The Contractor is responsible for the preservation of all public and private property impacted by
the Contractor’s operations.
The Contractor is responsible for all damage or injury to property, during the prosecution of the
Work, resulting from any act, omission, neglect, Nonconforming Work or misconduct in the
manner or method of executing the Work. The Contractor will remain responsible for all damage
and injury to property until the Project is accepted under Section 5.14.4 (Completion of the

Contract and Continuation of Contractor’s Responsibilities), except for portions of the Work
accepted under Section 5.14.1 (Partial Acceptance).
If the Contractor causes any direct or indirect damage or injury to public or private property by
any act, omission, neglect, or misconduct in the execution or the non-execution of the Work,
then it must restore, at its own expense, the property to a condition similar or equal to that
existing before the damage or injury.
If mail boxes, road, or street name signs and supports interfere with the Work, the Contractor
shall remove and erect those items in a temporary location during the Construction Period in a
manner satisfactory to and as directed by the Department. After Substantial Completion of the
Work and before Completion of the Contract, the Contractor shall erect the mailboxes, road, or
street name signs and supports in their permanent locations according to the Plans unless
otherwise directed by the Department.
The Contractor shall cooperate with the Department in protecting and preserving survey
monuments that are affected by the Work as required by ORC 5519.05 and KRS 433.770. At
the beginning of the Work, the Contractor shall verify the position of all survey monuments in the
area to be improved, according to ODOT C&MS Section 623 (Construction Layout Stakes and
Survey Monuments). If survey monuments not shown in the Contract Documents are
unexpectedly encountered, then the Contractor shall protect, reference, and preserve those
survey monuments in the same manner as survey monuments that are shown in the Contract
Documents.
The Contractor shall not create staging areas, store Materials and Equipment, or borrow or
waste materials in areas identified as an environmental resources areas in the Contract
Documents. All properties to be utilized by the Contractor outside the Project Limits shall be
cleared for all environmental resource impacts prior to the beginning of Construction Work.
Environmental resources include but may not be limited to:
1. Cultural Resources:
a. Buildings, structures, objects, and sites eligible for or listed on the National
Register of Historic Places; and
b. Historic or prehistoric human remains, cemeteries, and/or burial sites (pursuant
with ORC 2909.05 and 2927.11, KYTC’s Right of Way Guidance Manual (Section
ROW-1202), and the Advisory Council on Historic Preservation’s (ACHP) Policy
Statement Regarding Treatment of Human Remains and Grave Goods.
2. Ecological Resources:
a. Wetlands;
b. Streams; and
c. Wooded areas with trees to be removed in excess of 8 inches diameter at breast
height.
3. Public Lands:
a. Lands meeting the criteria of 49 U.S.C. 303, 23 CFR 771.I35: 4(f); and
b. Lands meeting the criteria of 16 U.S.C. 4601-4, 36 CFR59.1: 6(f).
4. FEMA Mapped 100 year Floodplains; and

5. Hazardous Waste Areas.

Except for locations utilized specifically for:
1. Reuse of Clean Hard Fill as described in CA-EW-20 (ODOT Beneficial Reuse Form).
Prior to transferring Clean Hard Fill from the project, fully execute form CA-EW-20 and
provide appropriate documentation to the Department as described for each reuse
option.
All areas proposed to be utilized by the Contractor outside the Project Limits and not described
above shall be reviewed by environmental Subcontractor(s) that are prequalified by the
Department for each environmental resource. The Contractor shall cause the environmental
Subconsultant(s) to certify that the proposed site to be utilized for the Contractor will not impact:
1. Cultural Resources;
2. Ecological Resources;
3. Public Lands;
4. FEMA Mapped 100 year Floodplains; or
5. Hazardous Waste Areas.
The Contractor shall provide all documentation and the environmental Subconsultant
certification to the Department.
In the event that the areas proposed for use by the Contractor outside the Project ROW contain
environmental resources, the Contractor shall be responsible to the Department for all
environmental clearances and permits prior to the beginning Construction Work.
5.11.7 Contractor’s Responsibility for Utility Property and Services

At points where the Contractor’s operations are adjacent to properties of railway, cable,
telephone, and power companies, or are adjacent to other property, and any damage to their
property may result in considerable expense, loss, or inconvenience, the Contractor shall not
commence with the operation until all arrangements necessary for the protection of the property
have been made. The Contractor shall ensure continuity of Utility service as further described in
Technical Requirements Section 9.3.9 (Continuity of Utility Service).
The Contractor shall cooperate with the owners of any underground or overhead utility lines in
their removal and rearrangement operations to ensure these operations progress in a
reasonable manner, that duplication of rearrangement Work may be reduced to a minimum, and
that services rendered by those parties will not be unnecessarily interrupted.
In the event interruption to underground or overhead utility services results from an accidental
breakage or from being exposed or unsupported, the Contractor shall immediately alert the
occupants of nearby premises as to any emergency that the accidental breakage may create at
or near such premises. The Contractor shall then notify the Department and the Utility Owner of
the utility facility of the disruption and cooperate with the said Utility Owner or operator in the
restoration of service. If water service is interrupted, the Contractor shall perform the repair work
continuously until the service is restored unless the repair work is performed by the local
governmental authority. The Contractor shall not begin Work around fire hydrants until the local
fire authority approves provisions for continued service.

5.12 Contractor’s Use of the Project Right of Way or Other

Department-Owned Property
5.12.1 Disposal of Waste Material and Construction Debris and Excavation
of Borrow on the Project Right of Way or on Other Department-
Owned Property
The Contractor shall dispose of waste material according to Section 5.13.2 (Borrow and Waste
Areas) and dispose of construction debris according to Section 5.13.5 (Construction and
Demolition Debris). In addition to the rights granted in Section 5.13.3 (Rights in and use of
Materials Found in the Work), the Contractor’s use of the Project ROW or other Department-
owned property for the disposal of waste material and construction debris and excavation of
borrow material is restricted as follows:
A. If the Contract Documents identify locations for the disposal of waste material and
construction debris or excavation of borrow material within the Project ROW or on
other Department-owned property, then only perform these operations in these
designated locations.
B. If the Contract Documents do not identify locations for the disposal of waste material
and construction debris or excavation of borrow material within the Project ROW or on
other Department-owned property, then do not assume that the Department will make
such locations available.
If the Contractor’s request to use locations within the Project ROW or on other Department-
owned property is approved by the Department, then the Department will allow the Contractor to
dispose of waste material and construction debris or excavate borrow material for a negotiated
fee per cubic yard.
5.12.2 Contractor’s Use of Portable Plants Within the Project Right of Way
or on Other Department-Owned Property
The Contractor’s use of portable plants within the Project ROW or on other Department-owned
or KYTC-owned property is limited.
The Contract Documents do not identify locations within the Project ROW or on other
Department-owned or KYTC-owned property to place a portable plant. The Contractor shall not
assume that the Department will make such locations available.
5.12.3 Placement of a Portable Plant within the Project Right of Way or on

Other Department-Owned Property
To place a portable plant within the Project ROW or on other Department-owned property, the
Contractor shall comply with the following requirements:
A. Local noise ordinances.

B. Obtain any necessary EPA permits for the operation of the plant. Provide the
Department with a copy of the information submitted to obtain the permit and a copy of
the permit.

C. Provide the Department written certification that the plant will supply Material only for
the Project for which it was approved. The plant shall not be used to supply any other
project or to sell materials commercially.
D. Submit a traffic control plan to the Department for approval that details the anticipated
truck movements and provides acceptable protection, warning, and guidance to
motorists, pedestrians, and the workers.
5.12.4 Equipment Storage and Staging
The Contractor may use, fee-free, any portion of the Project ROW for staging, Equipment
storage, or an office site with the approval of the Department, provided such usages do not
interfere with the Work and are not prohibited by the Contract Documents.
5.12.5 Equipment Removal and Site Restoration

The Contractor shall remove all Contractor Equipment and completely restore all utilized sites
as required by Section 5.13.4 (Cleaning Up) before Completion of the Contract as provided in
Section 5.14.4 (Completion of the Contract and Continuation of the Contractor’s
Responsibilities).
5.13 Environmental Requirements

5.13.1 Environmental Protection
The Contractor shall comply with all Federal, State, and local laws and regulations controlling
pollution of the environment. The Contractor shall avoid polluting streams, lakes, ponds, and
reservoirs with fuels, oils, bitumens, chemicals, sediments, or other harmful materials, and avoid
polluting the atmosphere with particulate and gaseous matter.
By execution of this PDBC, the Contractor, will be deemed to have stipulated as follows:
A. That any facility that is or will be utilized in the performance of this contract, unless
such contract is exempt under the Clean Air Act, as amended (42 U.S.C. 1857 et seq.,
as amended by Pub.L. 91-604), and under the Federal Water Pollution Control Act, as
amended (33 U.S.C. 1251 et seq., as amended by Pub.L. 92-500), Executive Order
11738, and regulations in implementation thereof (40 CFR 15) is not listed, on the
date of contract award, on the U.S. Environmental Protection Agency (EPA) List of
Violating Facilities pursuant to 40 CFR 15.20.
B. That the Contractor agrees to comply and remain in compliance with all the
requirements of Section 114 of the Clean Air Act and Section 308 of the Federal
Water Pollution Control Act and all regulations and guidelines listed thereunder.
C. That the Contractor shall promptly notify the Department of the receipt of any
communication from the Director, Office of Federal Activities, EPA, indicating that a
facility that is or will be utilized for the contract is under consideration to be listed on
the EPA List of Violating Facilities.
D. That the Contractor agrees to include or cause to be included the requirements of
paragraph A. through D. of this Section 5.13.1 in every nonexempt subcontract, and
further agrees to take such action as the government may direct as a means of
enforcing such requirements.

The following provisions with respect to permits shall be read in conjunction with Technical
Requirements Section 7.2 (Permitting).
Fording of streams is prohibited.
Causeways for stream and river crossings or for Work below a Bridge are permitted provided:
A. The causeway complies with the requirements of the 404 Permit the Department
obtained for the Project.
B. The Contractor obtains a 404 Permit from the U.S. Army Corps of Engineers if the
Department has not obtained such a permit. The Contractor shall obtain the 404
Permit prior to beginning construction of the causeway. The Department does not
guarantee that the Contractor will be able to obtain a 404 Permit.
The Contractor shall comply with the Ohio Water Pollution Control Act (OWPCA), (ORC Chapter
6111), and the KYTC Storm Water Quality Management Plan. The Department will obtain a
storm water permit when the plan work acreage requires a permit. The Contractor shall apply for
a permit to cover operations outside the Project limits shown on the plans as required by the
OWPCA provisions. When the Department has not applied for a permit on the Project and a
permit is required because of the total area of the Contractor’s Work, the Contractor shall apply
for, obtain, and comply with the required permit for both the Work within Project Limits and the
Contractor’s Work.
The Department has obtained the required permits from the U.S. Army Corps of Engineers and
Ohio EPA for Work in the “Waters of the United States” and isolated wetlands under ORC
Chapter 6111 and the KYTC Storm Water Quality Management Plan. The Contractor shall
comply with the requirements of these permits.
When Equipment is working next to a stream, lake, pond, or reservoir, appropriate spill
response Equipment is required. The Contractor shall not stockpile erodible material next to a
stream, lake, pond, or reservoir.
The Contractor shall take precautions to avoid demolition debris and discharges associated with
the excavation and hauling of material from entering the stream. In addition, the Contractor shall
remove any material that does fall into the stream as soon as possible.
When excavating in or adjacent to streams, the Contractor shall separate such areas from the
main stream by a dike or barrier to keep sediment from entering the stream. The Contractor
shall take care during the construction and removal of such barriers to minimize sediment
entering the stream.
The Contractor shall contain, collect, characterize and legally dispose of all liquid waste and
sludge generated during the Work. The Contractor shall not mix wastes with storm water. The
Contractor shall not discharge any liquid waste without the appropriate regulatory permits. The
Contractor shall manage liquid waste and sludge in accordance with ORC Chapter 6111, the
KYTC Storm Water Quality Management Plan, KYTC SS Section 213, and all other laws,
regulations, permits and local ordinances relating to this waste.
The Contractor shall control the fugitive dust generated by the Work according to OAC-3745-17-
07(B), OAC-3745-17-08, OAC-3745-15-07, and OAC-3745-17-03, KRS Chapter 77, KRS
Chapter 224, and local ordinances and regulations. Prior to the initiation of abrasive coating
removal, pavement cutting or any other construction operation that generates dust, the

Contractor shall demonstrate to the Department that construction related dust will be controlled
with appropriate Reasonable Available Control Measures (RACM) as described in OEPA
Engineering Guide #57 (http://epa.ohio.gov/dapc/engineer/eguides.aspx).
In addition, the Contractor shall use dust control measures when fugitive dust creates unsafe
conditions as determined by the Department.
In Ohio, the Contractor shall perform open burning according to Section 5.3.12 (Borrow and
Waste Areas), and in Kentucky, the Contractor shall act in accordance with Regulation (KAR)
Title 401.
5.13.2 Borrow and Waste Areas

Prior to beginning borrow or wasting operations, the Contractor shall obtain the Department’s
written approval of a detailed operation plan (which shall be updated as necessary prior to each
occasion on which the Contractor intends to begin new borrow or wasting operations) that
addresses the following concerns:
A. Control of drainage water;

B. Cleanup, shaping, and restoration of disturbed areas;
C. Disposal of Regulated Materials;
D. Avoidance of regulated areas;
E. Excavation and filling of waste and borrow areas;
F. Saving of topsoil; and
G. Temporary Sediment and Erosion Control BMPs required for compliance under the
Clean Water Act, Ohio Water Pollution Control Act, (OWPCA) (ORC Chapter 6111)
the KYTC Storm Water Quality Management Plan, Kentucky Regulation (KAR) Title
401, KYTC SS 213 and the NPDES permit.
The Contractor shall perform all engineering, including any field investigation, necessary to
ensure long term stability of all side slopes and foundations of all borrow and waste areas. The
Contractor shall also furnish a certification by a Registered Engineer attesting to the stability of
all borrow and waste areas. All damage resulting from the instability of borrow and waste areas,
the removal of borrow materials, the placement of waste materials, or the hauling of material to
and from these areas is the sole responsibility of the Contractor. Repairs to approved haul roads
will be made in accordance with Section 5.10.4 (Haul Roads).
The Contractor shall ensure that all side slopes of all waste areas do not reduce horizontal sight
distance as defined by the Department’s Location and Design Manual.
The Contractor shall (i) have the proposed borrow and waste areas reviewed by an
environmental Subconsultant that is pre-qualified by the Department and Cabinet as appropriate
for ecological work; and (ii) have the environmental Subconsultant certify that the proposed
borrow and waste operations will not impact the “Waters of the United States” or an isolated
wetland. If Subconsultant certification is not provided, the Contractor shall obtain the 404/401
permits necessary to perform the operations as proposed. The Contractor shall have the
environmental Subconsultant certify that the Work conforms to the requirements of the
permit(s). The Contractor shall provide all documentation submitted to obtain the appropriate
permit(s) and a copy of the permit(s) to the Department.

If burning is permitted in Ohio under the OAC-3745-19 and ORC 1503.18, the Contractor shall
submit a copy of the Ohio EPA permit and the Ohio DNR permit to the Department and copies
of all information used to obtain the permit. In Kentucky, the Contractor shall comply with 401
KAR 63:005, KRS 149, and any Local Ordinances.
Prior to the disposal of waste materials, the Contractor shall submit to the Department an
executed copy of the contract or permission statement from the property owner. The contract or
permission statement must indicate that the waste materials are not the property of the
Department or the Cabinet. Further, the contract or permission statement must expressly state
that the Department and Cabinet is not a party to the contract or permission statement and that
the Contractor and property owner will hold the Department and Cabinet harmless from claims
that may arise from their contract or permission statement.
The Contractor shall restore all borrow or waste areas including cleanup, shaping, replacement
of topsoil, and establishment of vegetative cover by seeding and mulching according to Section
5.13.4 (Cleaning Up) and Ohio Item 659 (Seeding and Mulching) where in Ohio. In Kentucky,
the Contractor shall follow Section 204, 209, 211 and 212 of KYTC SS. The Contractor shall
ensure the restored area is well drained unless approval is given by the Department to convert a
pit area into a pond or lake, in which case confine restoration measures to the disturbed areas
above the anticipated normal water level.
For waste sites shown on the plan, the plan will indicate if the clearances have or have not been
obtained for the project right-of-way locations. No extension of time or additional compensation
will be paid for any delays due to not having the written permit(s) to waste in a floodplain.
The allowed use of Project ROW and other Department and Cabinet property for borrow and
waste is detailed in Section 5.13.3 (Rights in and Use of Materials Found in the Work), Section
5.12 (Contractor’s Use of the Project ROW or Other Department-Owned Property) and KYTC
SS.
Borrow and Waste Area shall adhere to Section 5.11.6 (Protection and Restoration of Property)
and KYTC SS.
5.13.3 Rights in and Use of Materials Found in the Work

Upon obtaining the Department’s approval, the Contractor may use material, such as stone,
gravel, or sand, found in the plan excavation for another Contract Item. The Contractor shall
excavate or remove material only from within the grading limits, as indicated by the slope and
grade lines.
5.13.4 Cleaning Up
The Contractor shall maintain the Project in a presentable condition. The Contractor shall
remove all rubbish, layout stakes, sediment control devices as directed by the Department,
excess material, temporary structures, and Equipment, including stream channels and banks
within the Right-of-Way at drainage structures, and all borrow and waste areas, storage sites,
temporary plant sites, haul roads, and other ground occupied by the contractor in connection
with the Work. The Contractor shall establish suitable vegetative cover in these areas by
seeding and mulching according to Item 659, except for cultivated fields and leave the Project
Site in an acceptable condition as determined by the Department.

5.13.5 Construction and Demolition Debris

In Ohio, the Contractor shall follow OAC-3745-37, OAC-3745-400, and ORC Chapter 3714
which regulate the use and disposal of construction and demolition debris. In Kentucky, the
Contractor shall follow the KYTC Storm Water Quality Management Plan, KYTC SS, USC
Section 21301 KAR Title 401, KRS 149, and any Local Ordinances which regulate the use and
disposal of construction and demolition debris.
The Contractor shall legally dispose of debris containing wood, road metal, or plaster at a
licensed construction and demolition debris site.
Under the regulations cited above the disposal of brush, trees, stumps, tree trimmings,
branches, weeds, leaves, grass, shrubbery, yard trimmings, crop residue, and other plant matter
is restricted. If allowed by the Contract Documents, the Contractor may waste brush, trees,
stumps, tree trimming, branches, weeds, leaves, grass, shrubbery, yard trimmings, crop
residue, and other plant matter within the Project ROW. Otherwise, the Contractor shall submit
a plan and any required permits to legally dispose of these materials off the Project ROW to the
Department and shall provide all documents submitted to obtain any permits to the Department.
When wasting PCC, the Contractor shall (i) mix the PCC with at least 30 percent natural soil to
construct an inner core in the waste area; (ii) cover this inner core with 3 feet (1.0 m) of natural
soil on the top and 8 feet (2.4 m) on the side slopes; and (iii) place and compact the material
according to ODOT C&MS 203.06.D (Spreading and Compacting Random Materials), where in
Ohio, or KYTC SS 204, where in Kentucky, to prevent future settlement and sliding.
Clean Hard Fill consisting of reinforced or non-reinforced concrete, asphalt concrete, brick,
block, tile or stone that is free of all steel as per ODOT C&MS 703.16 (Suitable Materials for
Embankment Construction) shall be managed in one or more of the following ways:
A. Recycled into a usable construction material;

B. Disposed in licensed construction and demolition debris facility;
C. Used in legitimate fill operations on the site of generation according to Section 5.13.2
(Borrow and Waste Areas); or
D. Used in legitimate fill operations on a site other than the site of generation to bring a
site up to grade.
The Contractor shall notify the local Board of Health or the local EPA office 7 Days before
placing Clean Hard Fill off the Project ROW and shall submit copies of this notification to the
Department. Prior to transferring Clean Hard Fill from the Project Site, the Contractor shall fully
execute form CA-EW-20 and provide appropriate documentation to the Department as
described for each reuse option as described in CA-EW-20 (ODOT Beneficial Reuse Form).
5.13.6 Regulated Materials

With respect to known Regulated Materials and Contractor-Generated Regulated Materials
(defined herein), the Contractor is solely responsible for:
A. complying with all regulatory requirements, applicable Laws, and Governmental

Approvals pertaining to Regulated Materials located at the Site or any portion thereof;

B. collecting, containing, characterizing, and properly disposing of all Regulated

Materials, including waste generated or encountered during the Work;
C. ensuring that the Site is properly managed during the Work so that Regulated
Materials do not migrate outside the Site;
D. preparing and implementing a Spill Prevention Control and Countermeasures (SPCC)
Plan per 40 CFR Part 112 that provides specific guidance for managing, handling, and
disposing of Regulated Materials that may be encountered within the Site and for
protecting the health and safety of all on-site personnel and the public;
E. using reasonable efforts, including design modification and/or construction techniques,
to avoid excavation or dewatering in areas of the Site containing known Regulated
Materials;
F. unless otherwise expressly provided in this PDBC, making its own arrangements for
storing and disposing of waste and excess substances generated from the
Contractor’s performance of the Work utilizing storage and disposal facilities that are
properly licensed and permitted for such storage and disposal in accordance with
applicable Law and regulatory requirements, including notifying the Department and
making alternative arrangements of any such storage or Disposal Facility loses its
permitted status during the Term;
G. using, containing, storing, managing, transporting and disposing of all Contractor-
Generated Regulated Materials (defined herein) in accordance with this PDBC and all
applicable Law and regulatory requirements, including obtaining an “EPA Identification
Number,” and signing of waste manifests;
H. coordinating removal and disposal of all Contractor-Generated Regulated Materials
upon Substantial Completion or the earlier termination of this PDBC for any reason, in
accordance with this PDBC, and all applicable Law and regulatory requirements ,
including demonstrating such removal, remediation disposal necessary for protection
of human health and the environment to the reasonable satisfaction of the Department
and providing the Department (or the Cabinet, if applicable) with copies of all records
relating to such removal remediation and disposal;
I. paying all associated costs and obtaining all necessary permits for a legal disposal
site beyond the Site;
J. submitting a ‘Material Safety Data Sheet’ (Department of Labor Form OSHA-20), as
prescribed in Federal Standard No. 313B (or such equivalent form as may amend or
replace it), for all Contractor-Generated Regulated Materials delivered under this
PDBC that involved possible exposure to Regulated Materials, or items containing
Regulated Materials, five (5) days before delivery of the Regulated Materials; and
K. paying all penalties, expenses (including attorneys’ fees and costs), costs suits,
judgments, claims, actions, damages (including damages to natural resources,
property or persons), delays and liability associated with arising out of, or related to
any Contractor-Generator Regulated Materials.

5.13.7 Unknown Regulated Materials

5.13.7.1 Discovery of Unknown Regulated Materials
If the Contractor discovers any Unknown Regulated Materials in “material quantities” during the
Work, the Contractor shall notify the Department immediately and include details with respect to
any requirement to notify State or federal agencies under applicable Law. For the purposes of
this Section 5.13.7, “material quantities” of an Unknown Regulated Material means quantities
that initiate any reporting, investigation or remediation under any Environmental Law.
5.13.7.2 Continuing Work after discovery

After the discovery of any Unknown Regulated Materials that are not Contractor-Generated
Regulated Materials, the Contractor shall not disturb, or further disturb the condition or interfere
with the Department’s (or the Cabinet’s) right or ability to investigate the condition, and shall
suspend Work in the immediate area of the suspected Regulated Materials until the Department
authorizes the Contractor to resume Work; provided however, during the pendency of the
Department’s notice to continue Work, the Contractor shall continue Work on the unaffected
areas of the Site.
5.13.7.3 Department’s responsibility and determination

The Department will promptly investigate any suspected Unknown Regulated Materials of which
it has received notice under Section 5.13.7.1 (Discovery of Unknown Regulated Materials) that
are not Contractor-Generated Regulated Materials, and thereafter evaluate whether the
discovery of such Unknown Regulated Materials justify an increase in the Contract Price and/or
an extension of the Contract Time, subject to the Contractor’s demonstration of the following:
A. the Contractor has given timely notice of the corresponding condition and the
Unknown Regulated Materials as required in this Section 5.13.7.3, and, where
applicable, Section 13 (Time Extension to the Completion Deadlines and Payment for
Excusable Delays) for Critical Path delay impacts and Section 12.8 (Changes and
Extra Work Price Determination) to compensate the Contractor for the added costs
and delay;
B. the Contractor has given the Department (and, if applicable, the Cabinet) to
investigate prior to the asserted condition and Unknown Regulated Materials being
disturbed in accordance with this Section 5.13.7.3; and
C. the Unknown Regulated Materials are not Contractor-Generated Regulated Materials.
Any Disputes as to whether the conditions pertaining to Unknown Regulated Materials have
caused a decrease or increase in the Contract Price or require an extension of the Contract
Time shall be addressed in accordance with the Partnering and Dispute Resolution provisions
set forth under Section 18 (Partnering and Dispute Resolution) hereof.
5.13.7.4 Third-party contractors

The Department reserves the right to use other third-party contractors to investigate and
perform work to determine the nature and extent of any Unknown Regulated Materials on the
Site that is not a Contractor-Generated Regulated Material and to handle and/or remove such
Unknown Regulated Material from the applicable portion of the Site. Except as otherwise

provided in this PDBC, the Department’s use of other third-party contractors shall not constitute
a basis for the Contractor to submit an NPCO or EDR.
5.13.7.5 Generator Status

Except as otherwise provided herein, (i) the Contractor shall not be considered to be the
“generator” of Regulated Materials located within or outside the Site; (ii) the Contractor shall not
be required to execute any Regulated Materials manifests as a “generator;” and (iii) Regulated
Materials encountered in the performance of the Work, shall be disposed of, if at all, utilizing an
‘EPA Identification Number’ or other appropriate legal device permitted under applicable Law
and obtained by, and carried in the name of the Department, the Cabinet or another Person
designated by the Department.
Notwithstanding anything to the contrary contained herein or under any applicable Law or
Government Regulation, the Contractor (and not the Department or the Cabinet) acknowledges
and agrees that the Contractor shall be considered the “generator” under the following
circumstances:
A. the Regulated Materials are transported onto the Site by the Contractor or any
Component Firm or the Regulated Materials were generated on the Site; or
B. any spill, leak, emission, release, discharge, injection, escape, dumping or disposal of
Regulated Materials into the soil, air, surface water, groundwater, or environment is
caused by the Contractor or any Sub-Contractor, including the Contractor’s or any
Component Firm’s exacerbation of an existing release or condition of Regulated
Materials contamination (whether known or unknown), or any breach by the
Contractor or any Component Firm of any applicable Law, Governmental Approval or
this PDBC, and/or the negligence, or willful misconduct of the Contractor or any
Component Firm ((A) and (B) together constitute “Contractor-Generated Regulated
Materials”).
5.14 Completion Deadlines and Acceptance
5.14.1 Partial Acceptance
Upon completion of a portion of the Work including but not limited to a Work Package, the
Contractor may request acceptance of a completed portion of the Work.
A. The Department may, at the Contractor’s request, perform an inspection on a

completed portion of the Project's Roadway provided:
1. All safety items are in place including permanent pavement markings;
2. Traffic is in its final pattern;
3. A completed portion of the Project constitutes a completed geographic section of
the project or a direction of traffic on a divided highway; and
4. The Work is in accordance with other provisions of the Contract Documents.
B. The Department may, at the Contractor’s request, perform an inspection on a
completed Bridge provided:
1. All work on the Bridge and approaches are complete, including all safety items and
permanent pavement markings;

2. The Contractor will not return to the Bridge for any Work except as allowed in part
4 below (painting of structural steel);
3. Traffic is in its final pattern;
4. Painting of structural steel is either completed or scheduled to be performed and
won’t impact traffic; and
5. The Work is in accordance with provisions of the Contract Documents.
The Department will grant written partial acceptance for that portion of the Work or reject the
Contractor’s request. Such written partial acceptance will designate what portion of the Work is
accepted, the date of acceptance, and the warranty provisions started by the partial acceptance.
Partial acceptance will relieve the Contractor of maintenance responsibility for the designated
portion of the Work as further described in Section 5.11.1 (Maintenance During Construction).
This does not relieve the Contractor of responsibility to correct Nonconforming Work or repair
damage caused by the Contractor or waive any other remedy to which the Department is
entitled at law or in equity.
5.14.2 Final Inspection and Substantial Completion

Substantial Completion shall be achieved when the Department has issued partial acceptance
for completed portions of the Work comprising the entirety of the Work such that the Project is in
a condition that can be used for normal and safe vehicular travel in all lanes and at all points of
entry and exit, when the Department has confirmed that testing and commissioning of the ITS
has been successfully completed in both Ohio and Kentucky, and Final Inspection is complete
as described below.
The Department will perform a Final Inspection for the purpose of relieving the Contractor of
maintenance responsibility for the Work per Section 5.11.1 (Maintenance During Construction).
The Final Inspection shall be a limited visual review of the Work and shall serve as the
Department’s verification that the Work appears to have achieved Substantial Completion. Final
Inspection does not waive any available rights or remedies of the Department, nor divest the
Contractor of any responsibility for compliance with the Contract Documents or liability for
damages.
The Contractor shall notify the Department when the Contractor considers the Project has
achieved Substantial Completion and all of the Project Punch List items are complete. If the
Department agrees the Project is complete, then within 15 Working Days the Department will
inspect the Work and categorize it as one of the following:
1. Unacceptable or not complete;

2. Substantial Completion has been achieved with Final Inspection Punch List items
found by the Department; or
3. Substantial Completion has been achieved.
If the Department finds the Work substantially complete or substantially complete with Final
Inspection Punch List items, then it will notify the Contractor that Substantial Completion has
been achieved and the Contractor’s maintenance responsibilities end on the day of the Final
Inspection, except for any maintenance related to unfinished Final Inspection Punch List items.
This shall not relieve the Contractor of responsibility to correct Nonconforming Work or repair

damage caused by the Contractor or waive any other remedy to which the Department is
entitled at law or in equity. The Department will issue a Final Inspection report that will
document the findings of the inspection and start any warranty period.
5.14.2.1 Punch List

If required, the Department will issue to the Contractor a written Final Inspection Punch List as
noted above as a condition of its acceptance of Completion of the Contract. The Department will
receive and compile punch lists from all agencies that have authority to provide one prior to
issuing the Final Inspection Punch List. The Final Inspection Punch List will stipulate a
reasonable time to complete the required Work. Failure of the Contractor to complete the Final
Inspection Punch List items by the stipulated time will result in the assessment of fifty percent of
the Liquidated Damages according to Section 13.7 (Failure to Complete on Time) for each Day
beyond the stipulated time the Final Inspection Punch List work remains incomplete and beyond
the Substantial Completion Deadline.
5.14.2.2 Finalization
The Contractor shall supply all documents necessary for Project finalization within 60 Days from
the date of Substantial Completion. These documents include:
1. Delinquent Material certifications;

2. Delinquent certified payrolls or required revised payrolls;
3. Wage affidavit required by ORC Chapter 4115 on projects without any Federal
funding;
4. Delinquent force account records;
5. If applicable, DBE affidavits; and
6. Any other document required to complete finalization of the Project.
Failure to submit these acceptably completed documents will result in an administrative fee of
$1000 per Day for every day that any of the required documents remain delinquent, starting 30
Days after receipt of written Notice from the Department of a document deficiency. Assessment
of this administrative fee does not eliminate any other remedies available to the Department for
non-compliance with the requirements of this Section 5.
5.14.3 Final Payment

Final payment is based on:
A. No compensation for Unauthorized Work or Nonconforming Work is allowed;

B. Finding of Substantial Completion by the Department and Final Inspection Punch List
items, if any, have been completed;
C. Receipt of acceptable finalization documents;
D. Contractor’s certification that the Construction Work was performed in accordance
with the Contract;
E. Designer’s certification that the Design Work was designed in accordance with the
Contract;

F. Receipt of all original project files and notes utilized in the preparation of the survey,
design and construction of the Project; and
G. Receipt of As-Built Drawings.
5.14.4 Completion of the Contract and Continuation of Contractor’s
Responsibilities
The Contract is complete, except for items covered by the required bonds, when the Contractor
receives final payment. The Department will issue a letter confirming Completion of the
Contract, noting any exception as provided in ODOT C&MS Items 659 (Seeding and Mulching),
KYTC SS Section 212 and C&MS 661 (Planting Trees, Shrubs, Perennials and Vines), KYTC
SS 724 and any warranty. The date the final payment is approved by the Department
constitutes acceptance for the purpose of ORC 5525.16. Neither Completion of the Contract nor
Substantial Completion relieves the Contractor of any responsibilities to properly perform or
correct the Work or to repair damage or waives any remedies to which the Department is
entitled at law or in equity.
5.14.5 Opening Sections of Project to Traffic

The Department may order the Contractor to open a section of the Project to the safe use of
traffic at any time. Unless such early opening is anticipated in the accepted MOT Plan included
in the Phase 2 Change Order, the Department will make an adjustment according to Section 13
(Time Extension to the Completion Deadlines and Payment for Excusable Delays) for Critical
Path delay impacts and Section 12.8 (Changes and Extra Work Price Determination) to
compensate the Contractor for the added costs and delay, if any, resulting from such an
opening.

6 CONTROL OF MATERIALS
6.1 Source of Supply and Quality Requirements
The Contractor shall notify the Department of the proposed sources of supply before the
delivery of Materials. The Department is entitled to approve Materials at the source of supply
before such Materials are delivered to the Project Site. If the proposed sources of supply cannot
produce the specified Material, then the Contractor shall furnish Materials from alternate
sources without adjustment to the Contract Price or Substantial Completion Deadline. The
Contractor shall comply with the requirements of Exhibit X (Digital Data for Material Ticketing). If
the Department determines that previously approved materials from any source are not uniform
and satisfactory or that the product from any source proves unacceptable, the Contractor shall
cease operations until the Contractor demonstrates to the Department’s satisfaction that the
material is acceptable. The Contractor shall not use material which, after approval, has in any
way become unfit for use. The Contractor shall use only new materials unless approved by the
Department.
6.2 Samples, Tests, and Cited Specifications

The Department will inspect and determine whether the Materials comply with the specified
requirements before they are incorporated into the Work. The Department may sample and test
Materials or require certifications. Unless specified, the Department will pay for the tests and
test Materials according to AASHTO, ASTM, or other methods complying with the Standard of
Care. A qualified representative of the Department will take test samples according to
Departmental procedures. Any reference to other specifications or testing methods shall mean
the version in effect at the date of the applicable Work Package Proposal. All Materials being
used are subject to inspection, test, or rejection at any time before their incorporation into the
Work. The Department will furnish copies of the tests to the Contractor’s Representative upon
request. Furnish the required samples and specified Material Certifications.
The Contractor shall equip all transports and distributors hauling asphalt material with an
approved submerged asphalt material sampling device.
6.3 Small Quantities and Materials for Temporary Application

The Department may accept small quantities and Materials for temporary application that are
not intended for permanent incorporation in the Work. The Department may accept these small
quantities and Materials for temporary application in either of the following cases:
A. Where similar Materials from the same source have recently been approved.
B. Where the Materials, in the judgment of the Department, will serve the intended
purpose.
6.4 Plant Sampling and Testing Plan
The Department is entitled to undertake the inspection of Materials at the source.
In the event plant sampling and testing is undertaken, the Contractor and its Material provider
shall:

A. Cooperate and assist the Department with the inspection of Materials. Provide full
entry to the Department at all times to such parts of the plant as may concern the
manufacture or production of the Materials being furnished. Agree to all
documentation and inspection requirements of ODOT’s TE-24 plant sampling and
testing plan.
B. If required by the Department, arrange for the Department’s Inspector to use an
approved building on the site of the plant. The building should be located near the
plant and independent of any building used by the Material producer.
C. Maintain and provide adequate safety measures at the plant at all times.
The Department reserves the right to retest all Materials that have been tested and accepted at
the source of supply before their incorporation into the Work. After Materials that have been
tested by the Department at the plant have been delivered to the Site, the Department may
reject any such Materials that when retested do not meet the requirements of the Contract
Documents.
6.5 Storage of Materials

The Contractor shall properly store all Materials to ensure the preservation of their quality and
fitness for the Work. The Department may re-inspect stored Materials before their incorporation
into the Work, notwithstanding any testing and inspection the Department may have undertaken
before storage. The Contractor shall locate stored Materials to facilitate the Department’s
prompt inspection. The Contractor may use portions of the Project ROW for storage with the
Department’s approval. Any Materials storage space outside the Project ROW shall be provided
at the Contractor’s expense. The Contractor shall not use private property for storage purposes
without written permission from the owner or lessee. If requested by the Department, the
Contractor shall furnish copies of the written permission. The Contractor shall restore all storage
sites to their original condition at no expense to the Department. The Contractor and property
owner shall hold the Department harmless from claims that may arise as a result of the contract
or permission statement between the property owner / lessee and the Contractor. This Section
6.5 does not apply to the stripping and storing of topsoil, or to other Materials salvaged from the
Work.
Areas used to store Materials shall conform to Section 5.11.6 (Protection and Restoration of
Property) and KYTC SS 107.
Payment for materials and equipment manufactured for the Project and stored on or off the
Project Site shall be conditioned upon compliance by the Contractor with procedures
satisfactory to the Owner to establish the Owner's title to such materials and equipment or
otherwise protect the Owner's interest, and shall include applicable insurance, storage and
transportation to the Project Site, for such materials and equipment stored off the Project Site.
The Contractor shall also comply with the following specific requirements:
A. Title to such materials shall be vested in the Owner, as evidenced by documentation

satisfactory in form and substance to the Owner, including, without limitation, recorded
financing statements, UCC filings and UCC searches.
B. The Contractor shall submit to the Owner a written list identifying each location where
materials are stored off the Project Site and the value of materials at each location.

C. The consent of any surety shall be obtained to the extent required prior to payment for
any materials stored off the Project Site.
D. Representatives of the Owner shall have the right to make inspections of the storage
areas at any time.
E. Such materials shall be (1) protected from diversion, destruction, theft and damage to
the satisfaction of the Owner, (2) specifically marked for use on the Project, and (3)
segregated from other materials at the storage facility.
The Contractor shall reimburse the Owner for any loss or damage to such unincorporated
materials or equipment not covered by insurance.
Areas used to store Materials shall conform to Section 5.11.6 (Protection and Restoration of
Property) and KYTC SS 107.
6.6 Handling Materials

The Contractor shall:
a. Handle all Materials in such manner as to preserve their quality and fitness for the
Work;
b. Transport aggregates from the storage site to the Project Site in vehicles constructed
to prevent loss or segregation of Materials after loading and measuring; and
c. Ensure that there are no inconsistencies in the quantities of Materials loaded for
delivery and the quantities actually received at the place of operations.
6.7 Unacceptable Materials
Unacceptable Materials are all Materials not conforming to the requirements of the Contract
Documents at the time they are used and shall be considered Nonconforming Work. The
Contractor shall immediately remove all unacceptable Materials from the Project Site unless
otherwise instructed by the Department. The Department will determine if unacceptable
Materials may remain according to the process set forth in ODOT Supplement 1102
(Acceptance of Non-Specification Material on Construction Projects). The Department must
approve the use of previously identified unacceptable Materials that have been corrected or
repaired before such Materials are incorporated into the Work. If the Contractor fails to comply
immediately with any order of the Department made under the provisions of this Section 6.7, the
Department will have authority to remove and replace unacceptable Materials and to deduct the
cost of removal and replacement from any monies due or to become due to the Contractor.
6.8 Department-Furnished Material

The Contractor shall furnish all Materials required to complete the Work, except as otherwise
agreed to in writing and documented in a Work Package Proposal.
The Department will deliver any Department-furnished Materials to the Contractor at the points
specified in the Contract Documents.
The Contractor shall include the cost of handling and placing of all Department-furnished
Materials in the Contract Price for the Contract Item for which they are used.

The Department will hold the Contractor responsible for all Department-furnished Materials
upon their delivery to the Project Site. The Department will make deductions from any monies
due the Contractor to make good any shortages and deficiencies, for any cause whatsoever,
and for any damage that may occur to such Materials after such delivery, and for any
demurrage charges.
6.9 Products Made in the United States

The Contractor shall comply with the requirements set forth in Exhibit U (Products made in the
United States).
6.10 Qualified Products List

The Department may use Qualified Product Lists (QPL) and List of Approved Materials (LAM)
for approval of manufactured Materials. The Contractor shall provide the Department
documentation according to the Department’s standard procedure that, at the time of delivery,
the Material provided is on ODOT’s QPL or KYTC’s LAM.
6.11 Maritime Transportation

The Contractor shall ensure that Project-specific Materials or Equipment transported by ocean
vessel are in compliance with 46 CFR 381 and the Cargo Preference Act. The Contractor shall
transport at least 50% of any Equipment or Materials on privately owned United States-flag
commercial vessels, if available.
6.12 Field Welder Certification Requirements

All field welding must be performed by a certified welder unless otherwise noted. Welder’s or
welding operator’s qualifications to perform field welding shall remain effective for 2 years from
the date of test unless:
(a) The welder or welding operator is not engaged in the welding process for which the
welder or welding operator is qualified for a period exceeding 6 months; or
(b) In the judgment of the Department, there is reason to question the welder’s or welding
operator’s ability.
The Contractor shall keep records of the types of welds and dates engaged in welding within the
two-year period to maintain the welder’s or welding operator’s qualification. If the Contractor
fails to maintain such records for review and use in each project’s records, the Department will
require the welder or welding operator to be retested at any time.

7 UTILITIES AND RAILROADS

7.1 Utilities
The Contractor shall design the Project to keep the scope and extent of utility conflicts and
relocations to a reasonable minimum consistent with the Project Goals.
Unless otherwise provided for by the Contract Documents, the Department will direct Utility
Owners to relocate or adjust water lines, gas lines, wire lines, service connections, water and
gas meter boxes, water and gas valve boxes, light standards, cableways, signals, and all other
utility appurtenances within the Project Limits, such work by the Utility Owner being
compensable to the Contractor except as otherwise provide in this Section 7.1.
The Contractor shall cooperate fully with each Utility Owner and make every effort to avoid
delays and conflicts. The Project Schedule shall contain and include all reasonable effort
required to resolve utility conflicts. When Utility Relocations are necessary, coordination and
scheduling of these relocations with the involved Utility Owners shall be the responsibility of the
Contractor.
If required under any Work Package Proposal, the design for all Utility Relocations within the
Project Limits shall be coordinated by the Contractor. The Contractor shall determine and show
on the Plans the names of all existing Utilities within Project Limits. The contractor shall
reference Section 9 (Utilities) of the Technical Requirements for design and coordination
requirements.
If the Contractor is directed by a Utility Owner to perform any work not specifically identified as
Utility Relocation Work within the Contract Documents, the Department will not compensate the
Contractor for this work unless the Department approves the request in writing before the work
begins. If the work is not preapproved by the Department, the Contractor will be responsible for
obtaining reimbursement for its work from the Utility Owner which directed the Contractor to
perform the work.
In the event that the Contractor requests that additional work not specifically contained in
Contract Documents be performed by a Utility Owner, the Contractor will be responsible for
reimbursing the Utility Owner for the additional work unless the Department has agreed in
writing to pay for the additional work before the work begins.
The Contract Documents (including the Utility Agreements) will describe the Utility Relocation
Work and indicate a time frame or date when the Department expects the Utility Owners to
complete Utility Relocation Work. The Contractor shall provide adequate notification to Utility
Owners performing Utility Relocation Work to prevent conflict with the Contractor’s schedule of
operations. The Contractor shall also indicate the various utility items, impacted utilities and
indicate the time frame or date when the Utility Owners are expected to complete Utility
Relocation Work in the Design Documents.
If a Utility Owner fails to perform Utility Relocation Work as provided for in the Contract
Documents or Utility Agreements and the Contractor sustains losses or delays that could not
have been avoided by the judicious design efforts, and reasonable accommodation or by
judicious handling of forces, Equipment, and plant, or by reasonable revisions to the schedule of
operations, then the Department will adjust the Contract according to Section 13 (Time
Extension to the Completion Deadlines and Payment for Excusable Delays) for Critical Path

delay impacts and Section 12.8 (Changes and Extra Work Price Determination). The Contractor
shall be eligible for additional compensation and extension of contract time only if:
A. The Contractor has made every effort to prosecute the Work and mitigate impacts
despite any delays encountered or revisions in the Contractor’s scheduling of Work.
B. The Contractor has made a reasonable effort to design and construct the Work to
reasonably avoid the Utilities.
In accordance with ORC 153.64 for Work performed in Ohio, the Contractor shall notify the
Department, the registered utility protection service, and any Utility Owners that are not
members of the registered utility protection service at least 2 Workdays prior to commencing
construction operations in an area that may affect underground utilities shown on the Plans.
Prior to any excavation activities within Kentucky, the Contractor shall comply with the
requirements for Excavators in the Underground Facility Damage Prevention Act of 1994 which
is contained in KRS 367.4901 through 367.4917.
Utility Owners in Ohio are required under applicable codes and regulations, to start staking,
marking, or otherwise designating the location, course,  2 feet (0.6 m), together with the
approximate depth of Utilities in the construction area within 48 hours after notice is received,
excluding Saturdays, Sundays, and legal holidays.
7.2 Utility Betterments

If a Utility Owner has requested that the Contractor design or construct a Betterment, the
Contractor shall be responsible for negotiating and agreeing to the terms of the Betterment
directly with the Utility Owner. The Contractor shall not perform any Work associated with a
Betterment unless such Work has been subject to the Department’s concurrence.
If the Contractor and the Utility Owner agree that a Betterment will be performed as part of a
Utility Relocation, then:
A. The terms agreed between the Contractor and the Utility Owner for performance of
such Betterment shall be addressed in an amendment to the applicable Utility
Agreement;
B. Such Betterment will be subject to the same standards and requirements as if it were
a necessary Utility Relocation;
C. The Contractor shall undertake such Betterment in accordance with the requirements
for Utility Relocation Work; and
D. If the Betterment is not completed in accordance with the initial Change Order, the
Department shall be entitled to a subsequent Change Order to omit or adjust the
scope of the work and the Contractor’s compensation to suit the Work performed.
7.3 Railroads
The Contractor shall design the Project to keep the scope and extent of railroad conflicts,
interactions, and railroad flagmen needs to a reasonable minimum consistent with the Project
Goals. The Contractor shall proceed with the Construction Work to minimize the scope and
extent of railroad conflicts, interaction, and railroad flagmen needs in accordance with the
Project design. The Contractor shall follow applicable submittal and construction requirements
as outlined Section 10 (Railroads) of the Technical Requirements.

The Contractor shall cooperate fully with each impacted railroad company within the Project
Limits and shall make every effort to avoid delays and conflicts to either the Project or the
railroad company. The Project Schedule shall include all reasonable effort required to resolve
railroad conflicts. In addition, the Project Schedule shall include flagmen notifications activities
for each construction phase, Buildable Unit submittal reviews, and contractual timeframes for
review and comments. In the event that the Contract Documents show different durations for
railroad review, the longest railroad review period within the Contract Documents shall prevail.
The design of the Project shall be performed to maximize distance from railroad loading
influence so to minimize impacts to permanent railroad infrastructure. The Contractor shall
ensure that permanent improvements (i.e. abutments, piers, etc.) are not placed within railroad
right-of-way.
The Contractor shall coordinate all needed railroad design reviews and shall coordinate with the
applicable railroad(s) to determine plan package submissions required for railroad review
including defining limits of railroad regions of concern. In addition, plan package review
submissions shall be developed in the agreed defined limits of railroad regions of concern as
applicable to the impacted railroad. Design packages shall be submitted at interim, final, and
construction unless otherwise agreed with the applicable railroad(s). Submittals shall include all
Work within the applicable railroad region of concern (as agreed with the railroad and
Contractor) and shall not be segmented partial design pieces of an entity but shall be the overall
design phased submission of the entity. Buildable Unit Submittals for railroad review shall not be
defined by types of Work, but shall be determined by the limits of railroad regions of concern.
Construction submittals for track protection, construction erection procedures, and other
construction related submittals which require railroad approval and review shall be submitted
with the construction design submittal to the railroad. These submittals shall be concurrent to
the Department.
The Contractor shall coordinate responses to railroad review comments ensuring adequate and
reasonable responses to all railroad review comments and shall coordinate, with the
Department’s assistance, all identified railroad flagmen needed for construction operations.
If the Contractor is directed by a railroad company to perform work not specifically required by
the Contract Documents or a Railroad Agreement, the Department will not compensate the
Contractor for this work unless the Department approves the request in writing before the work
begins. The Department will not compensate the Contractor if the railroad’s direction is
reasonably and ordinarily expected while considering similar conditions at the same time and
locality.
The Contract Documents will indicate various railroad review time frames for technical
submittals, which the Contractor shall validate with the railroad(s) as part of the Phase 2
Proposal. Upon approval by the Department of the adjusted railroad’s technical submittal review
time, the Contractor shall cooperate with the Department to ensure the revised technical
submittal review times are adopted in the railroad’s updated schedule. The Contractor shall
ensure that the Project Schedule includes all needed railroad interaction timings. The Phase 2
Change Order will include dates when the Department expects the railroad to complete railroad
infrastructure relocation or adjustment, if applicable. The Contractor shall provide adequate
notification consistent with the notification protocols in the applicable railroad’s manual
throughout the Construction Period to railroads who are required to adjust their infrastructure to
prevent conflict with the Contractor’s schedule of operations. The Contractor shall reasonably
adjust its operations if its planned construction efforts conflict with railroad infrastructure

adjustment or relocations. The Contractor shall provide sufficient detail with respect to each
railroad’s infrastructure relocations and show the time frame or date when the railroads are
scheduled to complete their railroad infrastructure relocations or adjustments in the Design
Documents. The Contractor shall provide a complete listing and details of railroad infrastructure
relocations or adjustments required to deliver the Work within the Phase 2 Proposal and any
omissions therefrom shall not be grounds for a Claim.
The Contractor shall consider all past railroad interactions when determining phasing, response
times, and past railroad responses when preparing the Phase 2 Proposal, and shall anticipate
and incorporate sufficient Float in the Project Schedule to accommodate railroad actions which
may include re-submittals of plan review packages.
If any railroad fails to relocate or adjust infrastructure as provided for in the Contract
Documents, or fails to meet reasonable and defined submittal review timeframes, and the
Contractor sustains losses or delays that could not have been avoided by the judicious design
efforts, reasonable accommodation or by judicious handling of forces, Equipment, and plant, or
by reasonable revisions to the schedule of operations, then the Department will adjust the
Contract according to Section 13 (Time Extension to the Completion Deadlines and Payment for
Excusable Delays) for Critical Path delay impacts and Section 12.8 (Changes and Extra Work
Price Determination). The Contractor shall be eligible for additional compensation and extension
of contract time only if:
A. The Contractor has made every effort to prosecute the Work and mitigate impacts
despite any delays encountered or revisions in the Contractor’s scheduling of Work.
B. The Contractor has made every reasonable effort to design and construct the Work to
reasonably avoid the railroad impact.
7.4 Railroad Agreements
The Department has entered into, or is in the process of entering into, Railroad Agreements with
each of the affected railroads which will be included in the Phase 2 Change Order. Technical
coordination shall be handled by the Contractor with notification to the Department.

8 SUBCONTRACTING REQUIREMENTS
8.1 Compliance with Subcontracting Requirements
The Contractor shall comply with all applicable requirements of the Contract Documents relating
to Subcontracts and shall ensure that all Subcontractors and Subconsultants performing Work
on the Project comply with all applicable requirements of the Contract Documents relating to
Subcontracts and subcontracting generally.
8.2 Limitation on Subcontracted Work

The Contractor shall perform Phase 2 Work amounting to not less than 30 percent of the
Contract Price with its own organization, unless otherwise approved by the Department. The
phrase “its own organization” includes only workers employed and paid directly by the
Contractor or the Principal Participants, inclusive of employees who are employed by a lease
agreement acceptable to the Department, and Equipment owned or rented with or without
operators by the Contractor. The phrase does not include employees or equipment of a
Designer, Subconsultant, Subcontractor, assignee, or agent of the Contractor.
The Subcontractor Bidding and Selection Plan shall identify self-performance and
subcontracting percentages and shall separately identify the percentage of the Work that the
Contractor intends to subcontract to Affiliates and the percentage of the Work that the
Contractor intends to subcontract through an arm’s length transaction in which the Contractor
and Affiliates may not bid. The Contractor’s percentage of the total Contract Price includes the
cost of Materials and manufactured products purchased by the Contractor, but not the cost of
Materials and manufactured products purchased by Subcontractors.
The Department will calculate the Contractor’s percentage based on the quantities shown in
each Work Package Proposal and the unit prices of the Contract Items to be performed by the
Contractor’s organization. If the Contractor performs only a portion of a Contract Item, then the
Department will determine the proportional value administratively on the same basis. The
Department will follow this procedure even when the part not subcontracted consists only of the
procurement of Materials. However, if a firm both sells the Materials to the Contractor and
performs the Work of incorporating the Materials into the Project, then the Department will
consider these two phases in combination and as a single subcontract. If an affiliate of the firm
either sells the Materials or performs the Work, the Department may refuse approval. An affiliate
is one who has some common ownership or other close relation to said firm.
The Contractor shall use actual Subcontractor and Subconsultant prices for calculating
compliance with any Disadvantaged Business Enterprise (DBE) percentage subcontracting and
subconsulting obligations. If only a part of a Contract Item is sublet, then determine its
proportional value administratively on the same basis. The Department will follow this procedure
even when the part not sublet consists only of procuring Materials. However, if a firm both sells
the Materials to the Contractor and performs the Work of incorporating the Materials into the
Project, then the Department will consider these two phases in combination and as a single
Subcontract. If an affiliate of the firm either sells the Materials or performs the Work, the
Department may refuse approval.

8.3 Limitation on Organizational Changes

The Contractor shall not add, delete, or change the role of any of the Contractor or Principal
Participant without the prior written approval of the Department.
8.4 Selection of Subcontractors

Prior to awarding any Major Subcontract for the Construction Work or the supply of Materials or
Equipment, the Contractor shall be required, for each subcontract package, to solicit the
minimum number of competitive bids set forth in the Subcontractor Bidding and Selection Plan.
Following analysis of the bids in accordance with the Subcontractor Bidding and Selection Plan,
the Contractor shall be entitled to award the subcontract package to the Subcontractor agreed
by the Parties to offer the best value, provided that the selected Subcontractor’s bid does not
exceed by more than 10 percent the independent estimate for that subcontract package
prepared by the ICE. In the event that the selected Subcontractor’s bid exceeds the
independent estimate for that subcontract package by more than 10 percent, the Department
shall be entitled to require the Contractor, at no additional cost to the Department, to re-
package, re-bid or value engineer the subcontract package one time per subcontract package.
Subcontracted Work that is not competitively bid will be subject to the pricing process included
in Exhibit G (Pricing Process). In the event that the selected Subcontractor’s bid exceeds the
independent estimate for that subcontract package by more than 10 percent, and the Work
cannot be reconciled to within 10 percent of the independent estimate for that subcontract
package, the Department shall be entitled to require the Contractor, at no additional cost to the
Department, to competitively procure the Work.
8.5 Substitution of Subcontractors

The Contractor shall not substitute any Subcontractor or Subconsultant with another
Subcontractor or Subconsultant or cause any subcontracted Work to be performed by any
Person other than the approved Subcontractor of Subconsultant, unless:
A. The approved Subcontractor or Subconsultant, after having reasonable opportunity to

do so, fails or refuses to execute a Subcontract that incorporates the requirements of
the Contract Documents and/or, if applicable, the terms of such Subcontractor’s
written bid or proposal;
B. The Subcontractor or Subconsultant fails or refuses to perform the Work under the
Subcontract;
C. The Subcontractor or Subconsultant is substantially delaying or disrupting the
progress of the Work;
D. The Subcontractor or Subconsultant fails or refuses to meet the insurance or bonding
requirements set forth in this Contract;
E. Work performed by the Subcontractor or Subconsultant is unsatisfactory and not in
substantial accordance with the Contract Documents;
F. The Subcontractor or Subconsultant is not licensed pursuant to Legal Requirements;
and/or
G. The Subcontractor or Subconsultant becomes bankrupt or insolvent.

The Contractor shall submit any request to substitute a Subcontractor or Subconsultant or any
request for subcontracted Work to be performed by any Person other than the approved
Subcontractor of Subconsultant to the Department by no later than 10 Days prior to the date of
the proposed substitution together with a written statement setting for the reasons for the
proposed substitution. In the event the Subcontractor or Subconsultant that is proposed to be
replaced constitutes a DBE, then the Department must also consent to such substitution of the
DBE Subcontractor or DBE Subconsultant. The Contractor shall submit a termination or
replacement form consistent with the requirements in Exhibit L (Disadvantaged Business
Enterprise (DBE) Performance Plan and Good Faith Efforts) prior to the change occurring and
obtain the Department’s consent before taking any action.
8.6 Subcontracts for Professional Services and Pre-construction

Work
Engagement and selection of Subcontractors or Subconsultants performing Professional
Services, Planning Work or Pre-construction Work, other than Subcontractors or
Subconsultants that employ any of the Key Personnel, shall be coordinated with and approved
by the Department. Prior to the award of any such Subcontract, the Department may require the
Contractor to solicit qualifications and proposals from multiple firms for Professional Services,
Planning Work, Pre-Construction Work or other work required.
Subject to the Department's approval and the requirements of Section 1.6 (Federal
Requirements), the Contractor shall negotiate price and terms for each Professional Services,
Planning and Pre-construction Work Subcontract that conform to standard industry practice for
work of similar scope and complexity.
8.7 Affiliate Subcontracts

The Contractor shall have the right to have Work performed by Affiliates only under the following
terms and conditions:
1. The Contractor shall execute a written Subcontract with the Affiliate;

2. The Subcontract shall comply with all applicable provisions of Section 1.6 (Federal
Requirements), be consistent with the Contract Documents and the Standard of Care,
and be in form and substance similar to Subcontracts being used by the Contractor for
similar Work with unaffiliated Subcontractors;
3. The Subcontract shall set forth the scope of Work and all pricing, terms, and
conditions;
4. The pricing, scheduling, and other terms and conditions of the Subcontract shall be no
less favorable to the Contractor (and in turn, the Department) than those that the
Contractor could reasonably obtain in an arm’s length, competitive transaction with an
unaffiliated Subcontractor. The Contractor shall bear the burden of proving to the
Department that the same are no less favorable to the Contractor;
5. No Affiliate shall be engaged to perform any Work that any Contract Document
indicates shall be performed by an independent or unaffiliated party; and

6. No Affiliate shall be engaged to perform any Work that would be inconsistent with the
requirements of the Contract Documents or the Standard of Care.
Before entering into a written Subcontract, supplement, or amendment with an Affiliate, the
Contractor shall submit a true and complete copy of the proposed Subcontract to the
Department for Approval with a cover memorandum orienting the Department to all pricing
terms. The Department will have 20 Business Days after receipt to deliver its comments to the
Contractor.
The Contractor shall make no payments to Affiliates for Work in advance of performance
thereof, except for reasonable mobilization payments or other payments consistent with arm's
length, competitive transactions of similar scope. Advance payments in violation of this provision
shall be excluded from the calculation of termination compensation under Section 21
(Termination for Convenience).
8.8 Subcontractor Bidding and Selection Plan for Construction

Work
The Contractor shall prepare the Subcontractor Bidding and Selection Plan for Construction
Work in a form reasonably acceptable to the Department.
8.9 Required Subcontract Terms

Each Subcontract, excluding material purchase orders and any other contracts for materials
entered into with Subcontractors that will not be performing any Work on the Site, shall include
terms and conditions sufficient to ensure compliance by the Subcontractor or Subconsultant
with all applicable requirements of the Contract Documents, and shall include provisions
addressing the following requirements as well as any other terms that are specifically required
by the Contract Documents to be included therein:
1. Each Subcontract of any tier shall include terms substantially similar to the terms in
this Contract to the extent that such terms are relevant to such Subcontract. “Terms
substantially similar” in all instances shall include:
a. Grants of Intellectual Property Rights;
b. Access constraints and requirements pertaining to the Project Site;
c. Maintenance of books and records;
d. Joinder to, obligation to offer evidence in, Dispute Resolution Procedures, if
necessary, in the Department's sole judgment, to resolve a Dispute;
e. Compliance with all Federal Requirements, including the attachment of FHWA
Form 1273 in the exact form as provided in Exhibit N (Contract Provisions for
Federal Aid Construction Contracts); and
f. Non-discrimination provisions as required by Section 9.3.8 (Incorporation of
Provisions).
2. Each Subcontract of any tier shall include a provision that states that the
Subcontractor is not a third-party beneficiary to the PDBC.
3. Each Construction Phase Subcontract of any tier shall:

a. Prohibit retainage in excess of 10% of the amount of payment under the

Subcontract, if no separate performance and/or payment security is provided by
the lower-tier Subcontractor;
b. Prohibit retainage entirely under the Subcontract, if separate performance and/or
payment security is provided by the lower-tier Subcontractor;
c. Provide that amounts withheld as retainage, if allowed, from Subcontractors shall
be returned within 30 Days after the Work required under the Subcontract is
satisfactorily completed; and
d. Provide that delay or postponement of payment under the Subcontract may only
be effected after the Contractor or higher-tier Subcontractor, as applicable, has
established good cause and that the delay or postponement is in accordance with
the Contractor's or higher-tier Subcontractor's, as applicable, rights under the
Subcontract.
4. Each Subcontract of any tier shall include payment (including “prompt payment”) and
other terms in compliance with this Contract and applicable Laws, including
specifically no “pay if paid” clauses, or words of similar effect.
5. Each Subcontract of any tier shall include language acknowledging the timing of
payments from the Department to the Contractor hereunder and the process set forth
herein for the submission and review of invoices or requests for payment, as
applicable.
6. Each Subcontract of any tier shall expressly include a covenant to require the
Subcontractor to participate, at the Contractor's request, in meetings between the
Contractor and the Department concerning matters pertaining to such Subcontractor,
its work, or the coordination of its work with other Subcontractors and contractors to
the Department.
7. Each Subcontract of any tier shall expressly require the Subcontractor to stop Work on
the date and to the extent specified in a Notice of Termination in accordance with
Section 21 (Termination for Convenience).
8. Each Subcontract of any tier shall expressly permit assignment to the Department of
all Contractor rights under the Subcontract in the event of termination pursuant to
Section 21.
9. Each Subcontract shall provide that the Department is a third-party beneficiary of the
Subcontract and shall have the right to enforce all terms of the Subcontract for its own
benefit.
10. Each Subcontract shall provide that all guarantees, indemnities, professional
responsibility, and warranties, express and implied, shall inure to the benefit of the
Department as well as the Contractor.
11. Each Subcontract shall provide for the use of appropriate alternative Dispute
Resolution mechanisms to resolve payment disputes.
12. Each Subcontract of any tier shall expressly provide that any purported amendment
with respect to any of the foregoing matters without the prior written consent of the
Department will be null and void.

8.10 Prompt Payment

In accordance with ORC 4113.61, the Contractor covenants and agrees to make payment to
each Subcontractor, Subconsultant and Supplier within 10 Days after Contractor’s receipt of
payment from the Department for Work performed or Materials delivered or incorporated into
the Project, provided that the Estimate prepared by the Contractor and approved by the
Department includes Work performed or Materials delivered or incorporated into the Project by
the Subcontractor, Subconsultant or Supplier.
Further, each Subcontractor, Subconsultant and Supplier shall covenant and agree in their
corresponding Subcontract or supplier agreement to make payment to each lower tier
subcontracting or subconsultant entity or lower tier supplying entity within 10 Days after
Subcontractor’s, Subconsultant’s or Supplier’s receipt of payment from the Contractor for Work
performed or Materials delivered or incorporated into the Project, provided that the Estimate
prepared by the lower tier subcontracting or subconsulting entity or lower tier supplier entity was
incorporated and relied upon by the Subcontractor, Subconsultant or Supplier in its Estimate to
the Contractor for Work performed or Materials delivered or incorporated into the Project. The
Contractor hereby acknowledges and agrees that it shall be prohibited from holding retainage
from Subcontractors, Subconsultants or Suppliers that can provide a Surety Bond. For
unbonded Subcontractors, Subconsultants and Suppliers, the Contractor shall promptly release
any retainage held, as set forth in any Subcontract or supplier agreement, 30 Days after the
Work has met satisfactory completion.
For the purposes of this section, “satisfactory completion” of the Construction Work will be
interpreted as occurring when the applicable Subcontractor has completed all physical work and
submitted any necessary documentation required by the Contract Documents and the
Department and “satisfactory completion” of all other Work will be interpreted as occurring when
the applicable Subcontractor or Subconsultant has completed all Work or the applicable
Supplier has delivered all Materials and, in each case, submitted all necessary documentation
required by the Contract Documents and the Department.. No Subcontract provision shall
permit the Contractor to delay any Subcontractor’s Subconsultant’s or Consultant retainage
payments until the Project’s final payment.
The Contactor further covenants and agrees to require all Subcontractors, Subconsultants and
Suppliers to incorporate the foregoing contractual obligations in each of their respective lower
tier contracts.
If the Department determines that any Contractor, Subcontractor, Subconsultant or Supplier

subject to this provision fails to comply with the foregoing 10-Day payment requirement, then
the offending party shall pay, in addition to the payment due, interest in the amount of 18
percent per annum of the payment due, beginning on the eleventh Day following the receipt of
payment from the Department and ending on the date of full payment of the payment due plus
interest.
Repeated failures to pay Subcontractors , Subconsultants or Suppliers timely pursuant to this

subsection will result in a finding by the Department that the Contractor is in breach of PDBC
and subject to all legal consequences that such a finding entails. Further, repeated failures to
pay timely pursuant to this subsection will result in a lower evaluation score for the Contractor

and those Subcontractors, Subconsultants and Suppliers who are subject to evaluation by the
Department.
To demonstrate its compliance with Ohio’s prompt payment statute and related provisions,
Contractor hereby covenants and agrees to comply with the reporting requirements set forth in
Exhibit Q (Prompt Payment - ODOT Let Construction Projects).
8.11 General Responsibility for Work by Others

1. The retention of Subcontractors by the Contractor will not relieve the Contractor of its
responsibilities under the Contract Documents or for the quality of the Work, materials,
or services provided by Subcontractors.
2. The Contractor shall supervise and be fully responsible for the acts and omissions of
any Contractor-Related Entity in connection with the Work, the Site, or the Project, as
though the Contractor directly employed all such individuals.

9 LABOR REQUIREMENTS
9.1 Introduction
The Contractor shall comply with comply with the following Exhibits:
• Exhibit L (Disadvantaged Business Enterprise (DBE) Performance Plan and Good

Faith Efforts).
• Exhibit M (Disadvantaged Business Enterprise (DBE) Trucking; DBE Materials and
Supplies Vendors (MSVs)).
• Exhibit O (Notice of Requirement of Affirmative Action to Ensure Equal Employment
Opportunity and Workforce Diversity Requirements on all ODOT Administered
Federally Funded Projects).
• Exhibit P (On-The-Job Training Program).
9.2 Labor Laws to be Observed
The Contractor, under Title VI of the Civil Rights Act and related statutes, agrees that in the
hiring of employees for the performance of Work under this PDBC or any Subcontract
hereunder, the Contractor, consultant, Subconsultant, Subcontractor, nor any person acting on
behalf of the Contractor shall, by reasons of race, religion, color, sex, national origin, disability or
age, discriminate against any citizen of the United States in the employment of labor or workers,
who are qualified and available to perform the Work to which the employment relates.
The Contractor, Subcontractor, consultant, Subconsultant, nor any person on their behalf shall,
in any manner, discriminate against or intimidate any employee hired for the performance of
Work under this PDBC on account of race, religion, color, sex, national origin, disability or age.
The Contractor shall comply with OAC-4123:1-3, entitled “Specific Safety Requirements of the
Industrial Commission of Ohio Relating to Construction,” as amended, and with the Federal
Occupational Safety and Health Act of 1970 and Code of Federal Regulations, Title 29, Chapter
XVII, Part 1926 and as amended for work in Ohio.
As provided in KRS Chapter 338 in the Kentucky Occupational Safety and Health Act and in
subsequent regulations and standards promulgated by the Kentucky Occupational Safety and
Health Standards Board, do not require any personnel employed in performance of the
Contract, including employees of Subcontractors, to work in surroundings or under working
conditions that are unsanitary, hazardous, or dangerous to the employee’s health and safety for
Work with the Commonwealth of Kentucky.
The Contractor shall comply with Federal, State, and local laws, rules, and regulations that
prohibit unlawful employment practices including that of discrimination because of race, religion,
color, sex, national origin, disability or age and that define actions required for Affirmative Action
and Disadvantaged Business Enterprise (DBE) programs.
9.3 Non-Discrimination Regulations

During the performance of the Work, the Contractor, its assignees and successors in interest,
agrees as follows:

9.3.1 Compliance with Regulations

The Contractor shall comply with the Acts and Regulations relative to Non-discrimination in
Federally-assisted programs of the U.S. Department of Transportation, Federal Highway
Administration (FHWA), as they may be amended from time to time, which are herein
incorporated by reference and made a part of this PDBC.
9.3.2 Non-discrimination
The Contractor, with regard to the Work, will not discriminate on the grounds of race, color,
national origin, sex, age, disability, low-income status, or limited English proficiency in the
selection and retention of Subcontractors / Subconsultants, including procurements of Materials
and leases of Equipment. The Contractor will not participate directly or indirectly in the
discrimination prohibited by the Acts and the Regulations as set forth in Section 9.3.6 (Pertinent
Non-discrimination Authorities), including employment practices when the contract covers any
activity, project, or program set forth in Appendix B of 49 CFR Part 21.
9.3.3 Solicitations of Subconsultants, including procurement of Materials

and Equipment
In all solicitations, either by competitive bidding, or negotiation made by the Contractor for Work
to be performed under a Subcontract, including procurements of Materials, or leases of
Equipment, each potential Subcontractor / Subconsultant or supplier shall be notified by the
Contractor of the Contractor’s obligations under this contract and the Acts and the Regulations
relative to nondiscrimination on the grounds of race, color, national origin, sex, age, disability,
low-income status, or limited English proficiency.
9.3.4 Information and Reports

The Contractor shall provide all information and reports required by the Acts, the Regulations,
and directives issued pursuant thereto, and shall permit access to its books, records, accounts,
other sources of information, and its facilities as may be determined by the Department, KYTC
or FHWA to be pertinent to ascertain compliance with such Acts, Regulations, and instructions.
Where any information required of a Contractor is in the exclusive possession of another who
fails or refuses to furnish this information, the Contractor will so certify to the Department, KYTC
or FHWA, as appropriate, and will set forth what efforts it has made to obtain the information.
9.3.5 Sanctions for Noncompliance

In the event of a Contractor’s noncompliance with the Nondiscrimination provisions of this
contract, the Department will impose such contract sanctions as it, KYTC or FHWA may
determine to be appropriate, including, but not limited to:
A. Withholding payments to the Contractor under the PDBC until the Contractor
complies; and/or
B. Cancelling, terminating, or suspending the PDBC, in whole or in part.
9.3.6 Pertinent Non-Discrimination Authorities
During the performance of the Phase 1 Work, the Contractor, for itself, its assignees, and
successors in interest (hereinafter referred to as the “contractor,” which includes consultants)

agrees to comply with the following nondiscrimination statutes and authorities; including but
not limited to:
A. Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et seq., 78 stat. 252)
(prohibits discrimination on the basis of race, color, national origin); and 49 CFR Part
21.
B. The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970
(42 U.S.C. § 4601) (prohibits unfair treatment of persons displaced or whose property
has been acquired because of Federal or Federal-Aid programs and projects).
C. Federal-Aid Highway Act of 1973 (23 U.S.C. § 324 et seq.) (prohibits discrimination on
the basis of sex).
D. Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. § 794 et seq.), as amended
(prohibits discrimination on the basis of disability) and 49 CFR Part 27.
E. The Age Discrimination Act of 1975, as amended (42 U.S.C. § 6101 et seq.) (prohibits
discrimination on the basis of age).
F. Airport and Airway Improvement Act of 1982 (49 U.S.C. § 471, Section 47123), as
amended (prohibits discrimination based on race, creed, color, national origin, or sex).
G. The Civil Rights Restoration Act of 1987 (PL 100-209) (broadened the scope,
coverage, and applicability of Title VI of the Civil Rights Act of 1964, the Age
Discrimination Act of 1975, and Section 504 of the Rehabilitation Act of 1973, by
expanding the definition of the terms “programs or activities” to include all of the
programs or activities of Federal-Aid recipients, sub-recipients, and contractors,
whether such programs or activities are Federally funded or not).
H. Titles II and III of the Americans with Disabilities Act (42 U.S.C. §§ 12131-12189), as
implemented by Department of Transportation regulations at 49 CFR parts 37 and 38
(prohibits discrimination on the basis of disability in the operation of public entities,
public and private transportation systems, places of public accommodation, and
certain testing entities).
I. The Federal Aviation Administration’s Non-Discrimination Statute (49 U.S.C. § 47123)
(prohibits discrimination on the basis of race, color, national origin, and sex).
J. Executive Order 12898, Federal Actions to Address Environmental Justice in Minority
Populations and Low-Income Populations (ensures non-discrimination against minority
populations by discouraging programs, policies, and activities with disproportionately
high and adverse human health or environmental effects on minority and low-income
populations).
K. Executive Order 13166, Improving Access to Services for People with Limited English
Proficiency, and resulting agency guidance, national origin discrimination includes
discrimination because of limited English proficiency (LEP). To ensure compliance
with Title VI, you must take reasonable steps to ensure that LEP persons have
meaningful access to your programs (70 Fed. Reg. at 74087 to 74100).
L. Title VIII of the Civil Rights Act of 1968 (Fair Housing Act), as amended (prohibits
discrimination in the sale, rental, and financing of dwellings on the basis of race, color,
religion, sex, national origin, disability, or familial status (presence of child under the
age of 18 and pregnant women).

M. Title IX of the Education Amendments Act of 1972, as amended (20 U.S.C. 1681 et
seq.) (prohibits discrimination on the basis of sex in education programs or activities).
N. Uniformed Services Employment and Reemployment Rights Act of 1994 (USERRA 38
U.S.C. 4301-4335) (prohibits discrimination on the basis of present, past or future
military service).
O. Genetic Information Nondiscrimination Act (GINA) (29 CFR Part 1635, 42 U.S.C.
2000ff).
9.3.7 49 CFR Part 26.13(b)
The Contractor agrees not to discriminate on the basis of race, color, national origin, or sex in
the performance of this contract. The Contractor agrees to carry out applicable requirements of
49 CFR Part 26 in the award and administration of DOT-assisted contracts. The Contractor
understands that failure to carry out these requirements is a material breach of this PDBC,
which may result in the termination of this PDBC or such other remedy as the Department
deems appropriate, which may include, but is not limited to: a) Withholding monthly progress
payments; b) Assessing sanctions including any of the following:
A. Letter of reprimand;
B. Contract termination; and/or
C. Other remedies available by law including administrative suspension (consultant
debarred from pursuing additional contracts).
9.3.8 Incorporation of Provisions
The Contractor shall include the provisions of Section 9.3.1 (Compliance with Regulations)
through Section 9.3.7 (49 CFR Part 2613(b)) above in every Subcontract, including
procurements of Materials and leases of Equipment, unless exempt by the Acts, the
Regulations, and directives issued pursuant thereto. The Contractor shall take action with
respect to any subcontract or procurement as the Department or FHWA may direct as a means
of enforcing such provisions including sanctions for noncompliance. Provided, that if the
Contractor becomes involved in, or is threatened with litigation by a Subconsultant, or supplier
because of such direction, the Contractor may request the Department to enter into any
litigation to protect the interests of the Department. In addition, the Contractor may request the
United States to enter into the litigation to protect the interests of the United States.

10 AUTHORIZED REPRESENTATIVES AND KEY PERSONNEL

10.1 Authorized Representatives
10.1.1 Department Authorized Representatives
The authority and responsibility of each Department Authorized Representative will be provided
by the Department to the Contractor in a Notice delivered to the Contractor or in any Notice to
Proceed.
The Department Authorized Representatives, and the authority and responsibilities of the
Department Authorized Representatives, may from time to time be changed by Notice to the
Contractor from the Department.
Nothing in this Contract shall be construed to bind the Department for acts of any Department
employee or any other Person that exceed the authority delegated to them under this Contract
or in any other written delegation.
10.1.2 Contractor’s Representative

At all times during the Term, the Contractor shall designate a Contractor’s Representative with
full authority to represent and act for the Contractor. The Contractor shall designate its initial
Contractor’s Representative prior to issuance of the Sub-Phase 1A NTP.
The Contractor’s Representative shall act for the Contractor in all matters concerning the Work
and, subject to all requirements of this Contract, shall have the following authority and
obligations:
A. Ability to organize the Work and the Work of the Subcontractors/Subconsultants, to

complete the Work in accordance with this PDBC; and
B. Ability to delegate defined authority to other Contractor personnel (who upon such
delegation also become Contractor’s Representatives, as provided in this Contract, to
the extent specified), subject to Notice to, and acceptance by the Department, which
acceptance can be withheld for any reason or no reason at all.
In order for the Contractor to “Designate” an individual as a Contractor’s Representative for the
purpose of this Section 10.1.2 (Contractor’s Representative), the following process shall occur.
First, the Contractor shall submit, in writing, a request to the Department seeking to appoint or
change any Contractor’s Representative. Any request submitted by the Contractor shall contain
a representation by the Contractor that the individual proposed will, subject only to acceptance
by the Department, have full authority to represent and act for the Contractor and be delivered
together with supporting documentation of the individual's qualifications and capacity to perform
the role. Second, once in receipt of the Contractor’s request, the Department shall have the right
to accept or reject the designated individual(s) for any reason or no reason at all. If the
Department is satisfied with the designation, it shall issue, in writing, an acceptance of the
Contractor’s designated individual(s).
The Contractor’s Representative may be the same individual or a different individual to the
individual designated as the Contractor‘s 'Project Manager' under the Key Personnel provided
that if the Contractor’s Representative is a different individual to the individual designated as

'Project Manager', the Contractor’s Representative shall be an individual with authority over the
Contractor's designated 'Project Manager'.
10.2 Character of Workers, Methods and Equipment

The Contractor shall be required to provide personnel with sufficient skills and experience to
perform all assigned tasks. In ensuring that all personnel have sufficient skills and experience,
the Contract shall ensure and at no time allow any Prohibited Person to act or perform in any
ownership, leadership, managerial, or other similar position that could influence the operations
of an entity doing business with the Department.
If the Department gives written notification that specific Contractor’s, Consultant’s,

Subconsultants’, or Subcontractors’ personnel are improperly performing the Work, intemperate,
disorderly, or creating a hostile work environment, the Contractor shall be required to remove
the identified personnel from the Project, and the Contractor shall be obligated to not allow
removed personnel to return to the Project without the Department’s approval. If the Contractor
fails to remove the identified personnel, then the Department shall have the right, in its sole
discretion, to suspend the Work that is affected by the identified personnel by delivering Notice
in accordance with Section 20 (Suspension of Work). If the Department suspends the Work
under the previous clause, the suspension shall in no way, relieve the Contractor of its
obligations contained in the Contract Documents or entitle the Contractor to a Change Order in
accordance with Section 12 (Contract Changes). In the event that the Contractor disagrees with
the Department’s decision that a Contractor’s, Consultant’s, Subconsultants’, or Subcontractors’
personnel should be removed, the Contractor shall follow the dispute resolution provisions in
Section 18 (Partnering and Dispute Resolution).
The contractor shall be required to use Equipment of sufficient size and mechanical condition to
complete the Project by the Substantial Completion Deadline. In addition, the Contractor shall
ensure that the Equipment does not harm the Roadway, adjacent property, other highways,
workers, or the public.
The Contractor shall determine the design methodologies, construction methods or Equipment
necessary to complete the Work according to the Contract Documents.
10.2.1 Suspension of Work Due to Character of Workers

Subject to Section 20 (Suspension of Work), the Department may suspend the Work by Notice
under this subsection for the following reasons:
A. The Contractor does not furnish sufficient skilled and experienced personnel to
complete the Project by the Substantial Completion Deadline.
B. The Contractor does not remove personnel from the Project as directed in writing by
the Department.
In the event that the Department suspends work under this Section 10.2.1 (Suspension of Work
Due to Character of Workers), the Contractor shall comply with Section 20.3 (Contractor
Responsibilities during Suspension).

10.3 Design and Engineering Personnel

For licensing, certifications and accreditations required for Key Personnel, refer to Section 24.1
(Maintenance of Professional Qualifications; Performance by Qualified Personnel).
10.4 Key Personnel

The Contractor shall retain, employ and use the Key Personnel along with other individuals
specifically named/identified in Exhibit D (Key Personnel and Principal Participants) to fill the
Key Personnel positions. The Contractor shall not change or substitute any such individuals
except due to retirement, death, disability incapacity, or voluntary or involuntary termination of
employment, or as otherwise approved by the Department as described below. Department
approval shall not be unreasonably withheld, delayed or conditioned if the proposed substitute
individual possesses skill, knowledge and professional experience in the relevant fields that is
equal to or greater than the skill, knowledge and professional experience of the person being
replaced.
The Key Personnel shall receive instructions from the Department and Department Authorized
Representatives. The Key Personnel shall promptly execute the Department’s orders or
directions, promptly perform Work as required, and promptly supply the required Materials,
Equipment, tools, labor, and incidentals.
The Contractor shall notify the Department of any proposed replacement for any Key Personnel
position. The Department shall have the right to review the qualifications and character of each
individual to be appointed to each position and to approve or disapprove use of such individual
in such position before the proposed replacement begins work on the Project. The Department
shall have the right to contact owners and/or sponsors of projects on which the proposed
individual has previously worked to verify work experience and positions held. The Contractor
shall, upon the Department’s request, provide contact information to facilitate this verification.
The Contractor shall ensure and maintain the availability of the proposed replacement.
The Contractor shall provide the Department with office and cell phone numbers and email
addresses for the Key Personnel. The Department shall have the ability to contact any Key
Personnel 24 hours per day, 7 days per week. All Key Personnel shall be immediately
accessible during the duration of their tenure as applicable to the phase of the Project and shall
be reasonably accessible throughout the Term to answer questions as needed.
10.5 Representations Regarding Key Personnel

The Contractor acknowledges and agrees that the award of this PDBC by the Department to the
Contractor was based, in large part, on the qualifications and experience of the personnel listed
in Exhibit D (Key Personnel and Principal Participants), and the Contractor’s commitment that
such individuals would be available to undertake and perform the Work. The Contractor
represents, warrants and covenants that such individuals are available for and will fulfill the
roles identified for them in connection with the Project. Key Personnel shall commit the amount
of time to their applicable roles as agreed to in the Contract Documents. The Contractor shall
document such commitment to the Department’s satisfaction upon the Department’s request.

11 CONTRACTOR’S COMPENSATION
11.1 Compensation for Phase 1 Work
11.1.1 Cost Principles and Limitations
The Contractor’s compensation for Professional Services undertaken in the performance of the
Phase 1 Work shall be computed as the actual paid direct labor rates for the personnel
performing the Phase 1 Work multiplied by the number of hours worked by such personnel
multiplied by the Phase 1 Multiplier Rate.
The Phase 1 Multiplier Rate includes direct labor costs, overtime payments, indirect costs
(overhead), travel, subsistence, non-salary direct costs and facilities capital cost of money.
Other actual and documented costs for the Phase 1 Work will be compensated at actual cost.
The Project Mark-up will be applied to compensation for the Phase 1 Work.
The Contractor’s compensation for the Phase 1 Work is subject to the limitations and exclusions
set forth in the remainder of this Section 11.1 (Compensation for Phase 1 Work).
The Phase 1 Multiplier Rate is subject to the limitations and exclusions set forth in Exhibit G
(Pricing Process) Part 2 (Professional Services Costs).
11.1.2 Phase 1 Estimates and Payments

The Contractor shall submit bi-monthly invoices for payment on the first (1st) day and the
fifteenth (15th) day of each month (each a “Processing Date”), the Department will approve
payments to the Contractor (the “Period Costs”). In the event the Period Costs are not approved
on the corresponding Processing Date, then the Period Costs shall be approved as soon as
practicable after all discrepancies are resolved. All direct costs, as applicable to the form of
compensation, shall be properly supported by time records and/or copies of receipts or other
acceptable evidence of expenses. Actual costs shall be determined in conformance with the
PDBC, applicable provisions of the Department’s policies and directives, the FHWA’s Federal-
Aid Policy Guide, and the cost principles set forth in FAR Part 31, as further discussed and
clarified in the AASHTO Uniform Audit & Accounting Guide.
The Department may make DBE specific work item payments if, in the Department’s judgement,
DBEs performed Work within the invoiced period. DBE work item payments may be made by
the Department regardless of DBE invoice payment requests made by the Contractor and the
requirements of Section 8.10 (Prompt Payment) shall apply.
The Department will return to Contractor any invoices that are incomplete and/or incorrect in
any material respect for correction and resubmittal.
11.1.3 Compensation for the Sub-Phase 1A Work

The Contractor shall complete the Sub-Phase 1A Work under the compensation arrangement
described in Section 11.1.1 (Cost Principles and Limitations). Total compensation may not
exceed the Maximum Sub-Phase 1A Prime Compensation set forth in Exhibit B (Contract
Particulars), subject to any Change Order.

The Contractor shall monitor the Sub-Phase 1A expenditure and track progress of all Sub-
Phase 1A Work, and any adjustments by Change Order to the Maximum Sub-Phase 1A Prime
Compensation, calculated in accordance with Section 12 (Contract Changes).
11.1.4 Compensation for the Sub-Phase 1B Work

If a Sub-Phase 1B Change Order is issued, the Contractor shall complete the Sub-Phase 1B
Work under the compensation arrangement described in Section 11.1.1 (Cost Principles and
Limitations).
The Contractor shall monitor the Sub-Phase 1B expenditure and track progress of all Sub-
Phase 1B Work, Project Scope changes and associated adjustments to the Maximum Sub-
Phase 1B Prime Compensation, calculated in accordance with Section 12 (Contract Changes).
The Contractor’s compensation during Sub-Phase 1B may not exceed the Maximum Sub-Phase
1B Prime Compensation approved by the Department,) unless subject to change in accordance
with Section 12.
11.1.5 Requirements for FAR Participants

This Section 11.1.7 is applicable to those Component Firms (the “FAR Participants”) that
establish and maintain acceptable, fully articulated Financial and Cost Accounting Systems that
track, classify, and allocate costs in accordance with the requirements of Part 31 of the Federal
Acquisition Regulation (FAR Part 31) and applicable Cost Accounting Standards (the “FAR
Participants”).
To qualify as a FAR Participant, the Component Firm must submit an indirect cost rate schedule
(ICRS) compliant with FAR Part 31, applicable Cost Accounting Standards, and related Federal
regulations. The ICRS must be approved by either ODOT's Office of External Audits or KYTC's
External Audit Branch. As evidence of approval, the Component Firm shall provide the project
team an ICRS approval certificate or letter from ODOT or KYTC, as applicable.
FAR Participants shall maintain labor-time records in a manner that will permit, at any time
during the performance of the Phase 1 Work or at the conclusion of the Phase 1 Work, a direct
comparison of estimated labor listed in any Price Proposal that is accepted by the Department
and incorporated into a Sub-Phase 1A Change Order or Sub-Phase 1B Change Order to actual
labor expended. In accordance with FAR Part 31 the FAR Participant bears the burden of proof
to establish the allowability, allocability, and reasonableness of any costs. This applies to all
costs, including costs directly assigned to and the Work and Indirect Costs recovered through
the application of an overhead rate and/or facilities capital cost of money (FCCM) rate.
The Department may conduct interim and final Audits and/or Financial Reviews to determine the
actual, allowable costs incurred during Phase 1. In all cases, the Department will apply the cost
principles and procedures set forth in FAR Part 31, as amended from time to time, and any
other special criteria established in the PDBC. This includes additional Department policies
and/or interpretations of Federal laws and regulations, including the AASHTO Uniform Audit &
Accounting Guide, the State of Ohio Travel Regulations (Ohio Administrative Code Rule 126-1-
02), and/or the KYTC Professional Services Policies and Regulations as applicable.
In compliance with 23 U.S.C. 112(b)(2)(B), all FAR Participants that perform any Professional
Services shall submit indirect cost schedules compliant with FAR Part 31 and related Cost

Accounting Standards. ODOT does not require CPA-audited indirect cost schedules; however, if
a CPA has performed such an audit, it shall be included in the submittal package.
11.2 Compensation for Early Work and Phase 2 Work

11.2.1 Unilateral Authority to Pay
The Department has unilateral authority to pay the Contractor sums the Department determines
to be due to the Contractor for Work performed on the Project. This includes the unilateral
processing of Change Orders, if necessary, to create line items, unit rates and/or quantities to
make these payments. This unilateral authority to pay by the Department does not preclude or
limit the rights of the Department and the Contractor to negotiate and agree to the amounts to
be paid to the Contractor.
11.2.2 Scope of Payment

Payment of the Contract Price is full compensation for all resources necessary to complete the
associated Work Package and maintain the Work. The Contractor shall assume liability for risk,
loss, damage, or expense resulting from the Work. The Contract Price and Contract Time shall
only be changed by written Change Order or as determined by the Department in writing in
accordance with the Contract Documents. The total amount payable to the Contractor by the
Department for the performance of the relevant Early Work Package or Phase 2 Change Order
shall not exceed the Contract Price, as adjusted for any Changes and Extra Work or any
Excusable Compensable Delays.
11.2.3 Compensation Structure

The Department has not determined the compensation approach for Early Work Packages or
the Work Package(s) pertaining to the Phase 2 Work. In conjunction with the development of
the Contract Price applicable to any Work Package, the Department reserves the right to select
the Lump Sum compensation approach or to establish a Guaranteed Maximum Price (GMP). In
each case, the corresponding Contract Price will be established in accordance with Exhibit G
(Pricing Process); provided however, the specific terms and conditions to establish a GMP will
be set forth in an addendum to the RFP modifying Exhibit G and this Section 11.
In the event the Department elects to establish a Lump Sum compensation method for Early
Work Packages or the Work Package(s) comprising the Phase 2 Work, such Lump Sum pricing
and compensation method shall be conducted in accordance with this Section 11 and the terms
and conditions of Exhibit G (Pricing Process). Under the Lump Sum compensation method, the
payment by the Department of a Lump Sum item shall be deemed to include complete payment
for the Work described in that item.
In the event the Department elects to establish a Guaranteed Maximum Price (GMP)
compensation method for an Early Work Package or the Work Package(s) comprising the
Phase 2 Work, the amount of the GMP will be established prior to execution of the
corresponding Change Order in accordance with Exhibit G – (Pricing Process) and Section,
each as amended in an addendum to the RFP. The GMP pricing methodology set forth in
Exhibit G – (Pricing Process) will provide for:

i. compensation on an Open Book Basis;

ii. adjustments to the GMP for Change Orders and any deductions allowable under the
PDBC;
iii. parameters for the sharing of cost savings between the Department and the
Contractor;
iv. the Contractor’s responsibility for all costs over the GMP; and
v. such additional parameters for the GMP development process, including an agreed
upon project accounting system and auditing process, invoicing and progress
measurement processes, risk management processes and other terms and conditions
reasonably required to accommodate a GMP compensation method.
11.2.3.1 Incentive and Disincentive Provisions
Appropriate incentives and/or disincentives will be set by the Department dependent upon the
achievement by the Contractor of the Milestone Deadlines. The Department intends for the
Parties to establish equitable incentive and disincentive provisions taking into consideration
further development during Phase 1 of the Base Design, the Risk Register, the MOT Plan and
the Project Schedule.
11.2.4 Estimates and Payments

The Contractor shall submit bi-monthly invoices for payment for each Work Package. The
Contractor shall estimate the current percentage completion of each cost and resource loaded
schedule activity as depicted in the approved Project Schedule. The Contractor shall justify the
estimated current percentage completed by providing the estimated level of Work completed
compared to the total work for each activity in the Project Schedule. DBE specific work items
shall be separately itemized and shall correspond to the DBE work item breakdown in the
Project Schedule.
The Department will review each proposed current percentage completion and revise the
percentage based on the Department’s judgment of the percent completed or Work performed.
The Department may make DBE specific work item payments if, in the Department’s judgment,
DBEs performed Work within the invoiced period. DBE work item payments may be made by
the Department regardless of DBE invoice payment requests made by the Contractor and the
requirements of Section 8.10 (Prompt Payment) shall apply. The percentage of completion
accepted by the Department, multiplied by the portion of the Contract Price attributable to the
invoiced Item of Work as depicted in the approved Project Schedule, will define the gross
amount of the payment due to the Contractor for that item of Work. Each payment is
approximate, and all partial Estimates and payments are subject to correction after payment by
the Department.
The Department will return to Contractor any invoices that are incomplete and/or incorrect in
any material respect for correction and resubmittal.
Payment for Work and Materials shall not, in any way, prevent later rejection if Nonconforming
Work is discovered, nor shall payment constitute acceptance under Section 5.14 (Completion
Deadlines and Acceptance).

The Department is entitled to withhold payment for any Lump Sum or unit priced item in any
Estimate that is deficient in Material approval.
Except for Estimates generated during Project finalization, the Department will not pay an
Estimate until the Contractor certifies to the Department that the Work for which payment is
being made was performed in accordance with the Contract Documents. Certification shall be
made on forms provided by the Department.
No Estimate or payment shall be construed as acceptance of Nonconforming Work.
The Department will not pay the adjusted Final Estimate until the Contractor remedies all
Nonconforming Work and accepted Work damaged by the Contractor’s operations.
Interest will be paid in accordance with ORC 126.30 (Interest on Late Payments for Goods and
Services) when warranted.
11.2.5 Payment for Materials

The Department will pay, up to 75 percent of the applicable Contract Item, for the invoiced cost
of the delivered and approved Materials before they are incorporated in the Work, if the
approved Materials are delivered, accepted, and properly stored on the Project Site or stored in
storage places in the vicinity of the Project that are acceptable to the Department. The
Department shall have the sole, exclusive right to reasonably determine if Materials have been
stored in storage places in the vicinity of the Project.
The Department will pay for the cost of approved Materials before they are incorporated in the
Work when requested by the Contractor, if the Department determines that it is not practical to
deliver the Material to the Project Site and determines that storage off the Project Site is
appropriate. Any payment for Materials manufactured for the Project and stored off the Project
Site shall be conditioned upon compliance by the Contractor with procedures satisfactory to the
Owner to establish the Owner's title to such Materials or otherwise protect the Owner's interest,
and shall include applicable insurance, storage, and transportation to the Project Site. The
Contractor shall also comply with the following specific requirements:
i. Title to such Materials shall be vested in the Owner, as evidenced by documentation

satisfactory in form and substance to the Owner, including, without limitation, recorded
financing statements, UCC filings and UCC searches.
ii. The Contractor shall submit to the Owner a written list identifying each location where
materials are stored off the Project Site and the value of Materials at each location.
iii. The consent of any surety shall be obtained to the extent required prior to payment for
any Materials stored off the Project Site.
iv. Representatives of the Owner shall have the right to make inspections of the storage
areas at any time.
v. Such Materials shall be (1) protected from diversion, destruction, theft, and damage to
the satisfaction of the Owner, (2) specifically marked for use on the Project, and (3)
segregated from other Materials at the storage facility.
The Contractor shall reimburse the Owner for any loss or damage to such unincorporated
materials or equipment not covered by insurance.

The storage of Materials off-site of the Project Site applies primarily for bulky Materials that are
durable in nature and represent a significant portion of the Project cost as determined by the
Department, such as aggregates, steel, and precast concrete.
The Department will pay for un-fabricated structural steel if the following requirements are met,
in addition to the specific requirements (i-v) above:
A. The Contractor has provided the Department an itemized invoice from the steel mill for
the steel for which reimbursement is requested. For Ohio steel also supply the ODOT
Office of Materials Management a copy of the itemized invoice.
B. Project structural steel design plans are complete with no forthcoming revisions.
Provide Contractor accepted shop drawings per ODOT C&MS 501.04 (Shop
Drawings), or KYTC SS 607.03 as appropriate.
C. Contractor accepted certified test data for all steel in question along with mill shipping
notices have been received by the Department. In Ohio the accepted certified test
data per ODOT C&MS 501.06 (Test Reports) shall be received by Office of Materials
Management. In Kentucky reports shall be per KYTC SS 607.03.13.
D. The steel is properly stored to allow inspection by the Department. It shall also be
properly set apart from other Material and identified as belonging to the Department.
E. The Contractor provides the Department a written statement that in accordance with
the requirements of Section 6 (Control of Materials), the Contractor is responsible for
the steel that has been paid for until the actual steel is erected and accepted in the
field.
Payment shall only be authorized after all the documentation listed above has been received by
the Department and the steel has been inspected by the Department and its Office of Materials
Management to verify that all steel listed in the itemized invoice has been received by the
fabricator and properly stored. The amount to be paid shall be equivalent to the itemized invoice
from the steel mill but shall not exceed 50% of the Contract Item price for the structural steel.
The Department will not pay delivered Materials on small warehouse items or for plant
Materials.
11.2.6 Mobilization
11.2.6.1 Description
Mobilization consists of the preparatory Work and operations including, but not limited to, those
necessary for the movement of personnel, Equipment, supplies, and incidentals to the Project
Site; for the establishment of all field offices, buildings, and other facilities necessary for Work
on the Project; for all other Work and operations that must be performed or costs incurred
before beginning the Work on the other Contract Items; and for demobilization.
11.2.6.2 Limitation
The Lump Sum amount for mobilization shall not exceed the percentage of the Contract Price
set forth in Exhibit G (Pricing Process) Part C.8 (Mobilization).

11.2.6.3 Basis of Payment

The Department will make partial payments according to Section 11.2.4 (Estimates and
Payments) and as modified by the following schedule:
Cost for Mobilization will be established according to Exhibit G (Pricing Process) by including
the actual estimated Mobilization costs attributed to the elements of Work. These costs will be
included in the CPM Activities for which the Mobilization costs are required.
The Department will make partial payments according to Section 11.2.4.
11.2.7 Pay Adjustments

Pay adjustments shall be based on the required adjustment computation method or procedure
as defined by the applicable specification or contract provision.
For pay adjustments based on a unit price/cost, the Contractor shall provide a unit price in the
SOV developed in accordance with Exhibit G (Pricing Process). If unit prices are used as the
basis for any portion of the Contract Price, those unit prices shall be used as the unit price/cost
component when calculating the applicable pay adjustment. For each unit priced item, the pay
adjustment shall be calculated as the difference between the unit price used as the basis for the
Contract Price and the computed adjustment to that amount multiplied by the applicable number
of units.
Pay adjustments will be paid or deducted from payments to the Contractor through the Change
Order process.
Pay adjustments associated with price fluctuation will be made according to the mechanism
shown in Exhibit W (Price Fluctuation Clauses).
11.3 Phase 2 Payment Deductions

11.3.1 Withholdings
Progress payments of the Contract Price will be subject to certain withholding and set-off rights
of the Department, including the right to deduct amounts due and owing from the Contractor to
the Department under the Contract.
11.3.2 Lane Closure Deductions

Per Exhibit S (Lane Value Contract), the Contractor shall be assessed disincentives as
designated in the Lane Value Contract table for each unit of time each described critical
lane/ramp is restricted from full use by the traveling public within the restricted time period. The
Contractor shall be assessed a disincentive as designated in the Unauthorized Lane Use table
for each unit of time each critical lane/ramp is closed by the Contractor’s action while not
otherwise permitted by the Contract.
The values of disincentives will be developed and agreed between the Parties during Phase 1
and the completed Lane Value Contract tables and processes for assessing disincentives will
be included as part of the Phase 2 Change Order.

11.3.3 Noncompliance Deductions

Certain of the Contractor’s failures to perform and breaches of its contractual obligations under
the Contract Documents constitute Noncompliance Events (NCEs) that may result in the
assessment of Noncompliance Points. Noncompliance Points will be assessed by the
Department only with respect to the Phase 2 Work. The Contractor will be assessed
Noncompliance Charges with respect to accumulated Noncompliance Points.

12 CONTRACT CHANGES
12.1 Applicability of Section 12 Change Order Process
The following information, obligations, and duties set forth in this Section 12 (Contract Changes)
shall apply only for Construction Work.
This PDBC sets forth additional Change Orders for alternative purposes. Any Change Order
performed for one of the following purposes has its own requirements, procedures, duties,
and/or obligations contained within one of the following Sections of the PDBC.
1. For any Change Order executed for the purpose of modifying the Sub-Phase 1A
Project Scope, the Change Order shall be performed and executed in accordance with
Section 2.3.2.
2. For any Change Order executed for the purpose of progressing the PDBC from Sub-
Phase 1A to Sub-Phase 1B, the Change Order shall be executed in accordance with
Section 2.3.2.1.
3. For any Change Order executed for the purpose of modifying the Sub-Phase 1B
Project Scope, the Change Order shall be executed in accordance with Section 2.3.3.
4. For any Change Order executed for the purpose of authorizing Early Work Packages,
the Change Order shall be executed in accordance with Section 2.3.3.1.
5. For any Change Order executed for the purpose of progressing the PDBC from Sub-
Phase 1B to Phase 2, the Change Order shall be performed and executed in
accordance with Section 2.3.3.2 and Section 2.4.1.
12.2 Changes in the Work
At any time, and without invalidating this PDBC or releasing the surety, the Department
reserves the right to make, in writing, changes, revisions, or alterations in the Work when
necessary to complete the Project satisfactorily. The Contractor shall perform the Work as
revised by the Department.
If the Contractor believes that the Department directed changes, revisions, or alterations in the
Work are material in kind or nature from the Work indicated by the Contract Documents, the
Contractor may request a Change Order prior to performing the specified Work. The
Department will evaluate and determine if the request is warranted and, at its discretion,
process a Contract adjustment by Change Order as described below.
For Contract adjustments that reduce the scope of Work, the cost adjustment for the revised
Work along with the Phase 1 and Phase 2 Markup on the eliminated scope shall be deducted
from the Contract Price.
All changes in the Work shall be requested and authorized before commencing such changes
pursuant to the PDBC changes process set forth in this Article 12.

12.3 Modifications to the PDBC

The Contract may be amended or modified only by a Change Order which upon execution by
both the Department and Contractor shall become part of the Contract Documents.
12.4 Change Orders

A Change Order is a written instrument signed by the Department and the Contractor stating
their agreement upon all of the following:
(1) A change in the Work;
(2) The amount of the adjustment, if any, in the Contract Price; and
(3) The extent of the adjustment, if any, in the Contract Time.
The Change Order document shall be prepared by the Department, after the evaluation and
approval of a validly submitted RCO, and executed by the Contractor. Once executed by the
Contractor, the Change Order will should be presented submitted to the Department to execute
and approve. Upon approval and execution by the Department, the Change Order shall
constitute a Supplemental Agreement to the PDBC and only then a Contract Document shall
become a part of the Contract Documents.
Methods used in determining adjustments to the Contract Price shall include those listed in
Section 12.7 (Changes and Extra Work Price Determination) and Exhibit I (Delay Costs).
Adjustments to the Contract Time, if any, shall be determined as set forth in Section 13 (Time
Extension to the Completion Deadlines and Payment for Excusable Delays) and Exhibit T
(Critical Path Method Progress Schedule). The Contractor shall submit RCOs requesting
changes in Contract Time separately and individually from RCOs requesting a modification in
Contract Price. RCOs requesting a change in the Contract Time and Contract Price stemming
from the same issue, should be considered as companions to one another and referenced as
such in the RCOs. The Department reserves the right to not approve and/or not consider any
RCO that is requesting both an adjustment to the Contract Time and Contract Price in the same
RCO. As set forth in Section 13 (Time Extension to the Completion Deadlines and Payment for
Excusable Delays) and in Exhibit T (Critical Path Method Progress Schedule), in order to
warrant an increase in the Contract Time, the Contractor must demonstrate (i) that the Work
affected by the change is on the Critical Path of the Project Schedule and (ii) materially
adversely impacts the Completion Dates as determined in accordance with Exhibit T (Critical
Path Method Progress Schedule).
The Contractor must provide the Department with a Notice of Potential Change Order (“NPCO”),
in accordance with Section 12.4.1 (Notice of Potential Change Order) and, if warranted a
Request for Change Order (“RCO”) upon becoming aware of any item of Work the Contractor
considers Extra Work as defined in Exhibit A (Acronyms and Definitions) or for any other item
the Contractor believes warrants a Change Order affecting either: the Contract Price or the
Contract Time. Any RC that is not subject to the EDR procedure outlined in Section 13 (Time
Extension to the Completion Deadlines and Payment for Excusable Delays) shall be submitted
within seven (7) days of the Department’s Change Event Mitigation Notice for a Change Event
Mitigation Plan as defined in Section 12.4.1.3 (Change Event Mitigation Plan), if any. Any RCO

that is subject to the EDR procedures outlined in Section 13 must. be submitted within seven (7)
days of the Departments Notice, as set forth in Section 13.4.3 (Excusable Delay Change Order).
The Contractor’s Submission of the RCO shall be considered an absolute condition precedent
to the issuance of a Change Order as a result of any item of Work the Contractor considers
Extra Work as defined in Exhibit A (Acronyms and Definitions) or for any other item the
Contractor believes warrants a Change Order impacting either: the Contract Price or the
Contract Time. Contractor’s failure to provide the RCO within the required seven (7) days of any
of the triggering events set forth herein shall be deemed a waiver by the Contractor to any claim
for a change in the Contract Price or the Contract Time associated with the underlying event
and/or underlying Extra Work associated with the NPCO that is the subject of the triggering
event(s).
The notice(s) in Section 12.4.1 (Notice of Potential Change Order) shall satisfy the initial notice
requirements as set forth in Section 18.2 for the Dispute Resolution procedures.
Notwithstanding, the Department and the Contractor agree that neither party shall pursue the
Dispute Resolution procedures in Section 18.2 (Dispute Resolution) until the Contractor has
either (i) received the Department’s written notice with respect to its decision pertaining to any
RCO or EDR pursuant to Sections 12 and 13, (ii) the Contractor has received the Department’s
decision after successfully mitigating or resolving an event as required under Section 12.4.1.1,
and/or (iii) the Contractor fails to execute a Change Order prepared by the Department or
expressly rejects a proposed Change Order. In no event shall the Dispute Resolution
Procedures begin before one of the events, (i)-(iii) has occurred.
12.4.1 Notice of Potential Change Order (“NPCO”)

As a precondition to submitting any RCO, unless the RCO is the result of the process set forth
in Section 12.4.3 (Procedure for Department Initiated RCO), the Contractor must submit a
NPCO to the Department in accordance with this Section 12.4.1. The NPCO process consists of
the following steps:
1. the Contractor, shall provide immediate oral notification to the Department containing
sufficient details for the Department to identify the circumstance(s) or event(s)
requiring mitigation or resolution that may result in a change to the Contract
Documents and/or Work.
2. if after two (2) Working Days following the Department’s receipt of the Contractor’s
oral notification in under (1) above, the Department has not mitigated or resolved such
circumstance(s) or event(s) identified by the Contractor, the Contractor shall provide
written notice to the Department containing a sufficient description of the
circumstance(s) or event(s) and a preliminary projection of the potential impacts.
The oral and written notices made under this Section 12.4.1, shall also constitute the notices
required under Section 18.2 (Dispute Resolution).
In the event that the Department is unable to mitigate or resolve the event in accordance with
Section 12.4.1.1 (Department Mitigation/Resolution Before Written Notice) and the Contractor
has issued its written notice as stated in Section 12.4.1 (Notice of Potential Change Order), the
Department shall notify the Contractor that the Contractor may or may not be required to submit
a detailed mitigation action plan to the Department (the “Change Event Mitigation Notice”). If the

Change Event Mitigation Notice states that the Contractor is required to submit a detailed
mitigation action plan, such detailed mitigation action plan shall be submitted within seven (7)
Days of the Contractor’s receipt of the Change Event Mitigation Notice. Such mitigation action
plan shall be in accordance with Section 12.4.1.3 (Change Event Mitigation Plan).
12.4.1.1 Department Mitigation/Resolution Before Written Notice

Upon receipt of the Contractor’s oral notice in accordance with Section 12.4.1, the Department
will attempt to mitigate and/or resolve the circumstance(s) or event(s) described in such oral
notice, unless the underlying event causing the Contractor to issue the NPCO is a change in the
Contract Time and/or Contract Price due to a Weather event, in which instance the Contractor
shall comply with the procedures outlined in Section 15 (Weather).
In the event that the Department is able to resolve the circumstance(s) or event(s) before the
receipt of Contractor’s written notice, the Department may instruct the Contractor to do any or all
of the following that may apply:
1. submit a RCO pursuant to Sections 12.4 and 12.4.2 if the resolution and/or mitigation
by the Department requires a modification in the Contract Price that is not caused by
Delay Costs;
2. submit an EDR pursuant to Section 13.4 (Procedure for Requesting Delay Costs and
Completion Deadlines Alterations) requesting a modification to the Contract Time,
alone, in accordance with Section 13.4.1 (Excusable Delay Request); or
3. submit an EDR pursuant to Section 13.4 requesting a modification to the Contract
Time and a modification in the Contract Price that is caused by Delay Costs, in
accordance with Section 13.4.1 (Excusable Delay Request).
In the event that the Department has determined that the conditions or events which are the
subject of the NCPO do not warrant the issuance of a Change Order, the Contractor may elect
to proceed with the Dispute Resolution Procedures pursuant to Section 18.2 (Dispute
Resolution). The notices transmitted pursuant to Section 12.3.1 shall satisfy the notice
requirements necessary to initiate the Dispute Resolution Process set forth in Section 18.2
(Dispute Resolution). The Department may, in its sole discretion, issue a Construction Change
Directive in accordance with Section 12.5 (Construction Change Directive).
12.4.1.2 Department Unable to Mitigate/Resolve Change Event

In the event that the Department cannot resolve the circumstance(s) or event(s) that are the
subject of a NPCO within two (2) business Days of the Contractor’s oral notice provided in
accordance with Section 12.4.1, 1 and the Contractor proceeds to issue a written notice in
accordance with Section 12.4.1, 2, unless the underlying event causing the Contractor to issue
the NPCO is a change in the Contract Time due to weather, in which case the Department shall
instruct the Contractor to comply with the procedures outlined in Section 15 (Weather), the
Department shall analyze the notice and monitor the corresponding circumstance(s) or event(s)
giving rise to such notice. Following the Department’s analysis of the circumstance(s) or
event(s), the Department shall notify the Contractor:
1. that Department agrees that a change in the Contract Price may have occurred, in
which case, the Contractor shall prepare an RCO in accordance with this Section 12.4
(Contract Changes) and Section 12.4.2 (RCO Contents); or

2. the Department has: (a) determined that time is of the essence and (b) there is not
ample time to determine if a change in Contract Price or increase in Contract Time
has occurred and/or is warranted, in which case the Department shall proceed under
Section 12.5 (Construction Change Directive) and issues a Construction Chance
Directive; or
3. the Department has determined that the circumstance(s) or event(s) may have
resulted in the need for: (a) a change in the Contract Time with no change in Contract
Price or (b) a change in the Contract Time with a change in the Contract Price due to
delay costs, regardless of whether or not the circumstance(s) or event(s) have
resulted in a change in the Contract Price, not caused by delay cost, in which case,
the Contractor shall submit an Excusable Delay Request in accordance with Section
13.4.1 (Excusable Delay Request); and/or
4. The Department has determined that there has not been a change in the scope of the
Work that warrants a Change Order, in which case, the Contractor may elect to
proceed with the Dispute Resolution Procedures pursuant to Section 18.2 (Dispute
Resolution), which the notices in Section 12.4.1 (Notice of Potential Change Order
(“NPCO”) shall satisfy the notice requirements of Section 18.2 (Dispute Resolution).
12.4.1.3 Change Event Mitigation Plan
If the Department elects to require the Contractor to submit a mitigation action plan in the
Department’s Change Event Notice, the Contractor shall submit such mitigation action plan
pertaining to the conditions or events that are the subject of a NPCO, Contractor’s mitigation
plan shall include the following unless instructed otherwise by the Department:
1. Include full details of the actions that the Contractor proposes to take to avoid,
mitigate, or minimize the consequences of the event and a description of how those
proposed actions will mitigate and/or minimize the effects of the event;
2. Describe any additionally resources, labor, Materials, plant, or Equipment as
applicable, that the Contractor proposes to dedicate to perform each of the proposed
actions to avoid, mitigate, or minimize the consequences of the event, which costs
must be estimated and included in the mitigation plan and may be included in any
RCO requesting a change in the Contract Price due to direct costs or EDR for a
change in the Contract Price if the event is a Category 2 Event;
3. State the time within which the Contractor will implement each of the actions
described in the proposed mitigation plan; and
4. Include any additional information reasonably requested by the Department.
The Contractor shall submit any mitigation action plan within seven (7) days of Change Event
Mitigation Notice. Upon the submission of a mitigation action plan to the Department, in
accordance with this Section 12.4.1.3 (Change Event Mitigation Plan), the Department may
reject in whole or in part the mitigation action plan. In the event the Department does reject in
whole or part of the mitigation action plan, the Contractor shall amend and resubmit the
mitigation action plan (or the part rejected) to the Department within seven (7) Days of receiving
notice of the Department’s rejection of the mitigation action plan.
If the Department accepts in whole or in part a submitted mitigation action plan, in accordance
with this Section 12.4.1.3 (Contract Mitigation Plan), then the Contractor shall act in accordance
with the accepted mitigation plan (or the accepted part of the mitigation action plan, as

applicable) in order to mitigate the effects of the event. In addition, all actions taken by the
Contractor to mitigate the effects of the event and the progress of those actions shall be
documented by the Contractor.
In the event that the Department has not responded to a submitted mitigation action plan (or a
part of it), in accordance with this Section 12.4.1.3 (Contract Mitigation Plan), within seven (7)
Days of receipt, the mitigation action plan (or part of it) shall be deemed accepted by the
Department, and the Contractor should act in accordance with Contractor’s proposed Change
Event Mitigation Plan.
12.4.2 RCO Contents

At minimum, an RCO shall include, as applicable:
1. the scope of work which describes in detail all additional or changed (or both) activities
to be authorized by a subsequent Change Order;
2. an initial cost estimate by utilizing the information and formulas specified in Section
12.8 (Changes and Extra Work Price Determination), Exhibit H (Force Account
Provisions), and Exhibit I (Delay Costs), as may be applicable, to calculate any
potential cost changes or the Detailed Cost Analysis submitted in conjunction with an
EDR request as described in Section 13.4.1.1 (Detailed Cost Analysis), if applicable;
3. an impact analysis to all Baseline Schedules affected, indicating in such analysis all
activities affected by the change, with activity numbers, durations, predecessor and
successor activities, resources, and cost, and a narrative report, if the RCO pertains to
changes in Contract Time or Contract Price caused by delay costs, which shall only be
applicable for an RCO as a result of the EDR process in Section 13.4 (Procedure for
Requesting Delay Costs and Completion Deadlines Alterations);
4. the approximate number of Days that the delay to the Critical Path of the affected
Baseline Schedule(s) was adversely impacted utilizing Exhibit T (Critical Path Method
Progress Schedule) and Section 13.4.2 (Excusable Delay Notice Analysis and
Measurement), if the RCO pertains to changes in Contract Time or Contract Price
caused by delay costs, which shall only be applicable for an RCO as a result of the
EDR process in Section 13.4 (Procedure for Requesting Delay Costs and Completion
Deadlines Alterations); and/or
5. any other supporting documentation that may be helpful or requested by the
Department.
12.4.3 Department Receipt and Procedure for RCOs
Upon the receipt of any RCO that has been submitted in accordance with Section 12 (Contract
Changes) and/or Section 13 (Time Extension To The Completion Deadlines and Payment For
Excusable Delay), except for an RCO as a result of Section 12.4.4 (Procedure for Department
Initiated RCOs), the Department shall immediately notify the Contractor of its receipt of the
RCO. After providing the Contractor notice of the Department’s receipt, the Department shall
have seven (7) Days to consider and review the RCO. On the seventh (7th) Day after the
submittal of the RCO, the Department shall notify the Contractor the Department’s acceptance
or rejection of the RCO.

If the Department notifies to the Contractor that the Department has rejected the RCO, the
Department must include a description of the basis as to its rejection. Further, upon receipt of
the notice of the rejection of the RCO, the Contractor may elect to proceed with the Dispute
Resolution Procedures pursuant to Section 18.2 (Dispute Resolution) The notices transmitted
pursuant to Section 12.3.1 shall satisfy the notice requirements of Section 18.2 (Dispute
Resolution).The Department may issue a Construction Change Directive in accordance with
Section 12.5 (Construction Change Directive).
The Contractor's signature on a Change Order shall constitute a full, final, and complete waiver
and settlement of any and all claims, demands, and causes of action that Contractor has, or
may have in the future, arising out of or relating to the Change Order and the occurrences, acts,
omissions, or events upon which the Change Order is based. No "reservation of rights" or other
attempt by Contractor to preserve, notwithstanding Contractor's signature on the Change Order,
present or future claims arising out of or relating to the Change Order (or arising out of or
relating to the cumulative effect of the Change Order in combination with other change orders)
shall be effective unless Owner and Contractor shall both agree, in a separate writing signed by
both parties contemporaneously with Contractor's execution of the Change Order, to the
specific terms, conditions, scope, and duration of such reservation of rights.
12.4.4 Procedure for Department Initiated RCOs

The Department may issue an RCO pursuant to the procedures set forth in Sections 12.4.4.1
(Consultation Meeting) through Section 12.4.4.3 (Contractor RCO).
12.4.4.1 Consultation Meeting

The Department shall give notice to the Contractor of its desire to initiate an RCO. Within seven
(7) Days after the Contractor’s receipt of the Department’s notice to initiate an RCO, the
Department and the Contractor shall consult to define the proposed scope of the change,
including rough order of magnitude of cost and time impacts, if any, relating to the Work that is
the subject of the RCO.
12.4.4.2 Preparation of Estimate

Within seven (7) Days after the consultation meeting referenced in Section 12.4.4.1
(Consultation Meeting) above, the Department shall notify the Contractor whether the
Department desires the Contractor to prepare the RCO that would account for costs of the Work
in the proposed scope and the impacts on the Critical Path of any of the Baseline Schedules, as
applicable, or keep the existing Baseline Schedules and reflect reasonable acceleration costs,
which will be determined in accordance with Section 12.8.4 (Directed Acceleration) at a later
date, needed to meet the existing Completion Deadlines.
12.4.4.3 Contractor RCO

If requested by the Department, the Contractor shall prepare and submit to the Department for
approval, an RCO within fourteen (14) Days after the receipt of the Department’s request to
Contractor to prepare an RCO. Such Contractor prepared RCO shall comply with all
requirements as set forth in Section 12.4 and shall include all requests made by the
Department. The Contractor shall bear the costs of developing the RCO, including subsequent
modifications requested by the Department.

12.4.4.4 Disagreement Regarding Additional Time and/or Cost

If the Department and Contractor disagree as to whether the change justifies an adjustment in
the Contract Price or Contract Time, or the amount of such adjustment regarding Contract Time
or Contract Price , the Department may, in its sole discretion, issue a Construction Change
Directive in accordance with Section 12.5 (Construction Change Directive). During the
performance of the Work pertaining to a Construction Change Directive, the Contract may elect
to concurrently proceed with the Dispute Resolution Procedures set forth under Section 18.2
(Dispute Resolution).
12.4.5 Items Not Eligible for Change Orders

The Contractor acknowledges and agrees that the basis for an increase in the Contract Price or
Contract Time for any Completion Deadlines is limited to the conditions and events set forth in
Sections 12 (Contract Changes) and 13 (Time Extension to the Completion Deadlines and
Payment for Excusable Delays). Notwithstanding anything to the contrary set forth herein, the
Contractor shall have exclusive responsibility for:
1. Errors, omissions, inconsistencies, inaccuracies, deficiencies or other defects in the

Design Documents prepared by the Contractor (including errors, omissions,
inconsistencies, inaccuracies, deficiencies or other defects traceable to errors,
omissions, inconsistencies, inaccuracies, deficiencies or other defects in the Design
Documents);
2. Any design changes required by the Department as part of the process of making the
Design Documents consistent with the requirements of the Contract Documents;
3. Defective or incorrect schedules of Work or changes in the planned sequence of
performance of the Work (except to the extent that changes in the planned sequence
of performance of the Work arise from causes which otherwise give rise to a right to a
Change Order);
4. Action or inaction of a Subcontractor (unless arising from causes which otherwise give
rise to a right to a Change Order);
5. Failure to integrate work of an adjoining property owner or of another contractor with
the Contractor’s Work;
6. Untimely delivery, unavailability or defectiveness of material, equipment or products
specified by the Contract Documents unless otherwise applicable pursuant to Section
13.2.1, D (Category 1 Events – Excusable, Non-Compensable Delays);
7. Any delay that does not materially adversely impact the Critical Path of the applicable
Baseline Schedule;
8. Costs covered by insurance proceeds received by or on behalf of the Contractor;
9. Correction of Nonconforming Work and review and acceptance thereof by the
Department;
10. Failure by the Contractor to comply with Contract Documents requirements;
11. Escalation in labor, equipment, or materials prices ; and

12. Any situations which, while not within one of the categories delineated above, were or
should have been reasonably anticipated by the Contractor based on the Contract
Documents or the nature of the Work.
The Contractor hereby assumes responsibility for all such matters and acknowledges and
agrees that assumption by the Contractor of responsibility for such costs and delays, and the
consequences and costs resulting therefrom, is reasonable under the circumstances of the
Contract and that whatever contingencies the Contractor included in the Contract Price or
Project Schedule constitute sufficient consideration for its acceptance and assumption of
Contractor’s risks and responsibilities as set forth herein.
12.4.6 No Release or Waiver

12.4.6.1 Extension of Time for Performance
No extension of time granted hereunder with respect to the Contract Time shall release the
Contractor's Surety from its obligations set forth in the Surety’s Bond. The Department shall not
be deemed to have waived any rights under this Contract as the result of any grant of an
extension of any Completion Deadlines, any acceptance of performance of any part of the Work
completed after a Completion Deadline, or the making of any payments to the Contractor after
the Completion Deadline.
12.4.6.2 No Change Order Based on Course of Conduct or Order by

Unauthorized Person
No course of conduct or dealings between the parties, nor express or implied acceptance of
alterations or additions to the Work, and no claim that the Department has been unjustly
enriched shall be the basis for any claim, request for additional compensation, or extension of a
Completion Deadline. Further, the Contractor shall undertake, at its risk, work included in any
order or other authorization issued by a Person in excess of that Person's authority as provided
herein or included in any verbal request. The Contractor shall be deemed to have performed
such work as a volunteer and at its sole cost. In addition, the Department may require the
Contractor to remove or otherwise revise any such work, if not in compliance with the Contract
Documents, at the Contractor's sole cost.
Contractor shall remove or otherwise revise any Work, if not in compliance with the Contract
Documents, at the Contractor's sole cost and expense.
12.5 Construction Change Directive

A Construction Change Directive will be primarily utilized by the Department where the
completion of Work is of the essence to maintain the Project Schedule and the impact of such
changes needed to complete the Work are not yet fully known or agreed upon between the
Department and the Contractor preventing the processing and approval of a Change Order. In
such event where time is of the essence, the Department may issue a Construction Change
Directive that shall include (i) a description of the scope of work to be performed pursuant to the
Construction Change Directive and (ii) the Department’s estimate of the work impacted. The
Construction Change Directive may or may not impact the Contract Price or Contract Time. In
the event that a Construction Change Directive is issued by the Department, the Contractor

shall be required to track the performance of the work to be performed under the Construction
Change Directive pursuant to the force account procedures set forth in Section 12.8.2 (Force
Account) until the impacts of the Construction Change Directive are known and the procedures
and process outlined in Section 12.8.1 (Negotiated Prices) occur.
12.5.1 Effective Execution of Construction Change Directive

The Contractor shall execute the Construction Change Directive upon receipt. An executed
Construction Change Directive by the Contractor confirms the Contractor’s acceptance and
agreement with the scope of the Work to be performed and the methodology in which the Work
and associated costs shall be tracked.
12.5.2 Operation Under Executed Construction Change Directive

Once a Construction Change Directive has been executed by the Contractor, the Contractor will
proceed in accordance with the scope of the Work described in the Construction Change
Directive. As soon as practicable after the execution of the Construction Change Directive, the
Department and the Contractor shall utilize commercially reasonable efforts to agree upon a
change in the Contract Price and/or a change in Completion Dates, as applicable.
If the Department and Contractor reach an agreement regarding (1) a change in Contract Price,
if any, and/or (2) a change in Completion Dates, if any, the Contractor shall proceed to submit
an RCO in accordance with Sections 12.4 (Change Orders) and 12.4.2 (RCO Contents) and/or
an EDR in accordance with Section 13.4.1 (Excusable Delay Request); provided however, if the
Department and Contractor cannot reach an agreement regarding: a change in Contract Price
or Contract Time then the Contractor may elect to proceed with the Dispute Resolution
Procedures set forth under Section 18.2 (Dispute Resolution).
Notwithstanding anything to the contrary contained herein, any failure by the Contractor to
perform the work specified under a Construction Change Directive shall constitute a Contractor
Default under this PDBC.
12.6 Disputes Regarding Change Order(s)/Construction Change

Directive(s)
If the Contractor and the Department cannot come to an agreement regarding amount of
adjustment to the Contract Price, and/or an adjustment to the Contract Time, pursuant to the
Change Order process outlined in this Section 12 and/or Section 13, the Contractor or
Department may elect to proceed with the Dispute Resolution Procedures outlined in Section
18.2 (Dispute Resolution).

12.7 Revisions to Contract Document

12.7.1 Differing Site Conditions
12.7.1.1 General Obligation of Notice by Contractor and Department
Investigation
Upon the Contractor’s discovery of the following Differing Site Conditions set forth in this
Section 12.7.1 (Differing Site Conditions), the Contractor shall notify the Department of such
condition in accordance with Section 12.4.1 (Notice of Possible Change Order). Any change in
the Contract Time and/or Contract Price shall occur as a result of the procedures and processes
stated in Section 12 (Contract Changes) and/or Section 13 (Time Extension To The Completion
Deadlines And Payment For Excusable Delays).
Upon receipt of the Contractor’s notice, the Department will investigate the claimed potential
Differing Site Conditions. The Department will determine if Differing Site Conditions have been
encountered and notify the Contractor of the Department’s determination.
12.7.1.2 Procedure for Requesting Contract Price/Completion Deadline

Alterations
The Contractor recognizes and accepts, as provided in Section 12.7.1.5 (Department Provided
Information for Reference and Information Only), that any geotechnical and environmental
information provided by the Department is for informational purposes only and the Department
expressly disclaims any representations or warranties regarding such geotechnical and
environmental information. The Contractor shall not consider any portion of the site or
excavation to be classified in any manner by the Department, and the Contractor assumes all
risk of unknown or unforeseen subsurface site conditions except as specifically provided in
Section 12.7.1.3 (General Differing Site Conditions) and Section 12.7.1.4 (Unique Differing Site
Conditions).
Differing site conditions are described in Section 12.7.1.3 and Section 12.7.1.4. A request for
alteration to the Contract Price/Completion Deadlines due to a Differing Site Condition as
provided in this Section 12.7.1 (Differing Site Conditions) shall be made according to the
following procedure:
1. The Department and Contractor shall comply with Section 12.7.1.1 (General
Obligation of Notice by Contractor and Department Investigation);
2. in the event that the Department determines that the Differing Site Condition (s) exists
and the Contractor believes that an adjustment in the Contract Price, due to an
increase in direct costs, the Contractor shall submit an RCO in accordance with
Section 12.4 (Change Orders) meeting the requirements listed therein; and/or
3. in the event that the Department determines that the Differing Site Condition (s) exists
and the Contractor believes that it may be entitled to an adjusted Completion Deadline
due to delays caused by the Differing Site Condition and/or additional compensation
due to Delay Costs arising from the Differing Site Condition, the Contractor may
submit an Excusable Delay Request in accordance with Section 13.4.1 (Excusable
Delay Request).

12.7.1.3 General Differing Site Conditions

The following are defined General Differing Site Conditions:
A. Subsurface or latent physical conditions at the site differing materially from those
indicated in the Contract Documents or reasonably inferred therefrom and are not
reasonably discoverable from an investigation and analysis of the site by the
Contractor meeting its Standard of Care obligations for such an investigation and
analysis, as set forth in the Contract Documents;
B. Unknown physical conditions of an unusual nature differing materially from those
ordinarily encountered and generally recognized as inherent in the Work provided for
in the Contract Documents, are encountered at the site;
C. Unknown physical conditions which are rare for the Project area and type of Project;
and
D. Unknown physical conditions which are not reasonably evident during the design by
inspection, or investigations which were performed during the design, or reasonably
should have been performed by the Contractor fulfilling its Standard of Care
obligations as set forth in the Contract Documents during or before the final design
process.
12.7.1.4 Unique Differing Site Conditions
The following are Unique Differing Site Conditions:
12.7.1.4.1 Differing Geotechnical/Hydrological Subsurface Conditions

The Contractor shall be entitled to an adjustment in the Contract Time and/or Contract Price
relating to subsurface geologic or hydrologic conditions, including bedrock, soils, groundwater,
or other natural conditions, only if all of the following conditions precedent exist:
(1) The subsurface conditions are materially different from conditions generally recognized
as inherent in the nature of the Work in the area of the site of the Work and such
conditions adversely impact Contract Price or Contract Time to complete the Work within
the Completion Deadlines as set forth in the Contract Documents;
(2) The subsurface conditions were not reasonably discoverable by the Contractor from a
reasonable investigation and analysis of the site, including subsurface conditions, by the
Contractor in fulfilling its obligations pursuant to the Standard of Care under the Contract
Documents hereunder prior to submittal of the Contract Price Proposal; and
(3) The subsurface conditions were actually unknown to the Contractor and the Contractor -
Related Entities.
12.7.1.4.2 Historic and Archaeological Materials
If the Contractor discovers any object of potential archaeological, paleontological, or other
historic interest, all Work that could disturb said object shall immediately cease and shall not be
resumed until an investigation of the object and related deposits have been completed and
removal of articles of interest has been accomplished. Should such a deposit be discovered, the
Contractor shall notify the Department immediately upon Contractor’s discovery.

The Contractor shall be entitled to submit an RCO for an adjustment to the Contract Price
and/or an EDR for an adjustment to the Contract Time relating to differing site conditions due to
historic and archaeological materials only if all of the following conditions exist:
(1) The locations of the subsurface conditions were not described in any documents
containing indications of subsurface conditions or site conditions provided to the
Contractor;
(2) The subsurface conditions were not discoverable from a reasonable investigation and
analysis of the site by the Contractor in performing its obligations pursuant to the
Standard of Care required under the Contract Documents, including subsurface
conditions, prior to submittal of the Contract Price Proposal; and
(3) The subsurface conditions were actually unknown to the Contractor and the Contractor-
Related Entities and such conditions adversely impact the Cost or time to complete the
Work as set forth in the Contract Documents.
12.7.1.5 Department-Provided Information for Reference and Information

Only
The Department is not the designer of the Project and has no knowledge of the Contractor’s
anticipated use concerning any site information and its importance or lack thereof in the
Contractor’s design and construction approach. The Contractor shall not be entitled to rely upon
the accuracy of such information, and such information shall not serve as the basis for any claim
by the Contractor. The Contractor, by submitting its proposal, expressly acknowledges its
acceptance of this disclaimer, and shall present no claim for differing site conditions based upon
a reliance upon such information regarding site conditions.
12.7.2 Significant Change in the Character of the Work

The Department reserves the right to make, in writing, at any time during the Work, such
changes in quantities and such alterations in the Work as are necessary to satisfactorily
complete the Project. Such changes in quantities and alterations shall not invalidate the
Contract nor release the surety, and the Contractor agrees to perform the Work as altered.
If the alterations or changes in quantities significantly change the character of the Work under
the PDBC, whether such alterations or changes are in themselves significant changes to the
character of the Work or by affecting other Work cause such other Work to become significantly
different in character, an adjustment, excluding anticipated profit, will be made to the PDBC
pursuant to the process set forth in Section 12.7.2.1 (Procedure for Requesting Contract
Price/Completion Deadlines Alterations).
If the alterations or changes in quantities do not significantly change the character of the Work
to be performed under the contract, the altered Work will be paid for as provided elsewhere in
the contract.
The term “Significant Change” shall be construed to apply only to the following circumstances:
A. When the character of the Work as altered differs materially in kind or nature from that
involved or included in the original proposed construction; or

B. When the product of the quantity in excess of the estimated quantity of a contract item
and the unit price is increased in excess of 125 percent or decreased below 75
percent of the original Contract quantity. Any allowance for an increase in quantity
shall apply only to that portion in excess of 125 percent of original contract item
quantity, or in case of a decrease below 75 percent, to the actual amount of work
performed.
12.7.2.1 Procedure for Requesting Contract Price/Completion Deadlines
Alterations
A request for alteration to the Contract Price/Completion Deadlines due to a Significant Change
in the character of work as provided in this Section 12.7.2 (Significant Change in the Character
of the Work) shall be made by the Contractor notifying the Department of the significant change
in the character of work set forth in this Section 12.7.2 in accordance with Section 12.4.1 (Notice
of Potential Change Order). Any change in the Contract Price or Contract Time shall occur as a
result of the procedures and processes stated in Section 12 (Contract Changes) and/or Section
13 (Time Extension To The Completion Deadlines And Payment For Excusable Delays). Any
change in the Contract Price or Contract Time shall occur as a result of the procedures and
processes stated in Section 12 (Contract Changes) and/or Section 13 (Time Extension To The
Completion Deadlines) and ;
1. Upon receipt of the Contractor’s notice, the Department shall investigate the claimed
significant change in the character of work and the Department shall determine
whether there has been a significant change in the character of work;
2. If the Department determines a material change in the character of the work did occur,
then the Department shall notify the Contractor of the Department’s determination;
3. In the event that the Department determines that a significant change in the character
of work occurred and the Contractor believes that an adjustment in the Contract Price,
due to an increase in direct costs, the Contractor shall submit an RCO in accordance
with Section 12.4 (Change Orders) meeting the requirements listed therein; and/or
4. In the event that the Department determines that a significant change in the character
of work occurred and the Contractor believes that it may be entitled to an adjusted
Completion Deadline due to delays caused by the significant change in the character
of work and/or additional compensation due to Delay Costs arising from the significant
change in the character of work, the Contractor shall submit an Excusable Delay
Request in accordance with Section 13.4.1 (Excusable Delay Request).
In the event that the Department and Contractor do not agree on the adjustment in the Contract
Price or Contract Time pursuant to Section 12.6.2.1 (Procedure for Requesting Contract
Price/Completion Deadlines Alterations) and subsequently Section 12 (Contract Changes)
and/or Section 13 (Time Extension To The Completion Deadlines And Payment For Excusable
Delays), the Department and/or the Contractor may elect to proceed with the dispute resolutions
procedures in accordance with Section 18.3.2 (Dispute Resolution).
12.7.3 Unreasonable Suspension of Work

If the performance of all or any portion of the Work is suspended or delayed by the Department
in writing for an unreasonable period of time (not originally anticipated, customary, or inherent to
the construction industry) and the Contractor believes that such suspension adversely impacted

the Contract Price or Contract Time such that the Project Schedule and Completion Deadlines
are impacted, Contractor shall notify the Department as specified in 12.4.1 (Notice of Possible
Change Order).
12.7.3.1 Procedure for Requesting Contract Price/Completion Deadlines

Alterations
A request for alteration to the Contract Price/Completion Deadlines due to an unreasonable
suspension in work as provided in this Section 12.7.3 shall be made according to the following
procedure. Upon the occurrence of an unreasonable suspension in work, the Contractor shall
notify the Department of the unreasonable suspension in work set forth in this Section 12.7.3 in
accordance with Section 12.4.1 (Notice of Potential Change Order)in accordance with Section
12.4.1 (Notice of Potential Change Order). Any change in the Contract Price or Contract Time
shall occur as a result of the procedures and processes stated in Section 12 (Contract
Changes) and/or Section 13 (Time Extension To The Completion Deadlines And Payment For
Excusable Delays).
1. After receipt of the Contractor’s notice, the Department shall investigate the claimed
unreasonable suspension in work, and the Department shall determine whether there
has been an unreasonable suspension in work, which shall require the Department to
agree that the cost or time required for the performance of the Work has increased as
a result of such suspension and the suspension was caused by conditions beyond the
control of and not the fault of the Contractor, its suppliers, Subconsultant, or
Subcontractors at any approved tier, and not caused by Weather;
2. If the Department determines an unreasonable suspension of work did occur, then the
Department shall notify the Contractor of the Department’s determination;
3. In the event that the Department determines that an unreasonable suspension in work
occurred and the Contractor believes that an adjustment in the Contract Price, due to
an increase in direct costs, the Contractor shall submit an RCO in accordance with
Section 12.4 (Change Orders) meeting the requirements listed therein; and/or
4. In the event that the Department determines that an unreasonable suspension of work
occurred and the Contractor believes that it may be entitled to an adjusted Completion
Deadline due to delays caused by the unreasonable suspension in work and/or
additional compensation due to Delay Costs arising from the unreasonable
suspension of work, the Contractor shall submit an Excusable Delay Request in
accordance with Section 13.4.1 (Excusable Delay Request).
In the event that the Department and Contractor do not agree on the adjustment in the Contract
Price or Contract Time pursuant to Section 12.7.3.1 (Procedure for Requesting Contract
Price/Completion Deadlines Alterations) and subsequently Section 12 (Contract Changes)
and/or Section 13 (Time Extension To The Completion Deadlines And Payment For Excusable
Delays), the Department and/or the Contractor may elect to proceed with the dispute resolutions
procedures in accordance with Section 18.3.2 (Dispute Resolution).

12.8 Changes and Extra Work Price Determination

12.8.1 Negotiated Prices
12.8.1.1 Negotiated Prices Computation Methods
Negotiated prices for changes and Extra Work shall be comparable to prices that would have
resulted from a competitively bid contract. The Department and Contractor will negotiate: a)
agreed unit prices, or b) Lump Sum prices with respect to the Extra Work using one or more of
the following methods:
1. Original Contract prices for similar work but adjusted for:

a. Increased or decreased Material costs specified in Exhibit H Section 3 (Force
Account ).
b. Increased or decreased Labor costs specified in Exhibit H Section 2 (Force
Account ).
c. Increased or decreased Equipment costs specified in Exhibit H Section 4 (Force
Account ).
d. These costs and adjustments in prices shall not be subject to inflation or
administrative markup by the Contractor where changes and Extra Work are
undertaken in whole or in part by Subcontractors.
2. State-wide average unit price awarded for the item or items as listed in the
Department’s annual “Summary of Contracts Awarded.” These prices may be adjusted
for inflation using factors issued by the Office of Construction Administration. No
markup for Subcontractor work is allowed.
3. Average price awarded on three different projects of similar work and quantity. These
prices may be adjusted for inflation using factors issued by the Office of Construction
Administration. No markup for Subcontractor work is allowed.
4. Prices computed by the Department’s Office of Estimating.
5. Cost analysis of labor, Material, Equipment, and markups as allowed in Exhibit H
(Force Account Provisions).
6. Independent Cost Estimator (ICE) and State Cost Estimator (SCE) and the applicable
pricing process in accordance with Exhibit G (Pricing Process).
7. For the cost of compensable delays as defined in Section 13.2.2 (Category 2 –
Excusable, Compensable Delays), prepare a cost analysis as allowed and specified
by Exhibit I (Delay Costs).
12.8.1.2 Contractor Justification for Negotiated Prices
The Contractor shall provide proposed pricing and cost justification for changes or Extra Work
within three Working Days after the Department’s request. The Department will respond within 3
Working Days after receipt of the Contractor’s proposal. The Department and the Contractor
can mutually agree to extend these time limits.

If the Department negotiates with the Contractor but does not agree on a price adjustment, the
Department may direct the Contractor to perform all or part of the revised Work under Exhibit H
(Force Account )
12.8.2 Force Account

The Department may direct the Contractor to perform revised Work or Extra Work under force
account provisions. In the event that the Department instructs the Contractor to perform under
force account provisions, the Contractor must submit a written proposal and estimated costs for
the Work, including the planned Equipment, Materials, Labor, and a work schedule. The
Contractor should Refer to Exhibit H (Force Account Provisions) for detailed processes,
procedures and eligibility for compensation for force account Work.
When submitting the written proposal and estimated costs for revised Work or Extra Work
performed under force account provisions, the Contractor shall not be permitted to apply the
Phase Mark-Up to such estimated costs as mark-up for such revised Work or Extra Work shall
be determined in accordance with Exhibit H.
12.8.3 Changes in Materials

If Department directed Changes in Material specifications result in increased cost to the
Contractor, the costs shall be compensated by Lump Sum adjustment to the reference number.
The Lump Sum adjustment shall be equal to the invoice supported Material cost. These costs
shall not be eligible for the Contractor to apply its standard mark up for profit and overhead.
If Department directed Changes in Material result in cost savings due to a specification change,
such cost savings shall be credited to the Project by a Lump Sum adjustment to the reference
including a 15 percent markup if the originally specified Material has not been ordered. If the
Material had been ordered before the Contractor was informed of the change, the savings
markup allowed is 2.5 percent, in order to exclude profit on the original bid price ad pay only for
incurred overhead.
12.8.4 Directed Acceleration

The Department may order the Contractor to accelerate the Work to avoid delay costs or to
complete the Project early. The Department and the Contractor will negotiate acceleration costs.
If the Contractor requests a time extension, then the Department may require Contractor to
provide two several alternative requests for Change Order in accordance with Section 12.4
(Change Orders), one that provides for a time extension, and any one that provides for any
permitted additional costs, and/or another that shows all acceleration costs associated with
meeting the non-extended Completion Deadlines, as well as any permitted additional costs.
12.8.5 Recovery Schedules

In the event that a Monthly Progress Update Schedule shows that the Opening Deadline,
Interim Completion Deadline, Substantial Completion Deadline, or Completion of the Contract
Deadline more than 14 Days behind schedule, or at the Department’s request after it becomes
apparent that the Work cannot be completed by the contractual Completion Deadline(s) the
Contractor, the Contractor shall submit a proposed recovery schedule.

Such recovery schedule shall be created by the Contractor in accordance with Section 1.9(B)
and (C) of Exhibit T and shall be evaluated in accordance with Section 1.9(D) of Exhibit T.
In any event, the Contractor shall provide additional labor, Equipment, and/or Materials, work
additional shifts, and/or expedite procurement to complete the Work within the Completion
Deadlines at no additional cost to the Department.
12.8.6 Inefficiency
The Department will compensate the Contractor for inefficiency or loss of productivity resulting
from Change Orders pursuant to Section 12.4 (Change Orders), Changes and Extra Work
resulting from Section 12.8 (Changes and Extra Work Price Determination), and revisions to the
Contract occurring under Section 12.7 (Revisions to the Contract Documents).
12.8.6.1 Inefficiency Calculation

The Department shall use the Measured Mile analysis comparing the productivity of Work
impacted by a change to the productivity of similar work performed under un-impacted
conditions to prove and quantify the inefficiency. This analysis relies on such data that shall be
jointly tracked by the parties. This Measured Mile analysis shall be submitted in conjunction with
any RCO as additional information.
The Department shall use the following calculation for the Measured Mile analysis:
Additional Crew Hours = (Unit Productivity Unimpacted Period - Unit Productivity Impacted
Period)/Unit Productivity Unimpacted Period x (Number of Units During Impacted Period/Unit
Productivity Impacted Period).
12.8.6.2 Inefficiency Notice

If the Contractor believes that it is suffering from inefficiency or loss of productivity from events
specified in Section 12.8.5 (Inefficiency), the Contractor shall Provide notice as per Section
12.4.1 (Notice of Potential Change Order).
12.8.7 Unrecoverable Costs

The Contractor is not entitled to additional compensation for costs not specifically allowed or
provided for in Section 12.8 (Changes and Extra Work Price Determination) including, but not
limited to, the following:
1. Loss of anticipated profit;

2. Consequential damages, including loss of bonding capacity, loss of bidding
opportunities, insolvency, and the effects of force account work on other projects, or
business interruption;
3. Indirect costs; and
4. Attorney’s fees, claim preparation expenses, and the costs of litigation.

13 TIME EXTENSION TO THE COMPLETION DEADLINES

AND PAYMENT FOR EXCUSABLE DELAYS
13.1 Time Extensions to Completion Deadlines
The Contractor shall only be entitled to extension of the Completion Deadlines and the
Department will only extend the Completion Deadlines if an “Excusable Delay”, as specified in
Section 13.2.1 (Category 1 Events – Excusable, Non-Compensable Delays) or Section 13.2.2
(Category 2 Events – Excusable, Compensable Delays), delays Work on the Critical Path
shown on the accepted Baseline Schedule and impacts the Completion Deadlines. Any
extension of the Completion Deadlines or increase in Contract Price due to Delay Costs will be
executed by a Change Order in accordance with Section 12.4 (Change Order). Any change in
the Contract Price due to delay costs will require a change in the Contract Time as a condition
precedent.
13.2 Categories of Excusable Delays Events

Excusable Delays are classified into two subcategories, each of which are excusable for events
that directly impact the Critical Path of the Baseline Schedule that adversely impacts the
Completion Deadlines.
13.2.1 Category 1 Events - Excusable, Non-Compensable Delays

Category 1 Events are events that cause delays that are excusable but non-compensable and
that are not the Department’s fault or responsibility. The Department will not grant additional
compensation or adjustment in the Contract Price for Category 1 Events as set forth herein.
The following are defined as Category 1 Events:
A. Delays due to:

a. Floods;
b. Lightning strikes;
c. Tornadoes (classified as EF-2 or greater on the Enhanced Fujita Scale by the
National Weather Service);
d. Earthquakes (classified as EF-2 or greater on the Enhanced Fujita Scale by the
National Weather Service); or
e. Other cataclysmic phenomena of nature.
B. Delays due to fire.
C. Delays due to weather as specified in Section 15 (Weather).
D. Extraordinary delays in material deliveries the Contractor or its Suppliers cannot
reasonably foresee or reasonably avoid or mitigate resulting from freight embargoes,
government acts, or area-wide material shortages as determined by the Department.
E. Delays due to the Contractor’s, Subcontractor’s, or Supplier’s insolvency or
mismanagement are not excusable.

F. Delays due to local, state, or federally mandated quarantine restriction occurring within
the Site.
G. Delays due to civil disturbances.
H. Delays from epidemics.
I. Delays from labor strikes that are beyond the Contractor’s, Subcontractor’s, or a
Supplier’s power to settle and are not caused by improper acts or omissions of the
Contractor, Subcontractor, or a Supplier.
J. Added quantities that delay an activity on the Critical Path.
K. All other delays not the Department’s fault or responsibility, including but not limited to
a Force Majeure event as descried in Section 14 (Force Majeure Events).
13.2.2 Category 2 Events – Excusable, Compensable Delays
Category 2 Events are events that cause delays in the completion of Work on the Critical Path
that adversely impact the Completion Deadlines that are excusable and compensable that are:
(i) not the Contractor’s fault or responsibility, (ii) the Department’s fault or responsibility or (iii)
otherwise determined by judicial proceeding to be the Department’s sole responsibility or are
the fault and responsibility of a Government Entity and are listed in this Section 13.2.2, 1-9
below. Any event that is not listed in such sections shall be considered for all purposes, a
Category 1 Event. The Department will extend the Completion Deadlines with respect to a
Category 2 Event if the procedure specified in Section 13.4 (Procedure for Requesting Delay
Costs and Completion Deadlines Alteration) is met. The following are defined as Category 2
Events.
1. Delays due to revised Work as specified in Section 12.7.1 (Differing Site Conditions),
Section 12.7.2 (Significant Change in the Character of Work), or Extra Work.
2. Delays due to interference or failure by Utility owners to relocate or adjust facilities as
specified in Section 7 (Utilities and Railroads) within the Project Limits.
3. Delays due to railroad interference within the Project Limits or failure by a railroad to
adhere to the requirements of a Railroad Agreement as specified in Section 7.
4. Delays due to a Department-ordered suspension as specified in Section 12.7.3
(Unreasonable Suspension of Work).
5. Delays due to the failure by the Department to furnish the Project ROW in accordance
with the schedule for parcel availability included in the Phase 2 Change Order as
specified in Section 5.8 (Furnishing Right-of-Way).
6. Delays due to the discovery within or adjacent to the Project Site of Unknown
Regulated Materials.
7. Delays due to the discovery within or adjacent to the Project Site of a Threatened or
Endangered Species.
8. Delays due to acts of the government or a political subdivision other than the
Department.
9. Delays due to the neglect of the Department or its failure to act in a timely manner.

Compensation for excusable, compensable delays will be determined by the Department

according to Exhibit I (Delay Costs).
13.3 Limitations on Excusable Delays

None of the events described in Section 13.2 (Categories of Excusable Delays) shall be
deemed an Excusable Delay to the extent that performance of the Work would have been
suspended, delayed, or interrupted by any other cause, including the negligence, reckless or
willful misconduct, act or omission, or breach or violation of applicable Law, Governmental
Approval, or contract (including any Contract Document) by the Contractor or any Contractor-
Related Entity on any part of the Project.
With respect to Category 1 Events where the Contractor is excused from performance for a
period of time and/or afforded additional time for performance, delays are measured as direct
delays to the Critical Path on the affected Baseline Schedule that impacts the Completion
Deadlines as determined in accordance with Section 13 (Time Extension to the Completion
Deadlines and Payment for Excusable Delays) and Exhibit T (Critical Path Method Progress
Schedule).
With respect to Category 2 Events for which the Contractor is excused from performance for a
period of time and/or afforded additional time for performance and granted an increase in
Contract Price, the amount of the additional compensation shall be based upon the Detailed
Cost Analysis set forth in Section 13.4.1.1 (Detailed Cost Analysis).
Without limiting the Contractor’s general duty of mitigation, Excusable Delay Events shall be
limited to the extent that the adverse effects of the Excusable Delay Events could have been
avoided by the exercise of caution, due diligence, or reasonable efforts by the Contractor or any
Contractor-Related Entity acting in accordance with the Standard of Care in all circumstances to
the extent possible. Furthermore, the mitigation of any delay, whether caused by the
Department, Contractor, third-party or an intervening event, is a shared obligation of the
Contractor pursuant to the Contract Documents. Contractor’s mitigation efforts include, but are
not limited to, re-sequencing work activities, redesigning efforts, acceleration, and continuation
of work through an otherwise planned shutdown period. The Contractor and Department must
address and develop potential mitigation efforts in a timely manner.
If the Contractor seeks relief for any costs that are covered by insurance required to be placed
under this Contract, then the Contractor shall only be entitled to seek adjustments to the
Baseline Project Schedule and not to any increase in the Contract Price; provided, however,
that nothing in this Section 13.3 (Limitations on Excusable Delays) shall be construed to
preclude the Contractor's recourse to any insurance policy or coverages.
13.4 Procedure for Requesting Delay Costs and Completion

Deadlines Alterations
13.4.1 Excusable Delay Request
The Contractor shall provide written notification, and such written notice shall be accompanied
by supporting analysis, including a time analysis in accordance with Exhibit T, and

documentation related to the occurrence of an Excusable Delay Event (the “Excusable Delay
Request”), to the Department within fourteen (14) Days following the Department’s issuance of
the Change Event Mitigation Notice in Section 12.4.1.3 event giving rise to the request, or in the
event of a delay caused by weather within fourteen (14) days of the Department’s confirmation
of the Contractor’s eligibility for a change in the Contract Time in accordance with Exhibit T
(Critical Path Method Progress Schedule), and such notice shall be accompanied by supporting
analysis, including a time analysis in accordance with Exhibit T, and documentation related to
the occurrence of an Excusable Delay Event, (the “Excusable Delay Request”). In the event the
Contractor contends believes that the Excusable Delay Event is a Category 2 Event under
Section 13.2.2 (Category 2 Events – Excusable Compensable Delays), the Contractor shall
submit a detailed cost analysis of the requested additional compensation (the “Detailed Cost
Analysis”) as a part of the Excusable Delay Request for applicable delay costs outlined in
Exhibit I (Delay Costs). The Excusable Delay Request shall only be considered by the
Department provided the Contractor initiated the performed all required actions as requires as
set forth under in Section 12.4.1 (Notice of Potential Change Order) and its subsections. If the
notice(s) required under Section 12.4.1 (Notice of Potential Change Order) are not properly
completed and submitted to the Department, the Department is under no obligation to consider
any Excusable Delay Request. The Department may, but is not obligated to, consider any EDR
submitted outside of the fourteen (14) Day timeframes listed above.
13.4.1.1 Detailed Cost Analysis

The Contractor’s Detailed Cost Analysis submitted with the Excusable Delay Request shall set
forth: (1) an initial estimate by the Contractor utilizing the information and formulas to calculate
Delay Costs as specified in Exhibit I (Delay Costs) caused by the Excusable Delay Event, if any,
(2) a reasonably detailed description of the Excusable Delay Event including all relevant
circumstances, (3) a time impact analysis in accordance with Exhibit T determining the number
of Days of delay to the Critical Path of the affected Baseline Schedule, and (4) such supporting
documents and other information that may be reasonably necessary for the Department to
accurately and effectively consider the Excusable Delay Request.
13.4.2 Department Decision

The Department will evaluate the Contractor’s Excusable Delay Request and Detailed Cost
Analysis, if any, and shall determine if a chance in Contract Time, if any, and/or change in
Contract Price, if any, is warranted(the “Department’s Decision”). The Department will measure
all time extensions in calendar days. Time Extensions shall be calculated as defined in Exhibit T
(Critical Path Method Progress Schedule).
Any compensation that the Contractor may be entitled to will be calculated in accordance with
Exhibit I (Delay Costs).
13.4.2.1 Department Standards and Requirements

When rendering the Department’s Decision, the Department reserves the right to rely on the
following Department standards and requirements when determining if the Contractor is entitled
to a time extension or increased compensation.

1. The Department will not grant an extension of time for delays incurred from December
1 to April 30 for Construction Work unless the Contractor’s Baseline Schedule depicts
Work on the Critical Path occurring during this period.
2. The Contractor’s plea that insufficient time was specified is not a valid reason for an
extension of time.
3. The Department will relieve the Contractor from associated liquidated damages, as
specified in Section 13.7.1.1 (Liquidated Damages), if the Department extends the
Completion Deadlines under this Section 13.4 (Procedure for Requesting Delay Costs
and Completion Deadlines Alterations).
13.4.3 Department Notice
After the Department conducts its analysis in Section 13.4.2 (Excusable Delay Notice Analysis
and Measurement) the Department shall inform the Contractor within 30 Days of the
Department’s Decision in writing (the “Department Notice”). In the event that the Department
determines that the Excusable Delay Event should result in an extension to the Completion
Deadlines for the entire Project and/or the Completion Deadlines for an individual Work
Package or an increase in the Contract Price, the Department Notice shall instruct the
Contractor to submit an RCO requesting a change to the Contract Time and, if applicable, an
RCO requesting a change in Contract Price, as a result of delay costs. The Contractor must
then submit any RCO recommended in the Department Notice within seven (7) Days of receipt
of the Department Notice, in order to process any adjustment(s) based upon the Excusable
Delay Event. Any adjustment to any Completion Deadlines as a result of an Excusable Delay
Change Order, shall then have the same standing and effect as though it was the original
Completion Deadlines. The Contractor RCO required by this section shall meet all requirements
of Section 12.4 (Change Orders). To the extent required, the Contractor shall be able to
repackage and/or organize the Department’s Notice and/or Department’s Decision and the
Contractor’s EDR to meet the requirements of Section 12.4 (Change Orders).
If the Contractor fails to deliver the RCO specified in Section 12.4 (Change Orders) above within
such seven (7) Days of the required period set forth herein, the Contractor shall have
irrevocably and forever waived and released any claim or right to relief for the adverse effect
attributable to the Excusable Delay Event occurring before the date of actual delivery of an
Excusable Delay Request.
In the event the Department has determined that the Excusable Delay Event does not warrant a
Change Order, the Contractor may elect to proceed with the Dispute Resolution Procedures
pursuant to Section 18.2 (Dispute Resolution), in which case the notices in Section 12.3.1 shall
satisfy the notice requirements of Section 18.2 (Dispute Resolution). The Department may
proceed to issue a Construction Change Directive in accordance with Section 12.5
(Construction Change Directive).
13.5 Non-Excusable Delays

Unless listed in Section 13.2.1 (Category 1 Events – Excusable, Non-Compensable Delays) or
Section 13.2.2 (Category 2 Events – Excusable, Compensable Delays), all other causes of
delay shall be considered non-excusable delays and shall be non-compensable.

13.6 Concurrent Delays

Concurrent delays are separate delays to the Critical Path that occur simultaneously. When a
non-compensable delay is concurrent with a compensable delay, the delay is considered non-
compensable. The Contractor shall be entitled to additional time provided that such event
adversely impacted the Completion of the Work on the Critical Path as set forth in the Baseline
Schedule and directly impacted the Completion Deadlines. In such event, the Contractor may
be entitled to extension of the Completion Deadlines but not to additional compensation.
13.7 Failure to Complete On Time

If the Contractor fails to complete the Work by the Completion Deadlines, then the Department,
has the option, subject to its discretion, to either permit the Contractor to continue working on
the Project or exercise such rights and remedies as set forth in the Contract Documents.
13.7.1 Contractor Continued Work

If the Department is satisfied that the Contractor is making reasonable progress and deems it in
the best interest of the public, the Department may allow the Contractor to continue in control of
the Work, prosecute the Work, at such times, with such forces, and in such locations as the
Department requests. The Department shall inform the Contractor of its decision to allow the
Contractor to continue with the Work by written notice within three (3) Days after the expiration
of the applicable Completion Deadlines. Within seven (7) Days of the receipt of the
Department’s decision to allow the Contractor to continue the Work, the Contractor shall provide
and deliver a written plan for the completion of the Work (the “Continued Work Plan”) to the
Department.
In the event the Department permits the Contractor to continue the Work beyond the
Completion Deadlines, the Department will pay the Contractor for all Work performed on the
Project less any Liquidated Damages as described in Section 13.7.1.1 (Liquidated Damages).
The Department’s decision to permit the Contractor to continue and complete the Work or any
part of the Work after the Completion Deadlines, or after extensions to the Completion
Deadlines, will in no way operate as a waiver on the part of the Department of any of its rights
and remedies under the PDBC.
13.7.1.1 Liquidated Damages

The Contractor understands and agrees that if the Contractor fails to complete the Work by the
Completion Deadlines, then the Department will sustain damages as a result of the untimely
completion.
The Contractor further acknowledges and agrees that the damages sustained by the
Department in the event that Contractor fails to complete the Work by the Completion Deadlines
are and will be impracticable or extremely difficult to ascertain, due to the circumstances
existing as of the date of execution and delivery of this PDBC. Thus, damages arising out of the
failure by the Contractor to complete the Work by the Completion Deadlines may arise from or
include:

(i) substantial losses and damages to the Department;

(ii) Contractor's safety violations;
(iii) failure to implement and monitor environmental mitigation requirements;
(iv) unreasonable inconvenience to the public and impacts to private property resulting in
claims against Department;
(v) increased costs for PDBC administration due to the lengthened time span of the Work;
and
(vi) delays and increased costs to Department’s Contractors resulting in claims to
Department.
The Contractor understands and agrees that (1) if it fails to timely complete the Work by the
Completion Deadlines in accordance with this PDBC, the Department will suffer damages, (2)
that it is and will be impracticable or extremely difficult to ascertain the actual damages that
Department will sustain in the event of and by the reason of such untimely performance of the
Work, and (3) the Department has stipulated the amount payable as liquidated damages as
stated in Exhibit B (Contract Particulars – Liquidated Damages for Phase 2 Work) (the
“Liquidated Damages”). The amount of Liquidated Damages set out in Exhibit B (Contract
Particulars – Liquidated Damages for Phase 2 Work) represents a good faith estimate as to the
actual potential damages that the Department would incur as a result of the untimely completion
of the Work by the Completion Deadlines.
The Liquidated Damages payable under this Section 13.7.1.1 (Liquidated Damages) will be
payable for each Day the Completion Date exceeds the Substantial Completion Deadline,
subject to Section 13.7.
The Department may deduct the sum of Liquidated Damages from any progress payments due
to the Contractor for the performance of the Work as a result of these losses and damages as
liquidated damages. In the event that the progress payments due to the Contractor are
insufficient, the Contractor or its Surety shall pay to Department any deficiency.
The Contractor understands and agrees that any Liquidated Damages imposed on the
Contractor are not a penalty and that such sums are reasonable under the circumstances
existing as of the date of execution and delivery of this PDBC. The Contractor further
acknowledges and agrees that Liquidated Damages may be owing even though no Contractor
Default, as specified in Section 19.1.1, has occurred.
The accrual of Liquidated Damages will terminate upon the Department’s notification to the
Contractor of Substantial Completion of the Work.
The fact that the Department has agreed to accept the Liquidated Damages as compensation
for its damages associated for the Work not being completed by the Completion Deadlines shall
not preclude the Department from exercising its other rights and remedies with respect other
delays to the Critical Path in the prosecution of the Work.
The Department will adjust the Completion Deadlines or other contractually mandated dates for
delays specified in Section 13.2.1 (Category 1 Events – Excusable, Non-Compensable Delays)
and Section 13.2.2 (Category 2 Events – Excusable, Compensable Delays).

13.7.1.2 Petition to Suspend Liquidated Damages

In the sole event where the Project is available for use as intended by the Contract and the
Work remaining will not adversely impact traffic, where the closing of a shoulder shall not be
considered an impact on traffic, the Contractor may submit a petition to the Department to
suspend the assessment of liquidated damages for a stated period of time.
The Contractor must submit the petition to suspend the assessment of liquidated damages in
writing within thirty (30) Days of the assessment of the liquidated damages. This request to
suspend the assessment of liquidated damages must be made subsequent to the delivery of the
Continued Work Plan. The request must also include at a minimum, the Work left to be
completed, the reason(s) the Work is incomplete or on hold, as well as, methods, resources and
timelines for pursuing the same. This request must also explain in detail how the Contractor
intends to diligently pursue the completion of the Work in order to be accepted by the
Department.
13.7.1.3 Department Analysis of Contractor Petition

The Department shall have the right, subject to its discretion, which may be exercised for any
reason or no reason whatsoever, to accept the petition. Once accepted, and provided both of
the following criteria 13.7.1.3.1-.2 (Department Analysis of Contractor Petition) below are met,
the Department may suspend the assessment of liquidated damages. The criteria are:
1. The Contractor is diligently pursuing the remaining Work, as specified in the petition.
2. Necessary items are completed and operational to provide an appropriate level of
safety to the traveling public. These items include but are not limited to: signs,
pavement markings, guardrail, attenuators, signals and RPM’s.

14 FORCE MAJEURE EVENTS

A “Force Majeure” event means the following events or circumstances, but only (i) to the extent
such event or circumstance is beyond the reasonable control of Contractor, (ii) to the extent
Contractor shall have taken all reasonable precaution to prevent and minimize the effect of such
delays by reason of such event or circumstance if such event or circumstance was actually
known in advance to Contractor, and (iii) to the extent such event or circumstance is not caused
by the fault or negligence of Contractor or any of its employees, agents or contractors: (a) acts
of God, including floods, hurricanes, tornadoes, earthquakes, and landslides; (b) fires or other
casualties; (c) governmental moratorium; (d) acts of a public enemy, civil commotions, riots,
insurrections, acts of war, blockades, terrorism, effects of nuclear radiation, or national or
international calamities; and (e) sabotage.
If the Contractor asserts Force Majeure as an excuse for failure to perform its obligations, then
the Contractor must establish that it initiated reasonable and prudent actions to minimize the
delay or damages caused by the foreseeable events flowing from the Force Majeure event,
substantially fulfilled all non-excused obligations, and that the Department was timely notified of
the likelihood or actual occurrence of the Force Majeure event.
In the event of a Force Majeure event, the Contractor shall be entitled only to an extension of
the Contract Time associated with the Force Majeure event and not to any adjustment of the
Contract Price, as Force Majeure events are classified as Category 1 Events as described in
Section 13.2.1 (Category 1 Events – Excusable Non-Compensable Delays). Section 13 (Time
Extension to the Completion Deadlines and Payment for Excusable Delays) sets forth the terms
and conditions applicable to Contractor’s request for an extension of Contract Time associated
with a Force Majeure event.
The Contractor shall not be entitled to an adjustment in Contract Price or Contract Time for
delays associated with a Force Majeure event within the control of the Contractor. Delays
attributable to and within the control of a Subcontractor or Supplier shall be deemed to be
delays within the control of the Contractor.
Notwithstanding the foregoing, the lack of financial resources or any other financial condition
affecting Contractor shall not constitute a Force Majeure Event.

15 WEATHER
The Contractor shall not be entitled to an extension of time or additional compensation and the
Department will not allow any extension of time for weather or resulting conditions beyond those
specifically set forth herein in this Section 15 (Weather).
A Weather Day is “a Workday during which weather or seasonal conditions reduced production
by more than 50 percent on items of work on the Critical Path.”
If the Contractor believes that it has suffered from Weather Days in excess of the table found in
Section 1.4.1(E)(3)(v) of Exhibit T (Critical Path Method Progress Schedule), resulting in a need
for a potential change in the Contract Time, then the Contractor shall provide notice, in
accordance with Section 12.4.1 (Notice of Potential Change Order), to the Department of the
potential need for a change in the Contract Time as a result of weather. After providing written
notice in accordance with Section 12.4.1, the Contractor shall perform an analysis to determine
the schedule impacts due to weather per Exhibit T. The Contractor shall then proceed with the
procedures outlined in Exhibit T and submit the necessary schedules in accordance with
Section 1.8(C) of Exhibit T.
The Department will then review the timely submissions by the Contractor required by Section
1.8(C) of Exhibit T in accordance with Section 1.8(D) of Exhibit T.
In the event that the Department determines and confirms the Contractor is eligible for a change
to the Contract Time, in accordance with Exhibit T, then the Contractor shall submit an
Excusable Delay Request (EDR) and comply with the procedures outlined in Section 13 (Time
Extension to the Completion Deadlines and Payment for Excusable Delays).
In the event that the Department disputes the Contractor’s eligibility for a change in the Contract
Time, the Contractor may then elect to proceed with Dispute Resolution Procedures set forth
under Section 18.2 (Dispute Resolution).
Lane closures within the Project which are 30 days or less that are shown as part of an
accepted MOT Plan in the Contract Documents, and which are impacted by weather will be
extended for the actual Workdays lost each month. Lane closures within the Project, 31 Days or
longer that are shown as part of an accepted MOT Plan in the Contract Documents, which are
impacted by weather will be extended per Exhibit T.
The Department will not consider weekends and holidays as lost Workdays unless the
Contractor normally works those days as set forth in the Baseline Schedule or unless the
Department directs the Contractor to work those days.
Delays to the Completion Deadlines for Design Work attributable to Weather or seasonal
conditions shall not be considered as permitted.

16 INDEMNITY
16.1 Indemnifications by Contractor
16.1.1 General Provisions
The Contractor shall release, defend, indemnify and hold harmless the State of Ohio, the State
of Kentucky and its representatives, the Department, the Department’s consultants, the
Department’s attorneys, and all their respective officers, agents, and employees, their
successors and assigns, and their respective board members, council members, officers,
directors, agents and employees (collectively referred to as the "Indemnified Parties") from and
against any and all claims, causes of action, suits, judgments, investigations, legal or
administrative proceedings, and losses incurred in connection with the enforcement of this
indemnity, arising out of, relating to or resulting from the following, (each an "Indemnified
Claim"):
(1) The breach or alleged breach of any of the Contract Documents by any Contractor-
Related entity; and/or
(2) The failure or alleged failure by any Contractor-Related Entity to comply with the
governmental approvals, any applicable environmental laws or other governmental
rules (including governmental rules regarding Regulated Materials Management);
and/or
(3) Any actual or alleged patent or copyright infringement or other allegedly improper
appropriation or use of trade secrets, patents, proprietary information, know-how,
copyright rights or inventions in performance of the Work, or arising out of any use in
connection with the Project of methods, processes, designs, information, or other
items furnished or communicated to the Department or another Indemnified Party
pursuant to the Contract; provided that this indemnity shall not apply to any
infringement directly resulting from a method, process or design specifically required
by the Contract Documents and by the Department's failure to comply with specific
written instructions regarding use provided to the Department by the Contractor;
and/or
(4) The actual or alleged culpable act, error, omission, negligence, breach or
misconduct of any Contractor-Related Entity in or associated with performance of
the Work; and/or
(5) Any and all claims, actual or alleged, by any governmental entity or taxing authority
claiming taxes based on gross receipts, purchases or sales, the use of any property
or income of the Contractor or any of its Subcontractors or any of their respective
agents, officers or employees with respect to any payment for the Work made to or
earned by any Contractor-Related Entity; and/or
(6) Any and all stop notices and/or liens filed in connection with the Work, including all
expenses and attorneys', accountants' and expert witness fees and costs incurred in
discharging any stop notice or lien and any other liability to Subcontractors for failure
to pay sums due for their work or services, provided that the Department is not in
default in undisputed payments owing to the Contractor with respect to such Work;
and/or

(7) Any actual or alleged spill or release or threatened spill or release of a Regulated
Material (i) which was brought onto the Site by any Contractor-Related Entity, or (ii)
attributable to the negligence, willful misconduct, or breach of contract,
Governmental Approval or governmental rule by any Contractor-Related Entity;
and/or
(8) Any actual or alleged claim or assertion by any contractor of inconvenience,
disruption, delay or loss caused by interference by any Contractor-Related Entity
with or hindering the progress or completion of work being performed by other
contractors, or failure of any Contractor-Related Entity to cooperate reasonably with
other contractors in accordance therewith; and/or
(9) Any actual or alleged Contractor Related Entity's breach of or failure to perform an
obligation that the Department owes to a third person, including governmental
entities, under law or under any agreement between the Department and a third
person, where the Department has delegated performance of the obligation to the
Contractor under the Contract Documents or (ii) the acts or omissions of any
Contractor-Related Entity which render the Department unable to perform or abide
by an obligation that the Department owes to a third person, including governmental
entities, under any agreement between the Department and a third person, where
the agreement was expressly disclosed to the Contractor; and/or
(10) Inverse condemnation, trespass, nuisance or similar taking of or harm to real
property by reason of: (i) the failure of any Contractor-Related Entity to comply with
the Standard of Care, requirements of the Contract Documents, Project
Management Plan or governmental approvals respecting control and mitigation of
construction activities and construction impacts, (ii) the intentional misconduct or
negligence of any Contractor-Related Entity, or (iii) the actual physical entry onto or
encroachment upon another's property by any Contractor-Related Entity.
In addition to the Indemnified Parties, the Contractor will indemnify and hold harmless
municipalities, counties, public utilities, any affected railroad or railway company, and any fee
owner from whom a temporary Right-of-Way was acquired for the Project for any Indemnified
Claim set forth in Section 16.2 (Defense and Indemnification Procedures).
16.1.2 Restrictions on Indemnities

The following restriction shall apply to the indemnities set forth in this Section 16.1:
With respect to any Loss, damage or cost which is not of the type covered by insurance to be
provided hereunder, Contractor's indemnity obligation shall not extend to any Loss, damage or
cost to the extent that such Loss, damage or cost was caused by the active gross negligence or
willful misconduct of such Indemnified Party or its agents, servants or independent contractors
who are directly responsible to such Indemnified Party.
Such indemnities shall not inure to the benefit of an Indemnified Party so as to impose liability
on the Contractor for the active gross negligence or willful misconduct of the Department, or to
relieve the Department of liability for such active gross negligence or willful misconduct.

16.1.3 Not Limited by Workers’ Compensation, Disability, or Employee

Benefits Laws
In claims by an employee of the Contractor, a Subcontractor, Subconsultant, or anyone directly
or indirectly employed by them or anyone for whose acts they may be liable, the indemnification
obligation under this Section 16.1 shall not be limited by a limitation on the amount or type of
damages, compensation or benefits payable by or for the Contractor or a Subcontractor under
workers' compensation, disability benefit or other employee benefits laws.
16.2 Defense and Indemnification Procedures

16.2.1 Department’s Notice of Indemnified Claim
If any of the Indemnified Parties receives notice of a claim, action, suit or other matter covered
under Section 16.1 (Indemnifications by Contractor) or otherwise has actual knowledge of an
Indemnified Claim that it believes is within the scope of the indemnities under Section 16.1, the
Department shall by writing as soon as practicable after receipt of the Indemnified Claim: (a)
inform the Contractor of the Indemnified Claim, (b) send to the Contractor a copy of all written
materials the Department has received asserting such Indemnified Claim and (c) notify the
Contractor that should no insurer accept defense of the Indemnified Claim, the Indemnified
Party will conduct its own defense unless the Contractor accepts the tender of the Indemnified
Claim in accordance with Section 16.2.4 (Tender of Defense to Contractor). As soon as
practicable after the Contractor receives notice of an Indemnified Claim or otherwise has actual
knowledge of an Indemnified Claim, it shall tender the Indemnified Claim in writing to the
insurers under all potentially applicable insurance policies. The Department and other
Indemnified Parties also shall have the right to tender such Indemnified Claims to such insurers.
16.2.2 Cooperation in the Insured Defense

If the insurer under any applicable insurance policy accepts the tender of defense, of any claim,
action or suit or other matter covered under Section 16.1 (Indemnifications by Contractor) or
otherwise covered under such policy, the Department and the Contractor shall cooperate in the
defense as required by the insurance policy.
16.2.3 Rejection of Defense By Insurer/Reservation of Rights by Insurer

If the insurer(s) under potentially applicable insurance policy(ies) refuses to provide defense of
any claim, action, suit or other matter covered under Section 16.1 (Indemnifications by
Contractor) or otherwise, then this Section 16.2.3 shall apply. If the insurer(s) under potentially
applicable insurance policy(ies), agree to provide a defense of any claim, action, suit or other
matter covered under Section 16.1 or otherwise, that the insurer(s) accept the defense subject
to a “reservation of rights,” Section 16.2.2 (Cooperation in the Insured Defense) shall apply until
such time that the insurer(s) may subsequently deny further defense and coverage for such
claim, action, suit or other matter, where upon Section 16.2.4 (Tender of Defense to Contractor)
shall apply.
16.2.4 Tender of Defense to Contractor

If the defense is tendered to the Contractor, then within 30 days after receipt of the tender it
shall notify the Indemnified Party whether it has tendered the matter to an insurer and (if not

tendered to an insurer or if the insurer has rejected the tender) shall deliver a written notice
stating that the Contractor:
A. Accepts the tender of defense and confirms that the Indemnified Claim is subject to
full indemnification hereunder without any "reservation of rights" to deny or disclaim
full indemnification thereafter;
B. Accepts the tender of defense but with a "reservation of rights" in whole or in part; or
C. Rejects the tender of defense based on a determination that it is not required to
indemnify against the Indemnified Claim under the terms of this Contract.
16.2.5 Acceptance of Tender/Control of Defense by Contractor
If the Contractor accepts the tender of defense under Section 16.2.4, A (Tender of Defense to
Contractor), the Contractor shall have the right to select legal counsel for the Indemnified Party,
subject to reasonable approval by the Indemnified Party, and the Contractor shall otherwise
control the defense of such Indemnified Claim, including settlement, and bear the fees and
costs of defending and settling such Indemnified Claim. During such defense:
(1) The Contractor shall fully and regularly inform the Indemnified Party of the progress of
the defense and of any settlement discussions; and
(2) The Indemnified Party shall fully cooperate in said defense, provide to the Contractor
all materials and access to personnel it requests as necessary for defense,
preparation and trial and which or who are under the control of or reasonably available
to the Indemnified Party, and maintain the confidentiality of all communications
between it and the Contractor concerning such defense.
16.2.6 Control of Defense by Indemnified Party
If the Contractor responds to the tender of defense as specified in Section 16.2.4, B or Section
16.2.4, C (Tender of Defense to Contractor), the Indemnified Party shall be entitled to select its
own legal counsel and otherwise control the defense of such Indemnified Claim, including
settlement.
16.2.7 Control of Defense if Conflict

The Indemnified Party may assume its own defense by delivering to the Contractor written
notice of such election and the reasons therefore, if the Indemnified Party, at the time it gives
notice of the Indemnified Claim or at any time thereafter, reasonably determines that:
(1) A conflict exists between it and the Contractor which prevents or potentially prevents
the Contractor from presenting a full and effective defense;
(2) The Contractor is otherwise not providing an effective defense in connection with the
Indemnified Claim; or
(3) The Contractor lacks the financial capacity to satisfy potential liability or to provide an
effective defense.
16.2.8 Reimbursement of Expenses
If the Indemnified Party is entitled and elects to conduct its own defense pursuant hereto of an
Indemnified Claim for which it is entitled to indemnification, the Contractor shall reimburse on a

current basis all reasonable costs and expenses the Indemnified Party incurs in investigating
and defending. In the event the Indemnified Party is entitled to and elects to conduct its own
defense, then:
A. In the case of a defense conducted under Section 16.2.4, A (Tender of Defense to

Contractor) it shall have the right to settle or compromise the Indemnified Claim with
the Contractor 's prior written consent, which shall not be unreasonably withheld or
delayed;
B. In the case of a defense conducted under Section 16.2.4, B, it shall have the right to
settle or compromise the Indemnified Claim with the Contractor 's prior written
consent, which shall not be unreasonably withheld or delayed, or with approval of the
court or arbitrator following reasonable notice to the Contractor and opportunity to be
heard and without prejudice to the Indemnified Party's rights to be indemnified by the
Contractor; and
C. In the case of a defense conducted under Section 16.2.4, C, it shall have the right to
settle or compromise the Indemnified Claim without the Contractor 's prior consent
(but with prior notice to the Contractor) and without prejudice to its rights to be
indemnified by the Contractor.
16.2.9 Management of Claim Involving Shared Responsibility
The Parties acknowledge that while Section 16.1 (Indemnifications by Contractor) contemplates
that the Contractor will have responsibility for certain Indemnified Claims and liabilities arising
out of its obligations to indemnify, defend and hold harmless, circumstances may arise in which
there is no insurance coverage and in which there may be shared liability of the Parties with
respect to such Indemnified Claims and liabilities. In such case, where either Party believes an
Indemnified Claim or liability may entail shared responsibility and that principles of comparative
negligence and indemnity are applicable, it shall confer with the other Party on management of
the Indemnified Claim or liability in question. If the Parties cannot agree on an approach to
representation in the matter in question, each shall arrange to represent itself and to bear its
own costs in connection therewith pending the outcome of such matter. Within 30 days
subsequent to the final, non-appealable resolution of the matter in question, whether by
arbitration or by judicial proceedings, the Parties shall adjust the costs of defense, including
reimbursement of reasonable attorneys' fees and other litigation and defense costs, in
accordance with the indemnification arrangements of this Section 16.2, and consistent with the
outcome of such proceedings concerning the respective liabilities of the Parties on the
Indemnified Claim.
16.2.10 Additional Factors Regarding Defense of Suits

In determining responsibilities and obligations for defending suits pursuant to this Section 16.2,
specific consideration shall be given to the following factors: (a) the party performing the activity
in question; (b) the location of the activity and incident; (c) contractual arrangements then
governing the performance of the activity; and (d) allegations of respective fault contained in the
Indemnified Claim.
16.3 No Effect on Other Rights

The foregoing obligations shall not be construed to negate, abridge, or reduce other rights or
obligations, which would otherwise exist in favor of an Indemnified Party hereunder.

16.4 Contractor Held Harmless Regarding Certain Regulated

Materials
Except for conditions attributable to Contractor-Generated Regulated Materials or the
negligence or misconduct of the Contractor or any Component Firm, the Department shall hold
the Contractor and its Subcontractors, Subconsultants, suppliers and the officers, directors,
partners, employees, agents, other consultants and Subcontractors and Subconsultants of each
and any of them from and against all claims, causes of action, suits, judgments, legal or
administrative proceedings, and losses incurred in connection with, arising out of, relating to or
resulting from any actual or alleged spill or threatened spill or release of a Regulated Material.

17 INSURANCE REQUIREMENTS
17.1 Required Insurance
Without limiting Contractor’s indemnification of the Department and the Indemnified Parties, and
prior to commencement of Work, Contractor shall obtain, at its own expense, and continuously
maintain in full force and effect, the insurance coverages specified in this Section 17. Coverage
shall be maintained through Completion of the Contract, or such longer or shorter time as may
be specifically provided in this Section 17. The Contractor may use any combination of
corporate insurance policies, project-specific policies, or a contractor controlled insurance
program (“CCIP”) provided that the selected policies comply with all of the requirements in this
Section 17, except as otherwise provided by this Section 17.
All insurance required hereunder shall be procured from insurance companies with an A.M. Best
and Company rating level of A-: VI or better and authorized or approved to do business in the
State of Ohio, or as otherwise approved by the Department. All limits of insurance set forth
below are in U.S. dollars. Each policy of insurance of the type and amounts described below
shall in a form satisfactory to the Department.
Unless otherwise required, the Contractor agrees to immediately notify the Department in
writing if the Contractor or any of its Subcontractors fails or refuses to renew its any insurances
required under this Contract. The Contractor shall notify the Department if the Contractor’s or its
Subcontractors’ policies are canceled, lapse, are terminated or modified so that any insurance
does not meet the requirements set forth in this Section 17.
17.2 Property Insurance (Course of Construction)

Upon commencement of Construction Work and with approval of the Department, the
Contractor shall obtain and maintain a policy of builder’s risk insurance for the Project as
specified below. The policy may be a Contractor corporate master program policy or a stand-
alone policy as long as all of the requirements of this Section 17 are met. The insureds shall be
the Contractor, all Subcontractors (excluding those solely responsible for Design Work) of any
tier, the Department, and the Indemnified Parties. Coverage extended to the Department and
the Indemnified Parties shall NOT be limited by use of the phrase “as their interests may
appear”.
17.2.1 Minimum Scope

The Contractor shall provide a builder's risk insurance policy on an “all risk” basis. Such
coverage may be provided under a Contractor’s master builder’s risk program or may be
provided under a project-specific policy, whichever provides the broadest coverage. Such
insurance shall be on a replacement cost basis using a completed value form reasonably
acceptable to the Department to ensure adequacy of terms and sublimits.
The policy shall cover all property, roads, buildings, bridge structures, other structures, fixtures,
materials, supplies, foundations, pilings, machinery and Equipment that are part of or related to
the portions or elements of the Project, and the works of improvement, including permanent and
temporary works and materials, and including goods intended for incorporation into the works

located at the Project ROW, in storage or in the course of transit to the Project ROW and all
improvements that are within the Project ROW. The policy shall not cover tools or Equipment
used by any contractor to perform their work. Such tools and Equipment are the sole
responsibility of the contractor who owns or uses such tools.
The builder’s risk policy must include coverage for:
(1) Any ensuing loss from faulty workmanship, Nonconforming Work, error, omission or
deficiency in design or specifications;
(2) Machinery accidents and operational testing, if applicable;
(3) Removal of debris, with a sub-limit of 25% of the loss or a sublimit of no less than
$25,000,000, and insuring the buildings, structures, machinery, Equipment,
Materials, facilities, fixtures and all other properties constituting a part of the Project;
(4) Transit, including ocean marine coverage (unless insured by the Supplier or through
a separate marine cargo policy), with sub-limits sufficient to insure the full
replacement value of any key Equipment item;
(5) Sub-limits sufficient to insure the full replacement value of any property or
Equipment stored either on or off the Site;
(6) Collapse;
(7) Terrorism;
(8) Plans, blueprints and specifications;
(9) Demolition and increased cost of construction as required by law or ordinance with a
sub-limit of no less than $20,000,000; and
(10) Soft costs expense (including costs of Governmental Approvals, mitigation costs,
attorneys' fees, and other fees and costs associated with such damage or loss or
replacement thereof). The soft cost expense sublimit may be included with the
sublimit for delay.
There shall be no coinsurance penalty provision in any such policy. Deductibles or self-insured
retentions shall be no greater than 5 percent of the total value insured at the time of loss subject
to a minimum deductible no greater than $250,000. All deductibles or self-insured retentions
shall be the responsibility of Contractor.
The policy shall provide a “severability of interests provision,” or “multiple insured’s clause” or
similar wording that the policy shall apply to each insured as if a separate policy had been
issued to each insured except as to limits.
17.2.2 Damage to Property Coverage

Coverage shall be the broadest coverage commercially available for “all risks” of direct physical
loss or damage. The policy shall provide coverage per occurrence up to the full replacement
cost or a loss limit based on a Probable Maximum Loss (PML) study of the covered property
loss, provided, however, that the policy may include appropriate sublimits for earthquake, earth
movement, tsunami and flood but in no event less than $50,000,000 aggregate each for
earthquake and flood. If a PML option is used, then the study supporting the PML must be

provided to the Department, and the PML may only be used as an alternative if it is approved, in
writing, by the Department. At its option, the Department may provide a PML obtained at the
Department expense. If the Department accepts the PML so obtained, the Department may
require the Contractor to obtain coverage with a loss limit less than full replacement cost. Any
additional insurance premium shall be paid for by the Department through a Change Order. Any
reduction in insurance premium shall be credited to the Department through a deductive
Change Order.
17.3 Workers Compensation and Employer’s Liability Insurance

During all phases of the Project, the Contractor shall obtain and maintain and shall require all
Subcontractors of all tiers to obtain and maintain, a policy or policies of insurance providing
workers’ compensation statutory benefits and employer’s liability in conformance with the laws
of the State of Ohio. Employer’s liability limits shall be no less than $1,000,000 each accident,
each employee, and policy limit, if scheduled under the excess or umbrella liability policies to
reach a total of $100,000,000. The workers’ compensation policies shall provide the following:
A. A waiver of subrogation in favor of the Department and the Indemnified Parties;

B. A provision extending coverage to all States’ operations;
C. A voluntary compensation endorsement;
D. An alternative employer endorsement;
E. Coverage for liability under the United States Longshore and Harbor Workers’
Compensation Act, as appropriate, by adding a Longshore and Harbor Workers'
Compensation Act coverage endorsement (WC 00 01 06 A) to a standard workers
compensation policy or by purchasing stand-alone coverage from a federally
authorized insurer;
F. Coverage for liability under Title 46 of the United States Code § 688 (“Jones Act”) on
an “if any” basis or as otherwise appropriate; and
G. An endorsement extending the policy to cover the liability of the insureds under the
Federal Employer’s Liability Act on an “if any” basis or as otherwise appropriate.
17.4 Commercial General Liability Insurance

The Contractor shall obtain and maintain a policy or policies of commercial general liability
insurance for bodily injury, property damage, personal injury and advertising injury , damage to
existing property and resulting economic losses, warranty/repair coverage specifically and
exclusively for the Project, Project ROW, and Project Site, or shall obtain a separate project-
specific general aggregate limit under the Contractor’s corporate program of insurance.
Coverage shall be written on an occurrence form that shall provide coverage at least as broad
as the coverage provided by Insurance Services Office (ISO) form CG 00 01.
The policy or policies shall be endorsed to remove exclusions pertaining to railroads. There
shall be no “contractors limitation” endorsements as that term is defined as of the date of this
Contract in the Glossary of Insurance and Risk Management Terms published by the
International Risk Management Institute (http://www.irmi.com/online/insurance-

glossary/default.aspx), that have not been reviewed and approved by the Department or its
representatives. There shall be no endorsement or modification of the CGL limiting the scope of
coverage for liability assumed under an insured contract.
The commercial general liability insurance coverage shall have limits of not less than
$1,000,000 per occurrence, $2,000,000 general aggregate and $2,000,000 products/completed
operations aggregate. Completed operations coverage shall extend for as long as there is any
exposure to liability under a statute of repose or any other applicable statute either through
continuous maintenance of completed operations coverage in the Contractor’s corporate
insurance program, including an endorsement providing completed operations coverage for
additional insureds, or by purchase of extended completed operations coverage for a project-
specific policy. If project-specific coverage through statutory exposure is not commercially
available, completed operations coverage shall extend for at least ten years from Completion of
the Contract. If a project-specific policy is provided, Contractor shall be the named insured and
each of the Indemnified Parties shall also be an insured as to any loss or liability arising out of
or in any way related to the Project, Project ROW, or Project Site. If Contractor’s corporate
program is used with a project-specific general aggregate limit, each of the Indemnified Parties
shall be an insured under that policy.
Additionally, Contractor shall obtain Explosion, Collapse, and Underground (XCU) coverage at
the same limits as the commercial general liability insurance policy.
17.5 Automobile Liability Insurance

The Contractor shall obtain and maintain and shall require all Subcontractors of all tiers to
obtain and maintain a business auto liability policy or policies. Each policy shall cover accidental
death, bodily injury and property damage liability arising from the ownership, maintenance, or
use of all vehicles connected with performance of the Work, including loading and unloading.
Contractor auto liability policies shall cover “any auto” (symbol 1) or shall be specifically
endorsed to include liability coverage on an excess basis for vehicles owned or operated by
Subcontractors. Policies shall include as an insured anyone liable for the conduct of an insured
as defined in the policy, or shall add as insureds, the Indemnified Parties. For any contractor of
any tier, including any Contractor, who will be involved in any way with the transportation of
Hazardous Materials using its own vehicles, pollution liability coverage at least as broad as that
provided under the ISO pollution liability-broadened coverage for covered autos endorsement
(CA 99 48) shall be provided and the automobile liability insurance policies shall be endorsed to
include Motor Carrier Act Endorsement-Hazardous materials clean up (MCS-90) with a sublimit
of no less than $2,000,000.
Contractor’s automobile liability coverage shall have a combined single limit per policy period of
not less than $200,000,000 and may be scheduled under the excess or umbrella liability policies
to achieve the desired limit. Excess or umbrella policies shall cover “any auto” (symbol 1) or
shall be specifically endorsed to include liability coverage on an excess basis for vehicles
owned or operated by Subcontractors.
The Contractor shall require and confirm that no automobile liability policy issued to a
Subcontractor shall contain a self-insured retention exceeding $50,000 per accident unless

approved by the Department. Deductibles, as opposed to self-insured retentions, are not

included in this restriction.
17.6 Umbrella or Excess Liability Insurance

The Contractor shall obtain and maintain an umbrella or excess liability insurance policy with
annual limits of not less than $200,000,000 exclusive to the Project, that will provide bodily
injury, personal injury and property damage liability coverage at least as broad as the primary
coverages set forth in Section 17.4 (Commercial General Liability Insurance), including
commercial general liability and employer’s liability in excess of the amounts set forth above.
The Contractor may use its corporate insurance program or a combination of corporate
insurance and stand-alone policies to meet this requirement provided that the general
aggregate limits available for this Project are not subject to erosion by losses on other projects
not related to this Project.
Such policy or policies shall include the following terms and conditions:
A. Policies shall contain a drop down feature requiring the policy to respond in the event
that any primary insurance limits are exhausted or for occurrences covered by an
umbrella policy but not covered in the underlying insurance;
B. Policies shall provide coverage at least as broad as found in the underlying primary
policies; and
C. There shall be no “contractors limitation” endorsements as described in Section 17.4,
that have not been reviewed and approved by the Indemnified Parties or their
representatives.
The Department and the Indemnified Parties shall be included as insureds on the excess policy
including coverage extension to all insureds for completed operations.
17.7 Pollution Liability Insurance

The Contractor shall obtain and maintain contractor’s pollution liability (CPL) insurance with a
total limit of liability of no less than $50,000,000 per loss and $50,000,000 in the aggregate per
policy period dedicated to this Project. The Contractor may use a corporate CPL program,
provided that coverage extends for a minimum 10-year period as described in the next
paragraph.
The CPL shall be obtained on an occurrence basis for a policy term inclusive of the entire
Construction Period. The CPL shall provide for a minimum 10-year coverage period, including
the Construction Period and an extended reporting period. If an occurrence-based form is not
available, coverage may be provided under a claims-made form provided that the 10 year-
coverage and claim reporting period is provided either through an extended reporting period or
through continuous maintenance of coverage with no advancement of a retroactive date that is
no later than commencement of the Work.
The CPL policy shall include coverage for investigation, removal, and remediation costs
including monitoring or disposal of contaminated soil, surface water, groundwater or other
contamination to the extent required by environmental laws caused by pollution conditions

resulting from covered operations; third-party bodily injury and property damage, provided that
the third-party property damage liability coverage includes loss of use of damaged property or of
property that has not been physically injured or destroyed, resulting from pollution conditions
caused by construction operations. The policy shall have no exclusions or limitations for loss
occurring over water including but not limited to a navigable waterway.
Coverage as required in this paragraph shall apply to sudden and non-sudden pollution
conditions resulting from the escape or release of smoke, vapors, fumes, acids, alkalis, toxic
chemicals, liquids, or gases, waste materials, or other irritants, contaminants, or pollutants. The
CPL shall also provide coverage for transportation and off-Site disposal of materials.
The Department and each of the Indemnified Parties shall also be insureds. The policy shall not
contain any provision or exclusion (including any so-called “insured versus insured” exclusion or
“cross-liability” exclusion) the effect of which would be to prevent, bar, or otherwise preclude any
insured or additional insured under the policy from making a claim which would otherwise be
covered by such policy on the grounds that the claim is brought by an insured or additional
insured against an insured or additional insured under the policy.
17.8 Professional Liability Insurance

During Sub-Phase 1A the Contractor shall obtain and maintain or cause others, as appropriate,
to obtain and maintain a project specific professional liability insurance, including Contractor’s
professional liability and liability for Design Work and Professional Services covering
Professional Services performed in connection with the PDBC, with limits not less than
$5,000,000 per claim and in the aggregate. During all other phases of the Project, the
Contractor shall obtain and maintain or cause others, as appropriate, to obtain and maintain a
project specific professional liability insurance, including Contractor’s professional liability and
liability for Design Work and Professional Services covering Professional Services performed in
connection with the PDBC, with limits not less than $50,000,000 per claim and in the aggregate.
No self-insured retention for the Contractor or Designer shall exceed $250,000 without prior
written approval from the Department, in its good faith discretion. Coverage shall apply
specifically to professional activities performed under the Contract Documents. The policy(ies)
shall have a retroactive date consistent with the inception of the first date of design or project or
construction management activities, and no later than the date on which the RFP was issued.
The Contractor agrees to maintain this required coverage for a period of no less than five years
after Substantial Completion or to purchase an extended reporting period for no less than five
years after Substantial Completion. The Contractor shall require the Designer to agree to
maintain this coverage for a period of no less than five years after Substantial Completion or to
purchase an extended reporting period for no less than five years after Substantial Completion.
17.9 Railroad Protective Liability Insurance

The Contractor shall provide any coverage as may be required by any railroad as a condition of
the railroad’s consent for entry into or when working above railroad facilities or property. Such
policy shall be effective during the period any Work is being performed within 50 feet of any
railroad Right-of-Way.

17.10 Aircraft Liability Insurance

Contractor shall provide, or cause to be provided, aircraft liability insurance, with a limit of not
less than $25,000,000 per accident or higher limits as may be required by the Department, in all
cases where any aircraft is used on the Project that is owned, leased, hired, or chartered by any
Contractor-Related Entity, protecting against claims for damages resulting from such use. For
any aircraft intended for use in performance of the Work, the aircraft crew, flight path and
altitude, including landing of any aircraft on the Project Site or on any property owned by the
Department, shall be subject to review and written acceptance by the Department prior to
occurrence of any such usage. If any aircraft are leased or chartered with crew and/or pilot,
evidence of non-owned aircraft liability insurance will be acceptable but must be provided prior
to use of the aircraft. the Department and the Indemnified Parties shall be added as insureds
under any such policy.
17.11 Comprehensive Marine Liability Insurance

The Contractor shall provide, or cause to be provided, liability insurance covering the
ownership, use, maintenance, loading or unloading of watercraft related to the performance of
Contractor’s Work or any other operations contemplated under this Contract. Additionally, this
insurance must include the following coverage: (i) protection and indemnity; (ii) general liability;
(iii) pollution liability; and (iv) Jones Act. Policies shall provide a limit of not less than
$25,000,000 per occurrence or higher limits as may be required by the Department, in all cases
where any watercraft is used on the Project that is owned, leased, hired, or chartered by any
Contractor-Related Entity. Such coverage may be arranged in any combination of primary and
excess policies, all of which shall include the Department and the Indemnified Parties as
insureds and shall explicitly waive subrogation against the Department and the Indemnified
Parties.
17.12 General Requirements, Conditions, and Agreements Pertaining

to Insurance
17.12.1 Premiums, Deductibles and Self-Insured Retentions
The Contractor shall be responsible for payment of premiums for all insurance required under
this Section 17. The Department and the Indemnified Parties have no obligation to pay any
premium. The Contractor further agrees that for each claim, suit or action made against
insurance provided hereunder, with respect to all matters for which Contractor is responsible
hereunder, the Contractor shall be solely responsible for all deductibles or self-insured
retentions. Any self-insured retentions maintained by the Contractor over $1,000,000 must be
declared and approved by the Department. At the option of the Department, the insurer shall
either reduce or eliminate such self-insured retentions with respect to the Department, and the
other Indemnified Parties; or the Department in its good faith discretion, may require posting of
collateral by Contractor guaranteeing payment of losses and related investigations, claims
administration and defense expenses.

17.12.2 Evidence of Insurance

Concurrently with Contractor’s execution hereof or on such later date on which coverage is
required to be provided hereunder, Contractor shall deliver to the Department a copy of each
policy required to be provided by Contractor under this Section 17, including any corporate
policies used to satisfy the terms of this Section 17. If any required policy is not available at the
time of Contract execution, the Contractor may submit a detailed binder for each required
coverage, and/or a copy of the insurer’s quote for each required coverage. The evidence
provided must be adequate to allow the Department to determine if all insurance requirements
have been met. Newly issued policies shall be delivered to the Department within 10 Days of
receipt by Contractor. This requirement does not apply to professional liability policies, worker’s
compensation policies and auto liability policies, for each of which a certificate of insurance is
acceptable. The Department shall have no duty to pay or perform under the Contract until such
evidence of insurance, in compliance with all requirements of this Section 17 has been
provided.
17.12.3 Enforcement of Contract Provisions (non estoppel)

The Contractor acknowledges and agrees that any actual or alleged failure on the part of the
Department to inform Contractor of non-compliance with any requirement imposes no additional
obligations on the Department nor does it waive any rights hereunder.
17.12.4 Renewal Policies

The Contractor shall promptly deliver to the Department evidence of insurance with respect to
each renewal policy, as necessary to demonstrate the maintenance of the required insurance
coverages for the terms specified herein. Such evidence shall be delivered to the Department
not less than 15 days prior to the expiration date of any policy, or such shorter period as
approved in advance by the Department.
17.12.5 Policy Endorsements and Waivers

All insurance policies required hereunder shall contain or be endorsed to comply with the
following provisions:
A. For claims covered by the insurance specified herein, said insurance coverage shall
be primary insurance with respect to the insureds, additional insureds, and their
respective members, directors, officers, employees, agents, and consultants, except
for coverage that by its nature cannot be written as primary. Any insurance or self-
insurance beyond that specified in this Contract that is maintained by an Indemnified
Party, their directors, officers, employees, agents, and consultants shall be excess of
such insurance and shall not contribute with it.
B. Liability insurance shall apply separately to each insured and additional insured
against whom a claim is made or suit is brought, except with respect to the limits of
the insurer’s liability. If Contractor’s liability policies do not contain the standard
Insurance Services Office separation of insureds provision, or a substantially similar
clause, such policies shall be endorsed to provide cross-liability coverage.

C. Policies shall not be suspended, voided, canceled, or reduced in coverage or in limits

except after 30 days prior written notice has been given to the Department by
Contractor or its insurance broker or insurer.
D. All endorsements adding insureds to required commercial general liability policies
shall provide additional insureds with coverage for “completed operations,” or a
separate endorsement providing such coverage must be added to the policy.
E. Each policy shall provide coverage on an “occurrence” basis and not a “claims made”
basis (with the exception of professional liability) and no policy issued on an
occurrence basis shall have any sunset clause requiring reporting within a specified
period of time except as specified for pollution liability policies.
17.12.6 Waivers by the Parties
The Department and Contractor waive all rights against each other, against each of their agents
and employees and their respective members, directors, officers, employees, agents and
consultants for any claims to the extent covered by insurance obtained pursuant to this Section
17 (Insurance), except such rights as they may have to the proceeds of such insurance.
Contractor shall require all Subcontractors to provide similar waivers in writing. Workers’
compensation/employers liability policies shall include by endorsement or otherwise, a waiver of
any right of subrogation against the Department and the Indemnified Parties.
17.12.7 Changes in Insurance Requirements

The Department shall notify Contractor in writing of any changes in the requirements applicable
to insurance to be provided by Contractor. Except as set forth otherwise in this Contract, any
additional cost from such change shall be paid by the Department and any reduction in cost
shall reduce the Contract Price pursuant to a Change Order.
17.12.8 No Recourse
There shall be no recourse against the Department or the Indemnified Parties for payment of
premiums or other amounts with respect to the insurance to be provided by Contractor
hereunder.
17.12.9 Non-Limitation of Insurance Requirements

The insurance coverage provided and limits required hereunder are minimum requirements and
are not intended to limit the Contractor’s indemnification obligations under the Contract, nor do
the indemnity obligations limit the rights of the insured parties to the coverage afforded by their
insured status. Requirements of specific coverage features or limits contained in this Section 17
are not intended as a limitation on coverage, limits or other requirements, or a waiver of any
coverage normally provided by insurance. Specific reference to a given coverage feature is for
purposes of clarification only as it pertains to a given issue and is not intended by any party or
insured to be all inclusive, or to the exclusion of other coverage, or a waiver of any type. With
the exception of any insurance required by a railroad, liability coverage will not be limited to the
specific location designated as the Project Site except that if the Contractor arranges project-
specific general liability, excess liability, or workers’ compensation coverage, limitations of

coverage to the project site will be permitted subject to the Department approval and use of the
broadest available site-specific endorsements. No liability policy shall contain any provision or
definition that would serve to eliminate so-called “third-party-over action” claims, including any
exclusion for bodily injury to an employee of the insured or of any contractor or Subcontractor.
17.12.10 Commercial Unavailability of Required Coverages

If, through no fault of the Contractor, any of the coverages required in this Section 17 (or any of
the required terms of such coverages, including policy limits) become unavailable or are
available only with commercially unreasonable premiums, the Department will consider in good
faith alternative insurance packages and programs proposed by the Contractor, with the goal of
reaching agreement on a package providing coverage equivalent to that specified herein. The
Contractor must demonstrate to the Department’s satisfaction that it has used diligent efforts in
the global insurance markets to place the required insurance coverages, and shall advise the
Department of the specific results of those efforts. The Contractor shall not be entitled to any
increase in the Contract Price for increased costs resulting from the unavailability of coverage
and the requirement to provide acceptable alternatives. The Department shall be entitled to a
reduction in the Contract Price if the Department, in its sole discretion, agrees to accept
alternative policies providing less than equivalent coverage.
17.12.11 Notice and Prosecution of Claims

The Department shall have the right, but not the obligation, to submit the Department’s claims
and tenders of defense and indemnity under applicable insurance policies. Unless otherwise
directed by the Department in writing with respect to the Department’s insurance claims, the
Contractor shall be responsible for reporting and processing all potential claims by the
Department or Contractor or tenders for defense and indemnity under the appropriate insurance
policies. The Contractor agrees to report timely to the insurer(s) under such policies any and all
matters which may give rise to an insurance claim by the Contractor or the Department and to
promptly and diligently pursue such insurance claims in accordance with the claims procedures
specified in such policies, whether for defense or indemnity or both. The Contractor shall
enforce all legal rights against the insurer under the applicable insurance policies and applicable
Governmental Rules in order to collect thereon, including pursuing necessary litigation and
enforcement of judgments.
The Contractor shall immediately notify the Department, and thereafter keep the Department
fully informed, of any incident, potential claim, claim or other matter of which the Contractor
becomes aware that involves or could conceivably involve an Indemnified Party as a defendant.
Contractor will cooperate with the Department, and shall require its liability insurers to agree in
writing to work with the Department to assure compliance with all regarding timely response to
claims.
The Department agrees to promptly notify the Contractor of the Department’s incidents,
potential claims against the Department, and matters of which the Department is actually aware
which may give rise to a Department insurance claim or to a right of defense and
indemnification under the Contract. Delivery of any such notice will constitute a tender of the
Department’s defense of the claim to the Contractor and the insurer under any applicable
Insurance Policies, subject to the Department’s rights to control its own defense to the extent

provided in the Contract or by applicable Governmental Rules. The Department shall cooperate
with the Contractor as necessary for the Contractor to fulfill its duties hereunder, including
providing the Contractor a copy of all written materials the Department receives asserting a
claim against the Department that is subject to defense by an insurer under an Insurance Policy
or by the Contractor under the Contract.
If, in any instance, the Contractor has breached its obligations respecting insurance coverage
set forth in the Contract Documents or is unable to enforce and collect any such insurance for
failure to assert claims in accordance with the terms of the Insurance Policies or to prosecute
claims diligently, then for purposes of determining damages resulting from the breach or inability
to enforce or collect, on or determining reductions in compensation due from the Department to
the Contractor, the Contractor shall be treated as if it has elected to self-insure up to the full
amount of insurance coverage that would have been available had the Contractor performed
such obligations or not committed such failure. Nothing in this Section 17.12.11 or elsewhere in
this Section 17 shall be construed to treat Contractor as electing to self-insure where the
Contractor is unable to collect due to the bankruptcy or insolvency of any insurer which at the
time the insurance policy is written meets the rating qualifications set forth in this Section 17.
In the event that an insurer providing any of the insurance policies becomes the subject of
bankruptcy proceedings, becomes insolvent, or is the subject of an order or directive limiting its
business activities given by any Governmental Entity, including the State Department of
Insurance, the Contractor shall exercise best efforts to promptly, and at its sole cost and
expense, secure alternative coverage in compliance with the insurance requirements contained
in this Section 17 so as to avoid any lapse in insurance coverage.
17.12.12 Commencement of Work

The Contractor shall not commence Work under this Contract until it has obtained the insurance
required under this Section 17, has furnished original evidence of insurance for the required
coverage as required under this Section 17, and such insurance has been approved by the
Department, nor shall Contractor allow any Subcontractor to commence work under its
Subcontract until the insurance required of the Subcontractor has been obtained and approved
by the Contractor.
17.12.13 Contractor’s Failure to Comply

If the Contractor or any Subcontractor fails to provide and maintain insurance as required
herein, then the Department shall have the right but not the obligation, to purchase such
insurance or to suspend the Contractor’s right to proceed until proper evidence of insurance is
provided. Any amounts paid by the Department (plus an administrative charge equal to 10% of
the cost) shall, at the Department’s sole option, be deducted from amounts payable to
Contractor or reimbursed by Contractor upon demand, plus interest thereon from the date of
payment by the Department to the reimbursement date, at the lesser of (a) 10% per annum or
(b) the maximum rate allowable under applicable Governmental Rules. Nothing herein shall
preclude the Department from exercising its rights and remedies under this Section 17.12.13 as
a result of the failure of Contractor or any Subcontractor to satisfy the obligations of this Section
17.

If on account of the Contractor’s failure to comply with the provisions of this Section 17, the
Department is adjudged to be responsible for all or any portion of a judgment, loss or settlement
(through admission or stipulation by Contractor or court decision) that would have been covered
by insurance but for non-compliance with this Section 17, then any loss or damage it shall
sustain by reason thereof shall be borne by Contractor, and the Contractor shall immediately
pay the same to the Department, upon receipt of written demand therefor and evidence of such
loss or damage.
17.12.14 Subcontractor Insurance Requirements

The Contractor shall cause each Subcontractor to provide insurance that complies with
requirements for Contractor-provided insurance set forth in this Section 17 in circumstances
where the Subcontractor acts or omissions are not covered by Contractor-provided insurance,
including automobile liability. Except as otherwise specified in this Section 17, the Contractor
shall have sole responsibility for determining the limits of coverage required to be obtained by
Subcontractors, which determination shall be made in accordance with reasonable and prudent
business practices. The Contractor shall cause each such Subcontractor to include the
Department and the Indemnified Parties as additional insureds under such Subcontractor’s
general liability and excess liability insurance policies. If requested by the Department, the
Contractor shall promptly provide certificates of insurance evidencing coverage for each
Subcontractor. The Department shall have the right to contact the Subcontractors directly in
order to verify the required coverage.
17.12.15 Disclaimer
The Contractor and each Subcontractor shall have the responsibility to make sure that their
insurance programs fit their particular needs, and it is their responsibility to arrange for and
secure any insurance coverage that they deem advisable, whether or not specified herein.
The Department makes no representation or warranty that the coverage, limits of liability or
other terms specified for the insurance policies to be carried pursuant to this Section 17 are
adequate to protect the Contractor against its undertakings under the Contract Documents or its
liability to any third party or preclude the Department from taking any actions as are available to
it under the Contract or otherwise at law. The Department shall not be limited to the amount of
the insurance premium not paid in the proof of any damages it may claim against the Contractor
arising out of or by reason of failure of the Contractor to provide and keep in force the insurance
policies required by and on the terms of this Section 17, but the Department shall instead be
entitled to recover the full amount of damages available.

18 PARTNERING AND DISPUTE RESOLUTION

18.1 Partnering
The Department intends to encourage the use of an extensive partnering program among the
Department, the Cabinet, the Contractor, its Subcontractors and Subconsultants, and other
stakeholders where appropriate. The partnering relationship will be structured to draw on the
strengths of each organization to identify and achieve reciprocal goals. The objectives include
effective and efficient Project performance with a commercially reasonable profit and completion
on schedule, within budget and in accordance with the Contract Documents. The Parties
covenant and agree to conduct partnering efforts in accordance with the applicable provisions of
the Technical Requirements, including Section 2.2 (Project Meetings), provided however such
provisions under the Technical Requirements shall be supplemented by the partnering
provisions set forth in Exhibit R (Facilitated Partnering).
18.2 Dispute Resolution

18.2.1 Intent
It is the intent of the Parties that the Dispute Resolution Procedures contained in this Section
18.2 shall apply only in the event that the Department-Contractor Dispute Resolution efforts
through partnering under Section 18.1 (Partnering) are not successful. The provisions of this
Section 18.2 shall apply to all Disputes arising out of the Work that are not so resolved, except
as expressly provided to the contrary in the Contract Documents.
18.2.2 Dispute Resolution Procedures

Notwithstanding any other available remedy (which, except as otherwise provided herein, the
Contractor hereby waives in consideration of the following Dispute Resolution Procedures), all
Claims or Disputes between the Department and the Contractor relating to the Contract
Documents or the Project shall follow the process outlined below in this Section 18.2.2. The
Contractor shall continue the Work and adhere to the progress schedule during all Disputes. No
Work, including any Work relating to the underlying Dispute, shall be delayed or postponed
pending resolution of any Disputes, except as the Contractor and the Department may
otherwise agree in writing.
Consideration of a Dispute and Claim in accordance with the Dispute Resolution Procedures set
forth under this Section 18.2 and the exhaustion of all the processes set forth herein with
respect to such Dispute or Claim shall be a CONDITIONS PRECEDENT to the filing of action in
the Ohio Court of Claims. Further provided, that the consideration of a Dispute or Claim in
accordance with the Dispute Resolution Procedures pertaining to the subsequent Step shall
require the exhaustion of the processes pertaining to the preceding Step.
During the pendency of any Dispute or Claim, the Contractor covenants and agrees to refrain
from contacting DDRC members, DRB members, or Department personnel assigned to
consideration of the Dispute or Claim in accordance with the Step 1, Step 2, or Step 3
procedures. Further provided, that until a Dispute or Claim has been fully considered at the
previous Step, the Contractor covenants and agrees to refrain from contacting any DDRC

member, DRB member, or Department personnel that will consider the corresponding Dispute
or Claim at the subsequent Step.
The timeframes for filing a Dispute or Claim with the DDRC, DRB, or Department will be strictly
construed and the Contractor’s failure to file a Dispute or Claim within the corresponding time
periods shall result in the waiver of the Dispute or Claim and the dismissal of the Dispute or
Claim without further consideration by the corresponding body.
Notwithstanding anything to the contrary contained herein, no Dispute shall be considered

unless the Contractor has submitted a Notice of Potential Change Order to the Department as
outlined in Section 12.4.1 (Notice of Potential Change Order) before beginning the Disputed
Work.
The Dispute Resolution Procedures shall consist of the following levels as set forth herein:
A. STEP 1: Mitigation and On-Site Determination

B. STEP 2: District Dispute Resolution Committee (DDRC)
C. STEP 3: Dispute resolution through DRB
D. OPTIONAL: Alternative Dispute Resolution (ADR) (with Department consent)
18.2.3 Matters Ineligible for Dispute Resolution Procedures
The Dispute Resolution Procedures set forth in this Section 18.2 shall not apply to the following
(collectively, “Ineligible Claims”):
A. Any matters that the Contract Documents expressly state are final, binding, or not
subject to Dispute resolution;
B. Any matters relating to the applicability of indemnities provided under the Contract
Documents;
C. Any Claim for injunctive relief;
D. Any Claim against an insurance company, including any Subcontractor dispute that is
covered by insurance;
E. Any Claim arising solely in tort;
F. Any Claim between or among the Contractor, the Department, and a third party in
which the third party is a necessary or appropriate party to such Dispute, including any
related Claims between the Parties arising therefrom;
G. Any Claim or Dispute that is the subject of litigation in a lawsuit filed in court to which
the Dispute Resolution Procedures established in this Section do not apply, including
any effort to interplead a Party into such a lawsuit in order to make the Dispute
Resolution Procedures established in this Section applicable;
H. Any Claim for, or Dispute based on, remedies expressly created by statute; and
I. Any Dispute that is actionable only against a Surety.
Further provided, that the Contractor acknowledges and agrees that the Contractor may not
seek recourse under the Dispute Resolution Procedures, nor shall have a Claim at Law, for any

exercise of the Department's sole discretion (or words of like import), and those oversight and
other matters with respect to the Project that result in certain rights in favor of the Department
by virtue of the Contractor's engineer's obligations resulting from its license (i.e., that inure to
the benefit of the Department rather than the Contractor).
18.2.4 Step 1: Mitigation and On-Site Determination

The Contractor covenants and agrees that mitigation of any issue that may give rise to a
Dispute, whether caused by the Department, the Contractor, third-party, or an intervening event,
is a shared legal requirement under this PDBC. Upon the identification of any issue that may
give rise to a Dispute, the Contractor covenants and agrees to cooperate with the Department to
undertake mitigation efforts, including but not limited to resequencing Work activities,
acceleration, differing design concepts, and submission of materials. The Contractor further
covenants and agrees to explore mitigation efforts in a timely manner.
Within seven (7) Days of receiving the Department’s written notice with respect to its decision
pertaining to any RCO or EDR pursuant to Section 12.4.1.2 and Section 13.4.3 (Excusable
Delay Change Order), respectively, should the Contractor disagree with said notice, Contractor
shall be obligated to deliver written notice (the “Contactor‘s Early Written Dispute Notice”) of its
intent to utilize the Dispute Resolution Procedures set forth herein. Contractor’s failure to submit
an Early Written Dispute Notice within such timeframe shall constitute a waiver of Contractor’s
rights with respect to such potential Dispute.
In conjunction with the evaluation of any Early Written Dispute Notice, the Department and
Contractor shall maintain records of labor, equipment, and materials used on the Work relating
to the potential Dispute or any Work made necessary by the circumstances, provided however
such records shall not constitute an acknowledgement or representation on the part of the
Department that it accepts responsibility for payment relating to the Dispute or the granting of
any extension of time with respect to the Dispute.
Within two (2) Working Days of receiving the Contractor’s Early Written Dispute Notice, the
Department will meet with the Contractor to review all pertinent information and relevant
provisions of this PDBC to resolve the issues giving rise to the Dispute. Within fourteen (14)
Days of the aforementioned meeting, the Department will issue its written Step 1 decision. If the
Step 1 decision does not resolve the corresponding Dispute to the Contractor’s satisfaction,
then the Contractor may elect to either (i) abandon the Dispute, or (ii) elect to escalate the
Dispute to Step 2.
18.3 District Dispute Resolution Committee (DDRC)

18.3.1 Submission of Step 2 Dispute
Within seven (7) Days of receipt of the Step 1 decision, the Contractor must submit a written
request for a Step 2 meeting to the District Construction Administrator (DCA) or the
corresponding Dispute will be waived. Upon timely receipt of written notice that any Dispute
shall be escalated, the DCA will assign the Dispute a number.

18.3.2 District Dispute Resolution Committee (DDRC) Composition

The DDRC shall be comprised of a four (4) member committee consisting of (i) the District
Deputy Director, (ii) the District Capital Programs Administrator, (iii) the District Construction
Engineer, and (iv) a designee of the Secretary of the Cabinet or their respective designees,
which designees shall not be Department personnel involved in the Dispute. In the event a
Dispute pertains to design-related issues, the DDRC may include the District Design Engineer in
addition to the four primary members of the DDRC.
18.3.3 Dispute Documentation and Rebuttal

The procedure for consideration of Disputes by the DDRC shall be as follows: within fourteen
(14) Days of submitting Contractor’s written request for the escalation to Step 2, the Contractor
shall submit three (3) complete copies and one electronic copy of the Dispute documentation to
the DCA, which shall contain the following information (collectively, the “Dispute
Documentation”):
A. Identification of Project, Contractor, and if applicable Subcontractors or

Subconsultants relevant to the Dispute.
B. Identification of each item for which additional compensation and/or time is requested,
along with the requested compensation/time.
C. Detailed narrative of the disputed work or portion of the Project, including the dates of
the disputed work and the date of the initial notice to the Department.
D. References to the applicable provisions of the Contract Documents relevant to the
Dispute.
E. Supporting documentation to support any request for additional compensation.
F. For any Dispute pertaining to Contract time or actual or constructive acceleration
provide a detailed schedule analysis that includes the updated Baseline Project
Schedule immediately preceding the occurrence of the Dispute. Failure to submit the
required schedule analysis will result in the denial of that portion of the Contractor’s
Dispute.
G. Copies of relevant correspondence and pertinent documents.
Within fourteen (14) Days of receipt of the Contractor’s Dispute Documentation, the Department
will provide the Contractor and the DDRC with all documentation it intends to rely on at the
DDRC meeting to rebut the Contractor’s Dispute.
18.3.4 DDRC Meeting

Within fourteen (14) Days after the date that the Department submits the rebuttal information,
the DDRC will conduct a Step 2 meeting with Contractor personnel who are authorized to
resolve the Dispute. The DDRC will issue a written Step 2 decision to the Contractor and the
Department within 14 Days of the meeting. If the Dispute is not resolved, the Contractor may
either (i) abandon the Dispute, or(ii) escalate the Dispute to Step 3.

18.4 Dispute Review Board (DRB)

18.4.1 Purpose
The purpose of the Dispute Resolution Board (DRB) is to provide special expertise to assist in
and facilitate the timely and equitable resolution of Disputes and Claims. The goal is to avoid
delays to the Work, minimize the expense of settlement, avoid litigation, and promote project
partnering. The DRB will render non-binding recommendations on issues brought before it.
18.4.2 Dispute Review Board (DRB) Membership

The DRB will consist of three (3) members. One member is selected by the Department and
approved by the Contractor and one member is selected by the Contractor and approved by the
Department. These first two members will mutually select and agree on the third member from
the list supplied by the Contractor and Department who will complement the construction and
contract administration experience of the first two members and act as the Chair for all DRB
activities. All three members must meet the “Requirements of DRB Members” set forth under
Section 18.4.3 (Requirements of DRB Members).
18.4.3 Requirements of DRB Members

Members of the DRB shall each have at least fifteen (15) years of experience with the type of
Work to be performed in conjunction with the Project, construction contract administration
principles, and dispute resolution training.
Members of the DRB must not show or be perceived to be showing partiality or bias to either the
Contractor or the Department. A DRB member shall not have any conflict of interest which could
affect their ability to act in a disinterested and unbiased manner.
A person proposed as a member of the DRB shall submit a resume covering such member’s
applicable education and experience to the party appointing him/her. The resume shall include a
list of all DRBs on which the candidate currently serves and any projects on which the candidate
serves as a dispute resolution advisor along with meeting frequencies. A disclosure statement
shall be submitted and include, but not limited to, any of the following categories of relationships
or prior involvement in this project:
A. A direct or indirect ownership or financial interest in the Contractor, Sub-Consultant,

Sub-Contractor or any supplier on the Project or any business of another DRB
member.
B. Current employment by the Department, the Cabinet, the Contractor, a Sub-
Consultant, a Subcontractor or supplier on the Project.
C. Within the one (1) year period immediately prior to award of this PDBC, employment
by the Department, the Cabinet, or the Contractor, any Sub-Consultant, Sub-
Contractor, or any supplier on the Project or any business of another DRB member.
D. A close personal relationship with any senior employee of any Component Firm.
E. A prior involvement in the Project of a nature which might be construed as
compromising such member’s ability to act impartially in carrying out the duties of the
DRB.

F. A contract as a consultant to the Department, the Cabinet, the Contractor, or any Sub-
Consultant or Sub-Contractor or supplier on the Project.
Category “A” and “B” relationships listed above shall disqualify a person from serving on the
DRB for this Project. The other categories listed above will be considered by the Department
and the Contractor to determine whether to accept a person as a member of the DRB. If a
prospective DRB member discloses a relationship or prior involvement in this Project listed in
other than category “A” and “B” and is considered to be highly qualified and desirable as a DRB
member, the Department and the Contractor may, by mutual agreement, approve that person to
serve as a member on the DRB.
If a DRB candidate submits a disclosure statement which fails to provide accurate and complete
disclosure of a relationship described in A through F above, the Department may disqualify that
candidate from serving on a DRB on future Department projects.
Notwithstanding anything to the contrary contained herein, service as a member on other

project DRBs shall not be construed as employment and therefore will not preclude a person
from membership on the DRB for this Project.
18.4.4 DRB Establishment

Every attempt shall be made by the Department and the Contractor to complete the selection of
DRB members and execute the DRB Three-Party Agreement prior to the date of the
preconstruction conference. At a minimum, the following timeframes for establishment of the
DRB must be followed.
Within twenty-one (21) Days of the signing of this PDBC, the Department and Contractor shall
each obtain a written commitment from their proposed member to serve as a DRB member
along with the resume and disclosure statement. These commitments shall include a clause that
requires the first two members to immediately pursue selection of the DRB Chair. Within this
same timeframe, the Department and Contractor must also give the other party notice of the
person they have selected to serve as a DRB member. This notice shall be accompanied by the
resume and disclosure statement.
Within fourteen (14) Days of receiving the notice of selection of a DRB member, the Department
and the Contractor shall notify the other party in writing as to whether the person selected is
acceptable. Failure to give this notice within the required timeframe shall be construed to be
acceptance of that member.
If a person selected is not acceptable to the other party, the party who selected that person shall
within seven (7) Days select another person and provide to the other party a notification
accompanied by the resume and disclosure statement submitted by that person. Within seven
(7) Days written notification shall be given as to whether the person selected is acceptable.
Failure to give this notice within the required timeframe shall be construed to be acceptance of
that member.
Once the Department and the Contractor have agreed upon the first two members of the DRB
the Department and the Contractor shall immediately notify those members of their approval.
Within seven (7) Days of this notification, the Department and Contractor will each provide the
first two members with a list of not less than two (2) potential members from which the DRB
Chair will be selected. Within seven (7) Days of receipt of the list of potential members, the first
two members shall select the DRB Chair ensuring that the DRB Chair meets all the

Requirements of DRB Members set forth under Section 18.4.3 (Requirements of DRB
Members) above and give written notice to both the Department and Contractor accompanied
by that person’s resume and disclosure statement. In the event of an impasse in selection of the
DRB Chair, that member shall be selected by mutual agreement of the Department and
Contractor.
Immediately after agreement is reached on all members of the DRB, the Department,
Contractor, and the members of the DRB shall execute the DRB Three Party Agreement. The
terms and conditions of the DRB Three-Party Agreement will not modify the requirements,
terms, or conditions of this PDBC.
18.4.5 Termination of DRB Members

If during the Term of this PDBC, a DRB member’s status changes with respect to category “A”
or “B” categories set forth in Section 18.4.3 (Requirements of DRB Members), he or she shall
immediately disclose this in writing to both the Department and the Contractor. Upon receiving
such notification, the Department or the Contractor may, within seven (7) Days, give notice that
this DRB member is no longer acceptable. In no event, shall a DRB member participate in a
hearing of a dispute or claim involving a firm by which they are employed.
Service of a member of the DRB may be terminated at any time with not less than thirty (30) Days’
notice as follows:
A. The Department may terminate the service of the Department appointed member.
B. The Contractor may terminate the service of the Contractor appointed member.
C. The DRB Chair’s service may be terminated only by agreement of the other two
members.
D. Resignation of the member.
18.4.6 Dispute Review Board (DRB) Member Replacement
In the event that a vacancy on the DRB occurs, replacement members will be appointed in the
same manner as the replaced member was appointed. The selection of a replacement DRB
member shall be completed within thirty (30) Days of the creation of the vacancy. The
Department, the Contractor, and the DRB shall execute an amendment to the DRB Three Party
Agreement to reflect the change of a DRB member.
18.4.7 DRB Operation and Duties

The DRB, with input from the Department and the Contractor, will establish its DRB Operating
Procedures.
The Department and Contractor shall mutually agree upon the appropriateness of holding in-
person update status meetings or Dispute Hearing or holding such meetings virtually.
The members of the DRB will keep current on the progress of the Project by: 1) quarterly visits
to the Project, 2) keeping current files, 3) meetings with other DRB members, and 4) joint
meetings with Department and Contractor personnel. The frequency of Project visits and
meetings and content of members’ files shall be as agreed upon among the Department, the
Contractor, and members of the DRB.

The DRB Chair shall be responsible for arranging and conducting meetings, hearings, Project
visits, and drafting DRB recommendations on Claims presented to the DRB.
The DRB will not maintain an official transcript of its hearings or deliberations. The DRB
members shall perform their responsibilities impartially and independently considering the facts
and conditions related to the matters under consideration and the provisions of this PDBC.
The DRB will exist for the Term of this PDBC only and will not review Disputes or Claims on any
other project unless as otherwise agreed upon by the Department and the Contractor. If, after
Contract Completion, there are unresolved Disputes and Claims remaining, the DRB Three
Party Agreement shall remain active and in full force and effect until the Project is otherwise
administratively closed by the Department following final payment so that the DRB may continue
in operation until all unresolved Disputes and Claims are resolved or voluntarily dismissed.
18.4.8 Procedures for Consideration of Disputes

Within fourteen (14) Days of receipt of the Step 2 decision, the Contractor must submit a written
notice of intent to appeal to the DRB to the Claims Coordinator or the Contractor’s Claims shall
be waived. This notice shall state the Contractor’s request for a DRB hearing. The Contractor
must also submit copies of this notice to the DCA, the Claims Coordinator, and the Deputy
Director of the Division of Construction Management.
A Dispute becomes a Claim when the Department representatives receive the aforementioned
written notice. The DRB will not consider a Claim until the DDRC has properly reviewed a
Dispute and issued a decision in accordance with Section 18.3 (District Dispute Resolution
Committee).
The DRB’s Operating Procedures for Dispute Resolution established by the DRB will set forth
the Step 3 (Appeal to DRB) process in detail. At a minimum, the DRB Operating Procedures will
establish both the requirements and timeframes for documentation submissions by both the
Contractor and Department, documentation exchange between the Contractor and Department,
and the hearing procedures.
The Contractor shall submit its Claims Documentation in accordance with the DRB’s Operating
Procedures. In addition to the Dispute Documentation submitted at Step 2, the Claims
Documentation shall be enhanced to include the following:
1. An overview of the Project.

2. A narrative of the disputed Work or Project circumstance at issue with sufficient
description and information to enable understanding by a third party who has no
knowledge of the dispute or familiarity with the project.
3. The dates of the disputed Work and the date of Early Notice.
4. Discuss the efforts taken to partner the Dispute.
5. References to the applicable provisions of the plans, specifications, proposal, or other
contract documents. Copies of the cited provisions shall be included in the Claim
document.
6. Response to each argument set forth by the Contractor.

7. Any counterclaims, accompanied by supporting documentation, the Department

wishes to assert.
8. Copies of relevant correspondence and other pertinent documents.
The DRB may also require additional information be included in the Department’s Claims
Documentation. The DRB may also require additional information be included in the
Contractor’s Claims Documentation.
Upon submission of the Claims Documentation, the Contractor shall certify the Claim in writing
and under oath. The date the Claims Coordinator receives the certified Claims Documentation is
the date of the Department’s Receipt of the Certified Claim for the purpose of the calculation of
interest.
In the event of multiple Claims, the DRB may order that such separate Claims be considered in
a single hearing. The DRB may hold this hearing after the completion of the Project or until such
time that it is assured that all Disputes pertaining to the Project have been processed through
Steps 1 and 2 of the Dispute Resolution Process and these issues are before the DRB.
The DRB will hear the entire Claim. The DRB will hear oral presentations from the Department
and the Contractor. The DRB may, on its own initiative, request information of the Contractor or
the Department in addition to that submitted for the hearing. If either party fails to reasonably
comply with such request, the DRB may render its recommendation without such information.
Upon completion of the hearing and consideration of any additional information submitted upon
request, the DRB will render its written recommendation within fourteen (14) Days of the
hearing.
The recommendation of the DRB shall be by majority vote. The recommendation shall be a well-
reasoned decision which, at a minimum, shall include:
1. The claim number; the project number; county, route, and section number; Contractor
name; subcontractor or supplier’s name, if involved in the dispute; and the commonly
referenced name of the dispute on the cover sheet or the first page of the decision.
2. Sufficient description of the project and the claim to enable understanding by a third
party who has no knowledge of the claim or familiarity with the project.
3. The value of the claim as determined by the Contractor, if applicable.
4. The value of the claim as determined by the Department, if applicable.
5. Finding of fact and a conclusion that provides clear direction to the parties.
The DRB Chair must submit copies of the recommendation to the Contractor, the Deputy
Director of the Division of Construction Management, and the DCA.
Within three (3) days of receipt of the recommendation, either party may request a meeting of
the DRB to hear the DRB’s explanation of the recommendation. Within seven (7) days of this
request, the DRB Chair shall conduct this meeting with both the Department and the Contractor.
Within twenty-one (21) Days of receipt of the DRB’s recommendation, the Contractor must
indicate its intentions in writing to the Department and the Chair with respect to the
recommendation. The Director or designee will determine the Department’s intentions with

respect to the recommendation in writing to the Contractor and the Chair within twenty-one (21)
Days of receipt of the recommendation.
Either the Department or the Contractor may appeal a recommendation to the DRB for
reconsideration. However, reconsideration will only be allowed when there is new evidence to
present.
The recommendation of the DRB is the final step of the Department’s Dispute Resolution
Process and may not be appealed within the Department. The DRB is not bound by any offers
of settlement or findings of entitlement made during Steps 1 and 2 of the Dispute Resolution
Process.
The Department will pay interest in accordance with Section 126.30(E) of the Ohio Revised
Code on any amount found due on a Claim which is not paid within 30 Days of the Department’s
receipt of the Contractor’s certified Claims Documentation pursuant to this Section 18.4.8.
18.4.9 Alternative Dispute Resolution (ADR)

(1) Subsequent to any DRB recommendation, the Contractor may elect to request the
Department’s written consent to proceed with an Alternative Dispute Resolution
Process, which consent must be obtained within seven (7) Days of the date of the
corresponding DRB recommendation. Upon the Department’s concurrence with the
Contractor’s request, the Parties will choose either arbitration or mediation, in each
case, conducted in accordance with the methods that are practiced by the Department
permitted under State law.
(2) Within twenty (20) Days of the Parties’ agreement to proceed with arbitration or
mediation, the Dispute Resolution Coordinator will coordinate a written agreement
between the Parties setting forth the terms of the corresponding ADR method, and the
selection of a neutral third-party, technical expert to conduct the ADR proceedings.
The fees of the neutral third-party will be shared equally between the Department and
the Contractor. The neutral third-party will retain complete control and oversight over
the Claim upon the execution of the corresponding ADR agreement.
(3) Prior to any ADR proceedings, an Authorized Contractor Representative shall re-
certify the Contractor’s Claim in a written form consistent with that required under
Section 18.4.8 (Procedure for Consideration of Disputes) above in conjunction with the
DRB proceedings.
(4) The neutral third-party or technical expert shall conduct all ADR proceedings in
accordance with the ADR agreement, after which the result of the ADR proceedings
shall represent the final procedure available under this PDBC.
18.5 Limitations on Consequential Damages
Under no circumstances shall the Contractor (or any Subcontractor) be entitled to consequential
damages arising out of the performance (or failure to perform) of the Department, and the
Contractor releases the Department from any such liability.
Consequential damages shall be recoverable by the Department only in the following limited
categories:

1. Any component of the Liquidated Damages figure provided in Exhibit B (Contract

Particulars) that may be consequential in nature.
2. Any component of the disincentives relating to lane closures provided in Exhibit S
(Lane Value Contract) that may be consequential in nature.
3. Any damage that may be deemed “consequential” but is nonetheless covered by
insurance purchased by the Contractor or others on the Project, or for which the
Contract requires the Contractor to purchase insurance coverage, is not waived up to
the limits of such coverage. However, any consequential damages outside the
insurance coverage limits required by the Contract are waived except as provided in
this Section 18.5.
The Department does not waive consequential damages for any injuries suffered by the
Department due to fraud, intentional misconduct, or criminal acts by the Contractor or entities
for whom the Contractor is responsible.
The term "consequential damages" shall mean those special, indirect, or incidental damages
that do not flow directly and immediately from an injurious act but that result indirectly from an
action or failure to act, such as revenue losses, loss of use, cost of capital, debt service, loss of
profit on related contracts, administrative costs, loss of bonding capacity, lost opportunity,
claims of taxpayers, and other indirect damage. Liabilities, costs, and losses incurred by either
party due to failure by the other to procure and maintain insurance policies required hereunder,
as well as any amounts that this PDBC expressly states are to be reimbursed from one party to
the other (including interest, late charges, fees, penalties, and similar charges), shall be
considered direct damages. This provision shall apply to limit liability under actions brought
under any theory of law, including actions in tort (including negligence) as well as in contract.
18.6 Statute of Limitations

The statute of limitations for any breach of the Contract shall not commence earlier than the
date of Substantial Completion for the Project. This provision shall not relieve the Contractor of
its obligation to timely comply with all notice provisions for claims, nor shall it alter the
requirements of the Contractor to comply with Sections 18.3.1-18.3.3 or the administrative
claims process in this Section 18.
18.6.1 Additional Requirements for Subcontractor Demands

For purposes of this Section 18.6.1, a “Subcontractor Demand” means any claim by a
Subcontractor or Supplier of any tier against the Contractor that results directly from Work
provided by any such Subcontractor under the Contract Documents. If the Contractor pursues a
Claim against the Department that includes a Subcontractor Demand, the following additional
conditions shall apply:
1. The Contractor shall identify clearly in all submissions pursuant to this Section 18.6.1
that portion of the Claim that involves a Subcontractor. Any Claim under this Section
18.6.1 involving Subcontractor Demands shall be considered incomplete if it is not
accompanied by such analysis and the following documents and certificates.
2. The Contractor shall include, as part of its submission pursuant to this Section 18.6.1,
a certification in a form provided by or acceptable to the Department by the
Subcontractor's officer, partner, or authorized representative with authority to bind the

Subcontractor and with direct knowledge of the facts underlying the Subcontractor’s
Demand asserting the factual and contractual basis of the Subcontractor Demand,
justification as to entitlement, and amount of money and time sought.
3. The Contractor shall also submit a certification that:
a. The Contractor has investigated the basis of the Subcontractor Demand and has
determined that all such Subcontractor claims or demands are justified as to
entitlement and amount of money and time requested, and has reviewed and
verified the adequacy of all back-up documentation;
b. The Subcontractor Demand has been prepared and submitted in accordance with
the terms of the Contract Documents and applicable Subcontracts and contains all
information required by the Contract Documents and applicable Subcontracts; and
c. The Contractor has no reason to believe and does not believe that the factual
basis for the Subcontractor Demand is falsely represented.
4. At any informal hearing on a Dispute that includes one or more Subcontractor
Demands, the Contractor shall require that each Subcontractor that is involved in the
Dispute make available an authorized representative with actual knowledge of the
facts underlying the Subcontractor Demand to assist in presenting the Dispute and to
answer questions raised by the Department's representatives. Such Subcontractor
assistance shall be limited to presenting the specific facts underlying the
Subcontractor Demand and the answering of questions raised by the Department and
Contractor's Representative.
5. Failure of the Contractor to assert timely and completely a Subcontractor Demand as
part of any Claim and on behalf of any Subcontractor or Supplier at the time of
submission of Contractor's Claims, as provided hereunder, shall constitute a release
of the Department by the Contractor on account of such Subcontractor Demand.
6. The Contractor shall require in all Subcontracts that all Subcontractors and Suppliers
of any tier:
a. Agree to submit Subcontractor Demands to the Contractor in a proper form and in
sufficient time to allow processing by the Contractor in accordance with this
Section 18.6.1;
b. Agree to be bound by the terms of this Section 18.6.1 to the extent applicable to
Subcontractor Demands;
c. Agree that, to the extent a Subcontractor Demand is involved, completion of all
steps required under this Section 18.6.1 shall be a condition precedent to pursuit
by the Subcontractor of any other remedies permitted by Law; and
d. Agree that the existence of the Dispute Resolution Procedures for Disputes
involving Subcontractor Demands shall not be deemed to create any claim, right,
or cause of action by any Subcontractor or Supplier against the Department.
Notwithstanding the foregoing, this Section 18.6.1 shall not apply to the following:
a. Any Subcontractor claim between Subcontractors and the Contractor that is not
actionable by the Contractor against the Department;
b. Any Subcontractor Demand or claim based on remedies expressly created by statute;

c. Any Subcontractor Demand that is covered by insurance; or

d. Any Subcontractor claim that is actionable only against a Surety.
18.6.2 Cooperation
The Parties hereby covenant and agree to diligently cooperate with one another and to perform
such acts as may be necessary to obtain a prompt and expeditious resolution of any Claim or
Dispute.
18.6.3 Participation in Other Proceedings

The Contractor agrees that, at the Department's request, the Contractor will allow itself to be
joined as a participant in any arbitration, court, or other legal proceeding that involves the
Department and any other third-party participant as relates to the Project. This provision is for
the benefit of the Department and not for the benefit of the Contractor or any other Person.
18.6.4 Waiver of Non-Monetary Relief

Notwithstanding anything to the contrary in the Contract Documents, and to the maximum
extent permitted under applicable Law, the Contractor shall have no right to seek, shall not
seek, and irrevocably waives and relinquishes any right to, non-monetary relief against the State
or the Commonwealth, and in particular the Department, Cabinet and any of their respective
employees, officers, directors, commissioners and officeholders, agents, representatives,
consultants, attorneys, successors, and permitted assigns.

19 DEFAULT
19.1 Contractor Defaults
19.1.1 Events of Default by the Contractor
The Contractor shall be in breach under the Contract is PDBC upon the occurrence and failure
to cure of any one or more of the following events or conditions (“Contractor Default”):
(1) The Contractor fails to promptly begin the Work under the Contract Documents
following issuance of a Notice to Proceed authorizing such Work;
(2) The Contractor fails to perform the Work with sufficient resources to ensure the
prompt completion thereof ;
(3) The Contractor fails to perform the Work in accordance with the Contract
Documents, refuses to remove and replace rejected Materials or Nonconforming
Work, or fails to remove and replace workers as directed by the Department;
(4) The Contractor discontinues or suspends the prosecution of the Work (exclusive of
Work stoppage due to (i) termination by the Department, (ii) compliance with
stoppage requirements due to Regulated Materials, (iii) a Force Majeure Event; (iv)
suspension by the Department, or (v) nonpayment by the Department not related to
a breach by the Contractor);
(5) The Contractor fails to resume performance of Work which has been suspended or
stopped, within a reasonable time after receipt of notice from the Department to do
so or (if applicable) after cessation of the event preventing performance;
(6) The Contractor materially fails to timely observe or perform or cause to be observed
or performed any other material covenant, agreement, warranty, obligation, term or
condition required to be observed or performed by the Contractor under the Contract
Documents; provided that such actions shall not be considered a Contractor Default
if they are the direct result of the Department 's breach of its obligation to make
payments to the Contractor;
(7) The Contractor fails to obtain, provide and maintain in full force and effect any
insurance, Bonds (including the Payment Bond and Performance Bond) or
Guarantees as and when required under this PDBC for the benefit of the
Department or other relevant parties, or fails to comply with any requirement of this
PDBC pertaining to the amount, terms or coverage of the same;
(8) The Contractor makes or attempts to make or suffers a voluntary or involuntary
assignment or transfer of the Contract Documents or any right or interest therein;
(9) Subject to the Department paying the Contractor pursuant to Section 11
(Contractor’s Compensation), the Contractor fails, absent a valid Dispute, to make
payment when due for labor, Equipment or Materials in accordance with its
agreements with Subcontractors, Subconsultants and/or Suppliers and applicable
Law, fails to comply with any law or governmental approvals; or fails reasonably to
comply with the instructions of the Department consistent with the Contract
Documents;

(10) The Contractor fails to discharge or obtain a stay within 10 Days of any final
judgment(s) or order for the payment of money against it in excess of $100,000 in
the aggregate arising out of the prosecution of the Work (provided that, for purposes
hereof, posting of a bond in the amount of 125 percent of such judgment or order or
the filing of an appeal with respect to such judgment or order shall be deemed an
effective stay);
(11) The Contractor does not comply with public safety and public convenience
requirements of this PDBC or fails to correct any safety hazards promptly;
(12) The Contractor or any Major Participant shall have become insolvent, generally does
not pay its debts as they become due, admits in writing its inability to pay its debts,
or makes an assignment for the benefit of creditors;
(13) Insolvency, receivership, reorganization or bankruptcy proceedings shall have been
commenced by or against the Contractor or any Major Participant and not dismissed
within 60 Days;
(14) Any representation or warranty made by the Contractor in the Contract Documents
or in any certificate, schedule, instrument or other document delivered as part of the
Proposal or pursuant to the Contract Documents shall have been false or materially
misleading when made or becomes inaccurate in any material respect during the
Contract Term;
(15) The Contractor is a party to fraud in any way relating to the Project; or
(16) The Contractor otherwise materially fails to comply with the terms of this PDBC.
19.1.2 Right to Cure
The Department shall notify the Contractor and the Sureties of any event constituting a breach
under this PDBC before declaring a Contractor Default hereunder, after which the Sureties
and/or Contractor shall have ten (10) Days from receiving the Department’s Initial Notice to
send confirmation that the Contractor (or Sureties on behalf of the Contractor) will cure the
corresponding breach within thirty (30) Days of the date of such confirmation notice; provided
however, upon a showing of good cause by the Contractor that such cure will require more than
thirty (30) Days, the Department may elect, in its sole discretion, to extend such cure period for
additional time; provided further that, if the Department determines that a condition caused by a
Contractor Breach poses an immediate and imminent danger to public health or safety, the
Department may, without prior notice and without awaiting the expiration of any cure period,
rectify the condition at the Contractor's sole cost and expense. The Department 's good faith
determination of the existence of such danger shall be deemed conclusive in the absence of
clear and convincing evidence to the contrary.
19.1.3 Rights of the Department

If a Contractor Default occurs and neither the Contractor nor any Surety have cured such
Contractor Default, then, in addition to all other rights and remedies provided by law or equity or
available under this PDBC or otherwise, including the rights to recover liquidated damages and
to seek recourse against the Payment Bond and Performance Bond, and/or other performance
security, the Department shall have the following rights and remedies, without further notice,
and without prejudice to any of its other rights or remedies and without waiving or releasing the
Contractor or Sureties from any of their respective obligations, and the Contractor shall have the
following obligations (as applicable):

(1) The Department may order the Contractor to suspend or discontinue the Work or
any portion of the Work;
(2) The Department may terminate this PDBC or a portion thereof;
(3) If and as directed by the Department in writing, the Contractor shall withdraw from
the Project Site; and shall remove such Materials, Equipment, tools and instruments
used by, and any debris or waste materials generated by, any Component Firm
entity in the performance of the Work;
(4) The Contractor shall deliver or cause to be delivered to the Department exclusive
possession of the Project Site and any or all of the Contractor 's facilities located on
the Project Site as well as any or all Design Documents, Construction Documents
and all other completed or partially completed drawings (including plans, elevations,
sections, details and diagrams), specifications, records, information, schedules,
samples, shop drawings and other documents, that the Department deems
necessary for completion of the Work;
(5) If the Department requests the Contractor to assign to the Department specific
Subcontracts, the Contractor shall execute such documents as may be required to
confirm the assignment of those Subcontracts to the Department and shall
terminate, at its cost, all other Subcontracts;
(6) The Department may deduct from any amounts payable by the Department to the
Contractor such amounts payable by the Contractor to the Department, including
Liquidated Damages or other damages payable to the Department under the
Contract Documents;
(7) The Department shall have the right, but not the obligation, to pay such amount
and/or perform such act as may then be required;
(8) The Department, without incurring any liability to the Contractor, shall have the rights
(i) to take the performance of all or a portion of the Work from the Contractor (either
with or without the use of the Contractor 's Materials, Equipment, tools and
instruments) and enter into an agreement with another entity for the completion of
such Work; or (ii) to use such other methods, as in the opinion of the Department,
will be required for the completion of the Project;
(9) If the Department exercises any right to perform any obligations of the Contractor, in
the exercise of such right the Department may, but is not obligated to, among other
things: (i) perform or attempt to perform, or cause to be performed, such work; (ii)
spend such sums as the Department deems necessary and reasonable to employ
and pay such architects, engineers, consultants and contractors and obtain
Materials and Equipment as may be required for the purpose of completing such
work; (iii) execute all applications, certificates and other documents as may be
required for completing the work; (iv) modify or terminate any contractual
arrangements; (v) take any and all other actions which it may in its sole discretion
consider necessary to complete the Work; and (vi) prosecute and defend any action
or proceeding incident to the Work; and/or
(10) The Department shall also have the right, but not the obligation, to require the
Contractor to comply with the obligations in Section 21.2 (Contractor Responsibilities
Upon Termination).

19.1.4 Opportunity for Sureties to Complete Work after Contractor Default

If the Department declares a Contractor Default, then prior to terminating this PDBC in whole or
in part, the Department shall give written notice of the Contractor Default to the Surety or
Sureties holding the Performance Bond. If within ten (10) Days of receiving the Department’s
Contractor Default notice, any Surety (or Sureties) notifies the Department of its or their
intention to enter upon the Project Site and complete the Work, then such Surety or Sureties
shall be permitted to do so and the Department shall permit them thirty (30) Days after the
Department’s receipt of such Surety’s written confirmation of the same; provided however, if
such Surety or Sureties can show good cause that the correction of the Contractor Default will
require additional time, then the Department, in its sole discretion, may elect to extend the time
for such Surety or Sureties to address the Contractor Default. Further provided, that if such
Surety or Sureties elect to undertake the Work and then do not carry the Work forward with
reasonable progress, or if they improperly perform, abandon or fail to complete the Work
covered by this PDBC, then the Department may proceed with procuring other parties to
perform the Work covered by this PDBC, and the Surety or Sureties shall be responsible for any
additional costs reasonably incurred by the Department as a result of such failure or refusal,
which costs shall be in addition to the obligations described under Section 19 and shall not be
limited by the amount of the Performance Bond. Further provided that if the Surety fails to pay
such amount, the Department shall certify to the attorney general, who shall proceed to collect
such additional costs from the Surety and the amount so collected shall be paid into the State
treasury to the credit of the fund from which the excess cost was originally paid. In the
alternative, if after receiving the Department’s notice regarding the Contractor Default the Surety
or Sureties holding the Performance Bond do not provide notice within such ten (10) Day period,
the Department may proceed with re-procuring the remaining Work on the Project in
accordance with the requirements applicable to the original bids, or proceeding with any other
remedy or course of action available to the Department under this PDBC.
19.1.5 Liability of Contractor and Surety /Occurrence of a Contractor

Default
If a Contractor Default has occurred and neither the Contractor nor the Surety have cured such
Contractor Default within the corresponding timeframes set forth herein, the Contractor and the
Surety holding the Performance Bond shall be jointly and severally liable to the Department (in
addition to any other damages under the Contract Documents other than those costs intended
to be covered by Liquidated Damages) for all costs reasonably incurred by the Department or
any party acting on the Department 's behalf in completing the Work or having the Work
completed by another entity (including any re-procurement costs, throw away costs for unused
portions of the completed Work). Upon the occurrence of a Contractor Default, the Department
shall be entitled to withhold all or any portion of further payments to the Contractor until such
time as the Department is able to determine how much (if any) remains owing to the Contractor.
Promptly upon such determination, the Department shall notify the Contractor in writing of the
amount, if any, that the Contractor shall pay the Department or that the Department shall pay
the Contractor with respect thereto. All costs and charges incurred by the Department, including
attorneys', accountants' and expert witness fees and costs, together with the cost of completing
the Work under the Contract Documents, will be deducted from any moneys due or which may
become due to the Contractor. If such expense exceeds the sum which would have been
payable under the Contract, then the Contractor and the Surety holding the Performance Bond
shall be liable and shall pay to the Department the amount of such excess.

19.1.6 Assurance of Future Performance

It is recognized that if a default occurs, such event could impair or frustrate the Contractor's
performance of the Work. Accordingly, upon the occurrence of any such event, the Department
is entitled to request the Contractor, or its successor in interest, to provide adequate assurance
of future performance in accordance with the terms and conditions hereof. Failure to comply
with such request within 10 Days of the Department 's delivery of the request shall entitle the
Department to terminate the Contract. Pending receipt of adequate assurance of performance
and actual performance in accordance therewith, the Department shall be entitled to proceed
with the Work with its own forces or with other contractors on a time and material or other
appropriate basis, the cost of which will be credited against and deducted from the
Department's payment obligations hereunder. The foregoing shall be in addition to all other
rights and remedies provided by law or equity and such rights and remedies as are otherwise
available under the Contract, the Payment Bond and the Performance Bond.
19.1.7 Alternative to Terminating the Contract and Completing the Work

In lieu of the provisions of this Section 19 for terminating this PDBC and completing the Work,
the Department may pay the Contractor for the parts already done according to the provisions of
the Contract Documents and may treat the parts remaining undone as if they had never been
included or contemplated by this PDBC. No claim under this provision will be allowed by the
Contractor for prospective profits on, or any other compensation relating to, Work uncompleted
by the Contractor.
19.1.8 Termination Deemed to Constitute a Termination for Convenience

If this PDBC is terminated for grounds which are later determined not to justify a termination for
Contractor Default, such termination shall be deemed to constitute a termination for
convenience pursuant to Section 21 (Termination for Convenience).
19.1.9 Damages Resulting From Contractor 's Breach or Failure to Perform

If the Department suffers damages as a result of the Contractor 's breach or failure to perform
an obligation under the Contract Documents, then the Department shall be entitled to recovery
of such damages from the Contractor regardless of whether the breach or failure that gives rise
to the damages escalates to a Contractor Default.
19.1.10 Cumulative Remedies

The exercise or beginning of the exercise by the Department of any one or more rights or
remedies under this Section 19 shall not preclude the simultaneous or later exercise by the
Department of any or all other rights or remedies, each of which shall be cumulative.
19.1.11 Continued Liability of Contractor and Surety

The Contractor and Surety holding the Performance Bond shall not be relieved of liability for
continuing Liquidated Damages on account of an Event of Default by the Contractor hereunder
or by the Department 's declaration of a Contractor Default, or by actions taken by the
Department under this Section 19.

19.2 Department Defaults

19.2.1 Contractor’s Right to Stop Work If Undisputed Payment Is Not Made
The Contractor shall have the right to stop Work if the Department fails to make an undisputed
payment due under this PDBC within 30 Days after receipt of notice of nonpayment. Any such
Work stoppage shall be considered a suspension. The Contractor shall not have the right to
terminate this PDBC for default as the result of any failure by the Department to make an
undisputed payment due hereunder, but the Contractor shall have the right to declare a
termination for convenience under Section 21 (Termination for Convenience) upon meeting the
requirements of Section 21.
19.2.2 Notice and Opportunity to Cure Other Types of Department

Breaches
In the event of any breach of this PDBC by the Department other than a failure to make
payments to the Contractor, the Contractor shall deliver written notice describing the breach and
providing the Department with 30 Days to cure any such breach from the date it receives the
corresponding notice; provided that if such breach is capable of cure but by its nature cannot be
cured within 30 Days, the Department shall have a reasonable period of time as may be
reasonably necessary under the circumstances to cure the breach so long as the Department
commences such cure within such 30-Day period and thereafter diligently prosecutes such cure
to completion. The Contractor shall have no right to exercise any remedies to which it may be
entitled at Law or in equity until the foregoing notice is delivered and the foregoing cure period
(as the same may be extended) expires without the Department’s cure of the breach.

20 SUSPENSION OF WORK
20.1 Department Suspension for Convenience
The Department may, at any time and for any reason, by written notice, direct the Contractor to
suspend all or any part of the Work required under the Contract Documents for the period of
time that the Department deems appropriate for the convenience of the Department.
In the event that any Department ordered suspension of Work is not due to a breach of
Contractor’s obligations under this PDBC and Contractor asserts that it is otherwise entitled to
(i) reimbursement of its direct costs incurred as a result of the Department ordered suspension
of Work and/or (ii) an extension of Contract Time as a result of any Department ordered
suspension of Work, then the Contractor may, pursuant to Section 12.4.1, submit one or more
NPCOs to the Department for consideration. Thereafter, provided the Department elects to
advance any NPCO and approve an RCO or an EDR, any change in the Contract Price and/or
Contract Time due to any Department ordered suspension of Work shall be finalized in
accordance with the procedures in Section 12 (Contract Changes) and/or Section 13 (Time
Extension to the Completion Deadlines and Payment for Excusable Delays).
20.2 Department Suspension for Cause

The Department has the authority by written order to suspend the Work without liability to the
Department wholly or in part for the Contractor’s failure to:
(1) Correct conditions unsafe for the Project personnel or general public;
(2) Comply with any Governmental Approval, Law, or otherwise carry out the
requirements of the PDBC;
(3) Carry out orders of the Department; or
(4) Comply with the NEPA Documents and other environmental requirements or
requirements for developing and implementing the Quality Management System Plan.
20.3 Contractor Responsibilities during Suspension
The Contractor shall promptly comply with any written suspension order under this Section 20.
The Contractor shall promptly recommence the Work upon receipt of written notice from the
Department directing the Contractor to resume Work. During periods that Work is suspended,
the Contractor shall continue to be responsible for the Work and shall prevent damage or injury
to the Project and other facilities in the Project vicinity, provide for drainage, obtain and maintain
compliance with all Governmental Approvals, maintain all Contractor-provided insurance and
bonds and erect necessary temporary structures, signs or other facilities required to maintain
the Project and other facilities in the Project vicinity. During any suspension period, unless
otherwise directed by the Department, the Contractor shall continue to be responsible for traffic
control in accordance with Technical Requirements Section 20 (Traffic Control) and for
maintenance during construction in accordance with Section 5.11.1 (Maintenance During
Construction). If only part of the Work is suspended, for the Work not suspended, the Contractor
shall be entitled to payment for the costs allocated thereto as set forth in the cost and resource
loaded schedule per Exhibit T (Critical Path Method Progress Schedule).

20.4 Contractor Suspension of Work

The Contractor will have the right to suspend performance of the Work only in the event that:
(1) The Department fails to make any undisputed payment by its due date in accordance
with the Contract;
(2) The Contractor provides written notice of such non-payment and the Department fails
to make such payment within 30 Days following receipt of the Contractor’s notice;
(3) The Contractor provides subsequent written notice that it will suspend performance of
the Work unless such payment is made within 30 Days following such subsequent
notice; and
(4) The Department fails to make such payment within 30 Days following receipt of such
subsequent notice from the Contractor.
Such right will not be available to the Contractor if there is a good faith Dispute concerning the
Contractor’s entitlement to the payment under the Contract.

21 TERMINATION FOR CONVENIENCE

21.1 Notice of Termination
The Department may terminate, at any time, the PDBC and the performance of the [Work] by
the Contractor for its own convenience if the Department determines, in its sole discretion, that
a termination is in the best public, State, or national interest. The Department shall notify the
Contractor of its decision to terminate by delivering to the Contractor a written Notice of
Termination specifying the extent of termination, its effective date and any remaining Work
necessary to place the Project in an acceptable condition, as determined by the Department in
its sole discretion. Termination of the PDBC shall not relieve any Surety of its obligation for any
claims arising out of the Work performed. Termination may occur before or after Work has
begun.
21.2 Contractor Responsibilities Upon Termination

After receipt of a Notice of Termination, and except as otherwise directed by the Department,
the Contractor shall immediately proceed as follows, regardless of any delay in determining or
adjusting amounts due under this Section 21:
(1) Stop Work as specified in the notice.

(2) Communicate to all affected Subcontractors and Subconsultants such notice of
termination and that their Subcontracts are not to be further performed unless
otherwise authorized in writing by the Department.
(3) Place no further subcontracts or orders for materials, services, or facilities, except as
necessary to complete the continued portion of the Work, if any, or for mitigation of
damages.
(4) Terminate all Subcontracts to the extent that they relate to the Work terminated.
(5) Assign to the Department in the manner, at the times, and as and to the extent
directed by the Department, all of the right, title, and interest of the Contractor under
the Subcontracts so terminated, in which case the Department will have the right, in
its sole discretion, to accept performance, settle, or pay any claims arising out of the
termination of such Subcontract.
(6) Settle all outstanding liabilities and claims arising out of such termination of
Subcontracts, with the approval or ratification of the Department, to the extent it may
be required, which approval or ratification shall be final.
(7) Provide the Department with an inventory list of all materials previously produced,
purchased, or ordered from Suppliers for use in the Work and not yet used in the
Work, including its storage location, as well as any documentation or other property
required to be delivered hereunder, which is either in the process of development or
previously completed but not yet delivered to the Department, and such other
information as the Department may request; and transfer title and deliver to the
Department, in the manner, at the times, and as and to the extent, if any, directed by
the Department of:
a. Fabricated or unfabricated parts, the Work in process, completed Work,
supplies, and other material produced or acquired for the Work terminated; and

b. The Design Documents and all other completed or partially completed drawings
(including plans, elevations, sections, details, and diagrams), specifications,
records, samples, information, and other property that would have been required
to be furnished to the Department if the Work had been completed.
(8) Complete performance, in accordance with the Contract Documents, of all Work not
terminated.
(9) Take all action that may be reasonably necessary, or that the Department may
direct, for the safety, protection, and preservation of:
a. The public, including public and private vehicular movement;
b. The Work; and
c. The Equipment, machinery, Materials, and property related to the Contract
Documents that is in the possession of the Contractor and in which the
Department has or may acquire an interest.
(10) As authorized by the Department in writing, use its best efforts to sell, in a manner at
the times, to the extent, and at the price or prices directed or authorized by the
Department, any property types referred to in Section 21.2(7); provided however,
that the Contractor:
a. Is not required to extend credit to any purchaser; and
b. May acquire the property under the conditions prescribed and at prices approved
by the Department.
(11) The proceeds of any transfer or disposition will be applied to reduce any payments
to be made by the Department under the Contract Documents or paid in any other
manner directed by the Department.
(12) If requested by the Department, withdraw from the portions of the Project Site
designated by the Department and remove such materials, equipment, tools and
instruments used by, and any debris or waste generated by, the Contractor and any
Subcontractor in the performance of the Work as the Department may direct.
(13) Assign and transfer to the Department all of the Contractor’s right, title and interest
in and to the following: (a) all Design Documents, completed or partially completed
drawings (including plans, elevations, sections, details and diagrams), specifications,
designs, design documents, surveys, and other documents and information
pertaining to the design or construction of the terminated Work; (b) all samples,
borings, boring logs, geotechnical data and similar data and information relating to
the terminated Work; (c) all books, records, reports, test reports, studies and other
documents of a similar nature relating to the terminated Work; and (d) all other work
product used or owned by the Contractor or any Contractor-Related Entity relating to
the terminated Work.
(14) Take other actions directed by the Department.

21.3 Responsibility After Notice of Termination

The Contractor shall continue to be responsible for damage to materials after issuance of the
Notice of Termination, except as follows:
(1) The Contractor’s responsibility for damage to materials for which partial payment has
been made shall end when the Department certifies that those materials have been
stored in the manner and at the locations directed by the Department.
(2) The Contractor’s responsibility for damage to materials purchased by the Department
subsequent to the Notice of Termination shall end when title and delivery of those
materials has been taken by the Department.
Immediately after the Department determines that the Contractor has completed the Work
directed to be completed in accordance with the Notice of Termination and such other work as
may have been ordered to secure the Project for termination, the Contractor will not be required
to provide for continuing safety, security, and maintenance at the Site. Subsequent to the
determination that all materials have been stored in the manner and at the locations directed by
the Department, further handling of such materials shall be the responsibility of the Department.
21.4 Negotiated Termination Settlement

21.4.1 Settlement Proposal
After receipt of a Notice of Termination, the Contractor shall submit a final termination
settlement proposal to the Department in the form and with the certification prescribed by the
Department. The Contractor shall submit the proposal promptly, but no later than 90 Days from
the effective date of termination, unless the Contractor has requested a time extension in writing
within such 90-Day period and the Department has agreed in writing to allow such an extension.
The Department will then review the Contractor’s termination settlement proposal and will act
upon it, return it with comments or reject it. If the Contractor fails to submit the proposal within
the time allowed, the Department may determine, on the basis of information available to it, the
amount, if any, due to the Contractor because of the termination, and shall pay the Contractor
the amount so determined.
21.4.2 Negotiated Settlement Amount

The Contractor and the Department may agree, as provided in Section 21.3 (Responsibility
After Notice of Termination) upon the whole or any part of the amount or amounts to be paid to
the Contractor by reason of termination of Work pursuant to this Section 21. Such negotiated
settlement may include a reasonable allowance for profit solely on Work that has been
completed as of the termination date and subsequently accepted by the Department but not an
amount for lost, anticipated or unearned profit or other costs disallowed in Section 21.5.2
(Maximum Compensation). Such agreed amount(s), exclusive of settlement costs, shall not
exceed the total Contract Price as reduced by the amount of payments otherwise made and as
further reduced by the cost of the Work not terminated, as determined by the costs allocated to
such Work in the cost and resource loaded Project Schedule. Upon determination of the
settlement amount, the PDBC will be amended accordingly, and the Contractor will be paid the
agreed amount. If parties are unable to reach a settlement on all termination costs,
compensation for those costs not agreed upon will be determined in accordance with Section
21.5 (Determination of Termination Amount if Negotiations Fail). Unless otherwise agreed to by

the parties as a part of a negotiated settlement, the Department’s execution and delivery of any
settlement shall not affect any of its rights under the Contract Documents with respect to
completed Work, relieve the Contractor from its obligations with respect thereto, including
Warranties, or affect the Department’s rights under the Payment and Performance Bonds and
payment as to such completed or non-terminated Work.
21.5 Determination of Termination Amount if Negotiations Fail

If the Contractor and the Department fail to agree, as provided in Section 21.4 (Negotiated
Termination Settlement) upon the amount to be paid to the Contractor in whole or in part by
reason of the termination of Work pursuant to this Section, the amount payable (exclusive of
interest charges) shall be determined by the Department in accordance with the following, but
without duplication of any amounts agreed upon in accordance with Section 21.4 (Negotiated
Termination Settlement):
21.5.1 Payment Amount

Subject to the limitations in Section 21.5.2 (Maximum Compensation), the Department will pay
the Contractor the sum of the following amounts for Work performed prior to the effective date of
the Notice of Termination, as such amounts are determined by the Department:
(1) The Contractor’s actual reasonable out-of-pocket cost (without profit, and including
Equipment costs only to the extent permitted by Section 11 (Contractor’s
Compensation)) for all Work performed, including mobilization, demobilization, and
work done to secure the Project for termination, including reasonable overhead and
accounting for any refunds payable with respect to insurance premiums, deposits, or
similar items, as established to the Department’s satisfaction. In determining the
reasonable cost, deductions will be made for the cost of materials to be retained by
the Contractor, amounts realized by the sale of materials and for other appropriate
credits. Deductions will also be made for the cost of damaged materials. When, in the
opinion of the Department, the cost of an item of Work is excessively high due to costs
incurred to remedy or replace defective or rejected Work, the reasonable cost to be
allowed will be the estimated reasonable cost of performing that Work in compliance
with the requirements of the Contract Documents, and the excessive actual cost will
be disallowed.
(2) As profit on the actual out-of-pocket cost permitted in (1) above, a sum determined by
the Department to be fair and reasonable; provided, however, that if it appears that the
Contractor would have sustained a loss on the entire PDBC had it been completed, no
profit shall be included or allowed under this Section 21.5, and an appropriate
adjustment shall be made by reducing the amount of the settlement to reflect the
indicated rate of loss.
(3) The cost of settling and paying claims arising out of the termination of Work under
Subcontracts as provided in Section 21.2 (Contractor Responsibilities Upon
Termination), exclusive of the amounts paid or payable on account of supplies or
materials delivered or services furnished by the Subcontractor prior to the effective
date of the Notice of Termination under the Contract, which amounts shall be included
in the cost on account of which payment is made under clause (1) above.
(4) The reasonable out-of-pocket cost (including reasonable overhead) of the
preservation and protection of property incurred pursuant to Section 21.2 (9) and any

other reasonable out-of-pocket cost (including overhead) incidental to termination of

Work under the Contract, including the reasonable cost to the Contractor of handling
material returned to the vendor, delivered to the Department or otherwise disposed of
as directed by the Department, and including a reasonable allowance for the
Contractor’s administrative costs in determining the amount due to the Contractor as
the result of the termination of Work under the Contract.
21.5.2 Maximum Compensation
The Contractor acknowledges and agrees that it shall not be entitled to any compensation in
excess of the value of the Work performed (determined as provided in Section 21.5.1 (Payment
Amount)) plus its settlement costs, and that items such as lost, anticipated or unearned profit,
unabsorbed overhead, opportunity costs or consequential or other damages shall not be
recoverable by the Contractor for itself or for its Subcontractors on account of the termination of
the PDBC. However, the total amount to be paid to the Contractor, exclusive of costs described
in Sections 21.5.1 (3) and (4), may not exceed the total Contract Price less the amount of
payments previously made and less the cost of the Work not terminated, as determined by the
costs allocated to such Work in the cost and resource loaded Project Schedule. Furthermore, if
any refund is payable with respect to Project-specific insurance or bond premiums, deposits, or
similar items which were previously passed through to the Department by the Contractor, such
refund shall be paid directly to the Department or otherwise credited to the Department.
21.5.3 Excluded Items

Except for normal spoilage, and except to the extent that the Department will have otherwise
expressly assumed the risk of loss, there will be excluded from the amounts payable to the
Contractor under Section 21.5.1 (Payment Amount), the fair value, as determined by the
Department, of Equipment, machinery, Materials and property which is destroyed, lost, stolen or
damaged so as to become undeliverable to the Department, or to a buyer pursuant to Section
21.2 (Contractor Responsibilities Upon Termination). The amount set forth in the Proposal by
the Contractor for the Work terminated shall be a factor to be analyzed in determining the value
of the Work terminated.
21.6 Payment of Termination Amount

Upon determination of the amount of the termination payment, the PDBC shall be amended via
Change Order to reflect the agreed termination payment, and the Contractor shall be paid the
agreed amount.
21.7 Reduction in Amount of Claim

The amount otherwise due the Contractor under this Section 21 shall be reduced by:
(1) All unliquidated payments for Work or materials not yet performed on or supplied to
the Project at the time of the payment, excluding payments made to or on behalf of the
Contractor applicable to the terminated portion of the PDBC;
(2) The amount of any claim which the Department may have against any Contractor-
Related Entity in connection with the PDBC;

(3) The agreed price for, or the proceeds of the sale of, any property, materials, supplies,
or other things acquired by the Contractor or sold, pursuant to the provisions of this
Section 21, and not otherwise recovered by or credited to the Department;
(4) Amounts that the Department reasonably deems advisable to retain to cover any
existing or threatened claims, Liens, and stop notices relating to the Project, including
claims by Third-Parties;
(5) The cost of repairing, replacing or otherwise correcting any Nonconforming Work; and
(6) Any amounts due or payable by the Contractor to the Department.
21.8 Partial Payments
The Department may, from time to time, under such terms and conditions as it may prescribe
and in its sole discretion, make partial payments on account against costs incurred by the
Contractor in connection with the terminated portion of the PDBC, whenever, in the opinion of
the Department, the aggregate of such payments shall be within the amount to which the
Contractor will be entitled under this Section 21. If the total of such payments is in excess of the
amount finally agreed or determined to be due under this Section 21, such excess shall be
payable by the Contractor to the Department upon demand, together with interest at a rate
equal to the average rate at the time being received from the investment of state funds, as
determined by the [State Treasurer], for the period from the date such excess payment is
received by Contractor to the date on which such excess is repaid to the Department.
21.9 Inclusion in Subcontracts

The Contractor shall insert in all Subcontracts a requirement that the Subcontractor shall stop
Work on the date and to the extent specified in a Notice of Termination from the Department in
accordance with this Section 21 and shall require Subcontractors to insert the same provision in
each Subcontract at all tiers.
21.10 Limitation on Payments to Subcontractor

For the purposes of Sections 21.4.2 (Negotiated Settlement Amount) and 21.5 (Determination of
Termination Amount if Negotiations Fail), upon termination under Section 21.2 (Contractor’s
Responsibilities Upon Termination) of Work under any Subcontract, the Contractor will not be
entitled to reimbursement for that portion of the termination settlement with any such
Subcontractor which constitutes lost, anticipated or unearned profit, unabsorbed overhead,
opportunity costs or consequential or other damages on account of the termination.
21.11 No Unearned Profit or Consequential Damages

Under no circumstances shall the Contractor be entitled to lost, anticipated or unearned profit,
unabsorbed overhead, opportunity costs or consequential or other damages as a result of a
termination under this Section 21. The payment to the Contractor determined in accordance
with this Section 21 constitutes the Contractor’s sole and exclusive remedy for a termination
under this Section 21.

21.12 No Waiver
Anything contained in the PDBC to the contrary notwithstanding, a termination under this
Section 21 shall not waive any right or claim to damages, which the Department may have, and
the Department may pursue any cause of action, which it may have at law or in equity or under
the PDBC.
21.13 Dispute Resolution

The failure of the parties to agree on amounts due under this Section 21 shall be a Dispute to
be resolved in accordance with Section 18 (Partnering and Dispute Resolution).
21.14 Allowability of Costs

All costs claimed by the Contractor under this Section 21 shall, at a minimum, be allowable,
allocable and reasonable in accordance with the cost principles and procedures of 48 CFR Part
31.
21.15 Suspension of Work

In the event of any suspension of all or part of the Work by the Department, after issuance of
NTP, for more than 180 consecutive days, the Contractor shall have the right to consider the
Contract to have been terminated or partially terminated by the Department for convenience
under this Section 21. The Contractor shall notify the Department of such election by delivering
to the Department a written notice of termination (or partial termination) due to such suspension
specifying its effective date. Upon delivery by the Contractor to the Department of a notice of
termination due to suspension, the provisions of this Section 21 shall apply.
21.16 Partial Termination

If a termination hereunder is partial, the Contract Price for the remainder of the Work shall be
adjusted via Change Order as appropriate to account for the change in the overall scope of the
Project.
If the Department exercises any termination right after the execution of any Early Work Package
Change Order or Phase 2 Change Order, the Department will have the right in its discretion to
require continued performance of the applicable Phase 2 Work and terminate only the
remaining Phase 1 Work and any other Phase 2 Work. In such event, the Contract will remain in
full force and effect only with respect to the Phase 2 Work that is not terminated by the
Department, and the Contract Price established in the applicable Early Work Package Change
Order or component Phase 2 Change Order will continue to apply to such Phase 2 Work.

22 PROJECT WARRANTIES
22.1 Contractor Project Warranties
The Contractor hereby represents and warrants to the Department that subject to the provisions
of the Contract Documents that:
1. All design and technical services for the Work furnished pursuant to the Contract
Documents shall conform to professional standards identified in the Contract
Documents and all professional principles and the Standard of Care applicable to the
design and scope of the Work, to the extent that such principles are not more
restrictive than the professional standards specifically identified in the Contract
Documents;
2. The Construction Work furnished pursuant to the Contract Documents shall be
performed in a workmanlike manner and shall conform to the standards of care and
diligence normally practiced by recognized construction firms performing construction
of a similar nature in the State;
3. Goods, materials, and equipment furnished under the Contract Documents shall be of
the quality specified or, if not specified, of good quality and, except if not otherwise
expressly set forth in the Contract Documents, when installed, shall be new;
4. The Work shall meet all requirements of the Contract Documents;
5. The specifications and/or drawings selected or prepared for use during construction
are suitable for their intended use;
6. Any work that does not meet the standards referenced in (1) through (5) above is
Nonconforming Work;
7. The Project will be free from defects (whether latent or patent) in workmanship and
materials furnished or installed by the Contractor;
8. All material and equipment incorporated into the Work will be new and free from any
and all claims, liens, and security interest of any third parties;
9. The Work will be fully and finally completed in accordance with the terms of the
Contract Documents at a cost not to exceed the Contract Price;
10. The Contractor possesses expertise in the administration, construction, management
and superintendence of projects of the type, nature, and general locality of the Project,
and will perform the Work with the care, skill and diligence of such a contractor;
11. The Contractor and its Subcontractors are financially solvent, able to pay debts as
they mature, and the financial statements and information furnished to the Owner by
Contractor present fairly the Contractor's and, if applicable, Subcontractors' respective
financial conditions, and they are possessed of sufficient working capital to complete
the Contract;
12. The Contractor is able to furnish the plant, tools, labor, materials, and equipment
necessary to complete the Work; and
13. The Contractor and its Subcontractors are qualified to perform the Work, authorized to
transact business in the jurisdictions in which the Project is located, and possesses or

have obtained and shall possess all necessary licenses, permits, and approvals
required to perform the Work.
The Contractor will promptly notify the Department of the occurrence of any event or
circumstances which renders the foregoing representations or warranties materially untrue. The
foregoing warranties are in addition to, and not in lieu of, any and all other liability imposed upon
the Contractor by law with respect to Contractor's duties, obligations and performance
hereunder. The Contractor's liability hereunder shall survive the Department's final acceptance
of and payment for the Work. All representations and warranties set forth in the Contract
Documents shall survive the final completion of the Work or the earlier termination of the
Contract. If the Department finds the materials furnished, Work performed, or the finished
product are not in reasonably close conformity with the Contract Documents and have resulted
in an unacceptable finished product, the affected Work or materials shall be removed and
replaced or otherwise corrected by and at the expense of the Contractor in accordance with the
Department’s written orders. The term “reasonably close conformity” shall not be construed as
waiving the Contractor’s responsibility to complete the Work in accordance with the Contract
Documents, plans, and specifications. For the purpose of this Section 22.1, the term
“reasonably close conformity” is intended to allow the Department to use good engineering
judgment in its determinations as to acceptance of Work that is not in strict conformity but will
provide a finished product equal to or better than that intended by the requirements of the
Contract Documents.
22.2 Project Warranty Term

The warranty term for the Work shall extend two (2) years from the Department’s issuance of
notice of Substantial Completion, in accordance with Section 5.14.2 (Final Inspection and
Substantial Completion), for such Work. If, after receipt of the foregoing notice, Nonconforming
Work is repaired, replaced, or otherwise corrected, the applicable warranty term shall be
extended to two (2) years after completion and acceptance of such repair, replacement, or
correction.
22.3 Obligations of Contractor

The Contractor shall promptly correct or cause to be corrected promptly any defect in the Work.
The Contractor shall and does hereby assign to the Department the benefits of any warranties
of all Subcontractors, materialmen and suppliers, or other third parties, but such assignment
shall not relieve the Contractor of its warranty obligations to the Department under the Contract
Documents. No payment made by the Department to the Contractor, nor any acceptance, use
or occupancy of the Work by the Department or any other person, shall constitute acceptance of
any defective Work or any Work not in compliance with the Contract Documents. Nothing
contained herein shall be construed to define or limit any rights or remedies provided the
Department by the Contract Documents, at law, equity, or otherwise in the event any defect in
the Work occurs.
22.4 Correction of Work

Prior to Substantial Completion, in a time frame determined by the Department, the Contractor
shall correct Work rejected by the Department or failing to conform to the requirements of the
Contract Documents, whether or not fabricated, installed or completed. The Contractor shall

bear costs of correcting such rejected Work, including additional testing and inspections and
compensation for the Department made necessary thereby. If prior to the date of Substantial
Completion, the Contractor, a Subcontractor, or anyone for whom either is responsible, uses or
damages any portion of the Work, the Contractor shall cause such damage to be restored so
that the damaged portion of the Work to "like new" condition at no expense to the Department.
If at any time after the date of Substantial Completion of the Work any of the Work is found to be
not in accordance with the requirements of the Contract Documents, the Contractor shall correct
it promptly after receipt of written notice from the Department to do so unless the Department
has previously given the Contractor a written acceptance of such condition. This obligation
under this Section 22.4 shall survive acceptance of the Work under the Contract and termination
of the Contract. The Department shall give such notice promptly after discovery of the condition.
The obligations under Section 22.3 (Obligations of Contractor) shall cover any repairs and
replacements to any part of the Work or other property caused by the defective Work.
22.4.1 Removal of Portion Not in Accordance with Contract Documents

Subject to the provisions of Section 5.9 (Unauthorized and Nonconforming Work) the Contractor
shall remove from the Project Site portions of the Work which are not in accordance with the
requirements of the Contract Documents and are neither corrected by the Contractor nor
accepted by the Department.
22.4.2 Failure to Correct Non-Conforming Work

Prior to Substantial Completion, if the Contractor fails to correct the Work that has been rejected
by the Department or fails to conform to the requirements of the Contract Documents within the
time frame determined by the Department, the Department may correct or remedy such Work.
To the extent necessary to complete corrective and remedial action, the Department may: (i)
exclude the Contractor from all or part of the site; (ii) take possession of all or part of the site;
(iii) subject to Section 20 (Suspension of Work), suspend the Contractor’s services related
thereto; (iv) take possession of the Contractor’s Equipment and machinery at the site; (v)
incorporate in the Work material stored at the site or for which the Department has paid the
Contractor but which has been stored elsewhere. The Contractor shall allow the Department, its
representatives, contractors, agents, and employees such access to the site as may be
necessary to exercise the rights under this paragraph. All direct and indirect costs in exercising
such rights will be charged against the Contractor and a Change Order will be executed,
pursuant to Section 12 (Contract Changes), incorporating the necessary revisions to the PDBC
and a reduction in the GMP. The Contractor will not be allowed an extension of the Contract
Time due to any delay in performance of the Work attributable to the exercise of the
Department’s rights under this section.
After Substantial Completion, if the Contractor fails to correct the Work that has been rejected
by the Department or fails to conform to the requirements of the Contract Documents within the
time frame determined by the Department, the Department may correct or remedy such Work.
All direct and indirect costs from the Contractor’s failure to correct the Nonconforming Work and
the Department’s correction of such Work will be the sole expense of the Contractor.

22.4.3 Destroyed or Damaged Construction

The Contractor shall bear the cost of correcting destroyed or damaged construction, whether
completed or partially completed, of the Department or other Contractors caused by the
Contractor's correction or removal of Work which is not in accordance with the requirements of
the Contract Documents.
22.4.4 No Limitation of Obligations Unless Stated in Otherwise in Contract

Documents
Nothing contained in this Section 22.4 shall be construed to establish a period of limitation with
respect to other obligations which the Contractor might have under the Contract Documents.
The Contractor’s express warranties in this Section 22.4 shall be in addition to, not in lieu of,
any other warranties, guaranties, or remedies the Department may have under the Contract
Documents, at law, or in equity for defective work.

23 SECURITY FOR PERFORMANCE AND WARRANTIES

23.1 Performance and Payment Bonds
As a part of the consideration and to assure the faithful performance of this PDBC in every
respect, the Contractor shall provide a performance bond and a payment bond each with surety
or sureties in a sum not less than One Hundred percent (100%) of the applicable Contract Price,
each with a surety or sureties approved by the Department, and in the form provided in Exhibit
K (Form of Payment and Performance Bonds). Such bonds, when approved by the Department,
shall be for the use and benefit of the Department, and each person furnishing materials, labor
and supplies for use in the performance of this contract. These bonds shall remain in effect at
least until one year after the date when final payment becomes due, except as provided
otherwise by applicable laws or regulations or as required by the Contract Documents.
When the Contractor delivers the executed PDBC to the Department, the Contractor shall also
deliver to the Department such bonds as the Contractor may be required to furnish in
accordance with this Section 23. Upon request, the Contractor shall also provide copies of such
bonds to its subcontractors and other entities providing labor, Equipment, or Materials on the
Project.
The Contractor shall deliver the foregoing Bonds to the Department according to the following
schedule:
1. Concurrent with the execution of this PDBC in the amount equal to 100% of the Phase
1 Contract Price.
2. Concurrent with the execution of each Early Work Change Order in the amount equal
to 100% of the applicable Early Work Package Contract Price (in aggregate at any
time during Phase 1 secures the full amount of the Phase 1 Contract Price and all
Early Works Packages).
3. Concurrent with the execution of the Phase 2 Change Order in an amount equal to
100% of the Phase 2 Contract Price. This amount is the aggregate of both the amount
of the Phase 1 Contract Price and the Phase 2 Contract Price. This shall secure the
full scope of the Phase 1 Work and Phase 2 Work.
4. Following the Department’s acceptance of the Phase 1 Work, the Contractor may
request to reduce the amount secured to 100% of the Phase 2 Contract Price.
If the surety on any bond furnished by the Contractor: (1) is declared a bankrupt; (2) is placed
into receivership; (3) becomes insolvent or its right to do business is terminated in any state
where any part of the Project is located; or (4) ceases to meet the requirements of the Contract
Documents, the Contractor shall within 20 Days thereafter substitute another Bond issued by a
surety acceptable to the Department, both of which shall comply with the requirements of the
Contract Documents.
All bonds and insurance required by the Contract Documents to be purchased and maintained
by the Department or the Contractor shall be obtained from surety or insurance companies that
are duly licensed or authorized in the jurisdiction in which the Project is located to issue bonds
or insurance policies for the limits and coverages so required. Such surety and insurance
companies shall also meet such additional requirements and qualifications as may be provided
in the Contract Documents.

If notice of any change affecting the general scope of the Work or the provisions of the Contract
Documents (including, but not limited to, Contract Price or Contract Times) is required by the
provisions of any bond to be given to a surety, the giving of any such notice will be the
Contractor's responsibility. The amount of each applicable bond will be adjusted to reflect the
effect of any such change.
23.2 Parent Company Guarantee

If the Contractor (in such capacity as Offeror) proposed in its response to the Request for
Proposals an Affiliate or Principal Participant to serve as a Guarantor of the Contractor, or
submitted financial information of an Affiliate or Principal Participant in its response to the
Request for Proposals to demonstrate the financial qualifications of such Offeror, such Affiliate
or Principal Participant must guarantee, through a separate guaranty agreement in a form
reasonably acceptable to the Department, all of the Contractor’s obligations under this PDBC.
Each guaranty shall assure the performance of the Contractor’s obligations under this PDBC
and must be maintained in full force and effect so long as the Contractor has any obligations
under this PDBC.

24 CONTRACTOR REPRESENTATIONS AND COVENANTS

24.1 Maintenance of Professional Qualifications; Performance By
Qualified Personnel
The Contractor and its Subcontractor(s) have maintained, and throughout the Term shall
maintain, all required authority, license status, applicable licensing standards, certification
standards, accrediting standards and accreditations, professional ability, skills and capacity to
perform the Work, and shall perform the Work in accordance with the requirements of the
Contract Documents.
All Work furnished by the Contractor will be performed by or under the supervision of Persons
that hold all necessary, valid licenses to practice in the State of Ohio and Commonwealth of
Kentucky, depending where the Work is to occur, by personnel who are skilled, experienced
and competent in their respective trades or professions, who are professionally qualified to
perform the Work in accordance with the Contract Documents and who shall assume
professional responsibility for the accuracy and completeness of the Design Documents,
Construction Documents, and other documents prepared or checked by them, as and when
applicable.
The Contractor acknowledges and agrees that the award of this PDBC by the Department to the
Contractor was based, in part, on the qualifications and experience of the personnel listed in the
Proposal, and the Contractor's commitment that such individuals would be available to
undertake and perform the Work. In addition to ratifying the representations, warranties, and
covenants set forth in the “Key Personnel Commitments” attached to Exhibit D (Key Personnel
and Principal Participants), the Contractor represents, warrants and covenants that such
individuals are available for and will fulfill the roles identified for them in the Proposal in
connection with the Work. Key Personnel shall commit the amount of time to their applicable
roles as set forth in the Contract Documents.
24.2 Performance of the Work

The Contractor covenants and agrees to perform all Work and furnish all Materials in
reasonably close conformity with the lines, grades, cross-sections, dimensions and material
requirements as set forth in the applicable Contract Documents. If the Department determines
the Work is not in reasonably close conformity with the Contract Documents, then such Work
shall be addressed pursuant to Section 5.9 (Unauthorized and Nonconforming Work).
24.3 Compliance with Applicable Laws

The Contractor has familiarized itself with the requirements of any and all applicable Laws prior
to entering into this Contract. The Contractor further covenants and agrees to stay fully informed
of all Applicable Laws and all amendments to Applicable Laws that affect those engaged or
employed on the Work, or that affect the conduct of the Work.
The Contractor shall comply with, and ensure that all of its Subcontractors comply with all
applicable Laws, including but not limited to sub-sections A & B below:

A. Contractor shall ensure that it and all of its Subcontractors observe and comply with all
of the following that affect the conduct of Work on the Project, have jurisdiction or
authority over the Work, or that affect individuals engaged or employed on the Project.
1. Ohio, Kentucky, and Federal laws;
2. All local laws, ordinance and regulations;
3. All orders and decrees of authorities having jurisdiction or authority that affect
those engaged or employed on the Work or that affect the conduct of the Work;
4. Health and safety officials and regulations; and
5. ODOT Construction Safety Health Manual.
B. Comply with Federal, State, and local Laws, rules, and regulations that enumerate
unlawful employment practices.
The Contractor has complied and shall comply with the foregoing at its sole cost and without
any additional compensation or time extension on account of such compliance, regardless of
whether such compliance would require additional time for performance or additional labor,
Equipment or Materials not expressly provided for in the Contract Documents, except, and only
to the extent, of any express entitlement to seek relief hereunder.
24.4 Governmental Approvals

The Contractor has no reason to believe that any Governmental Approval required to be
obtained by the Contractor under the Contract Documents will not be granted in due course and
thereafter remain in effect so as to enable the Work to proceed in accordance with the Contract
Documents.
24.5 Progression of Work

The Contractor shall at all times provide for an orderly progression of the Work in accordance
with the Project Schedule to thereafter achieve all Completion Deadlines, all at the Contractor’s
own expense as required by Section 5.10.1 (Prosecution and Progress), except as otherwise
specifically provided in Section 12.4 (Change Orders).
24.6 Feasibility of the Work, Project; Reasonable Investigation

As of the Effective Date, the Contractor represents and warrants that it has evaluated the
constraints affecting delivery of the Project and has reasonable grounds for believing and does
believe that the Project can be designed and built within such constraints and has reasonable
grounds for believing and does believe that performance of the Work is feasible and practicable.
The Phase 2 Change Order will incorporate a representation that the Contractor:
1. has evaluated the constraints affecting design and construction of the Project, as well
as the terms and conditions of the NEPA Documents, and has reasonable grounds for
believing and does believe that the Project can be designed and built within such
constraints; and
2. has conducted a reasonable investigation and otherwise examined the Site as well as
surrounding locations, and as a result of such review, inspection, examination, and
other activities the Contractor is familiar with, and has satisfied itself as to, the

character of the Site, and accepts the physical requirements of the Work, subject only
to the Contractor’s express rights and bases to seek relief under this PDBC.
24.7 Power and Authority
The Contractor has the requisite power (a) to carry on its business as now conducted or
proposed, and (b) to own its properties and assets.
The Contractor has full power, right and authority to execute and deliver the Contract
Documents and to perform each and all of the obligations of the Contractor provided for herein
and therein.
The Contractor has all requisite power to own its properties and assets and carry on its
business as now conducted or proposed to be conducted.
24.8 Good Standing

The Contractor and each of the Major Participants is duly qualified to do business, and is in
good standing, in the State, and will remain in good standing throughout the Term and for as
long thereafter as any obligations remain outstanding under the Contract Documents.
24.9 Authorization
The execution, delivery, and performance of this PDBC have been duly authorized by all
necessary actions of the Contractor, and, if applicable, the Contractor’s members, and will not
result in a breach or a default under the organizational documents of any such Person or any
indenture, loan, credit agreement, or other material agreement or instrument to which any such
Person is a party or by which its properties and assets may be bound or affected.
24.10 Legal, Valid, and Binding Obligation

This PDBC constitutes the legal, valid, and binding obligation of the Contractor and, if
applicable, of each member of the Contractor, enforceable against the Contractor (and, if
applicable, each member), in accordance with its terms, subject only to applicable bankruptcy,
insolvency and similar laws affecting the enforceability of the rights of creditors generally and
the general principles of equity.
[Each]/[The] individual person executing this Contract and all other such Project related
documents, on behalf of the Contractor has been (or at the time of execution will be) duly
authorized to execute and deliver each such document on behalf of the Contractor; and the
Contract Documents, and all such other Project related documents have been (or will be) duly
executed and delivered by the Contractor.
24.11 No Breach
As of the Effective Date, no event that, with the passage of time or the giving of notice, would
constitute a breach hereunder has occurred and has not yet been cured.

24.12 No Conflicts
Neither the execution and delivery by the Contractor of this PDBC, the Contract Documents, nor
the consummation of the transactions contemplated hereby or thereby, is (or at the time of
execution will be):
1. In conflict with or has resulted or will result in a default under or a violation of the
governing instruments of the Contractor or any agreement, judgment, or decree to
which the Contractor is a party or is bound; or
2. In conflict with any Applicable Laws applicable to the Contractor that are valid and in
effect on the Effective Date.
24.13 No Violation of Law
As of the Effective Date, the Contractor is not in breach of any applicable Law that would have a
material adverse effect on the Work or the performance of any of its obligations under the
Contract Documents.
24.14 No Suits
There is no action, suit, proceeding, investigation or litigation pending and served on the
Contractor that challenges the Contractor’s authority to execute, deliver or perform, or the
validity or enforceability of, the Contract Documents, or that challenges the authority of the
Contractor’s official executing the Contract Documents; and the Contractor has disclosed to the
Department prior to the Effective Date any pending and un-served or threatened action, suit,
proceeding, investigation or litigation with respect to such matters of which the Contractor is
aware. The Contractor has no current, pending or outstanding criminal, civil, or enforcement
actions initiated by the Department, the Cabinet, the State of Ohio, or the Commonwealth of
Kentucky, and agrees that it will immediately notify the Department of any such actions.
24.15 No Organizational Conflicts of Interest

The Contractor has disclosed and shall disclose to the Department in writing all Organizational
Conflicts of Interest of the Contractor and its contractors and subcontractors of which the
Contractor was actually aware; and the Contractor has not obtained knowledge of any additional
organizational conflict of interest, and there have been no organizational changes to the
Contractor or its contractors and subcontractors identified in its Proposal that have not been
approved in writing by the Department.
24.16 No Debarment, Suspension Ineligibility, Exclusion

As of the Effective Date, neither the Contractor, nor its principals, contractors and
subcontractors identified in the Proposal are presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from entering this Contract by any federal
agency or by any department, agency or political subdivision of the State of Ohio or the
Commonwealth of Kentucky, including the Department and Cabinet. For purposes of this
Section 24.16, the term “principal” for purposes of this Contract means a member, manager,
officer, director, share/stockholder, partner, employee, Key Personnel, employee, or other
individual person with primary management or supervisory responsibilities, or an individual

person who has a critical influence on or substantive control over the operations of the
Contractor.
24.17 False or Fraudulent Statements and Claims

The Contractor recognizes and acknowledges that the requirements of the Program Fraud Civil
Remedies Act of 1986, as amended, 31 U.S.C. §§ 3801 et seq. and the USDOT regulations,
“Program Fraud Civil Remedies,” 49 C.F.R., Part 31, apply to contracts funded with Federal
funds. Accordingly, by signing this Contract, the Contractor certifies or affirms the truthfulness
and accuracy of any statement it has made, it makes, or it may make pertaining to this Contract.
In addition to other penalties that may be applicable, the Contractor also acknowledges that if it
makes a false, fictitious, or fraudulent claim, statement, submission, or certification, the Federal
government reserves the right to impose the penalties of the Program Fraud Civil Remedies Act
of 1986, as amended, on the Contractor to the extent the Federal government deems
appropriate.
The Contractor agrees to include the above clause in each subcontract financed in whole or in
part with Federal assistance provided by FTA. It is further agreed that the clauses shall not be
modified, except to identify the subcontractor who will be subject to the provisions.
24.18 Certification Regarding Lobbying & Solicitation

The Contractor certifies that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the
Contractor, to any person for influencing or attempting to influence an officer or
employee of any agency, a member of Congress, an officer or employee of Congress,
or an employee of a member of Congress in connection with the awarding of any
Federal contract, the making of any Federal grant, the making of any Federal loan, the
entering into of any cooperative agreement, and the extension, continuation, renewal,
amendment, or modification of any Federal contract, grant, loan, or cooperative
agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to
any person for influencing or attempting to influence an officer or employee of any
agency, a member of Congress, an officer or employee of Congress, or an employee
of a member of Congress in connection with this Federal contract, grant, loan, or
cooperative agreement, the Contractor shall complete and submit Standard Form-
LLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions.
(3) The Contractor shall require that the language of this certification be included in the
award documents for all subawards at all tiers (including subcontracts, subgrants, and
contracts under grants, loans and cooperative agreements) and that all subrecipients
shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for
making or entering into this transaction imposed by Section 1352, title 31, U.S. Code. Any
person who fails to file the required certification shall be subject to a civil penalty of not less than
$10,000 and not more than $100,000 for each such failure.

24.19 Findings for Recovery

By entering into this PDBC with the Department, the Contractor affirmatively represents to the
Department that it is not subject to an unresolved Finding for Recovery under ORC 9.24, or KSA
45A.485, or that it has taken the appropriate remedial steps required under ORC 9.24, or KSA
45A.485 or otherwise qualifies under that section. The Contractor agrees that if this
representation is deemed to be false, then the PDBC will be void ab initio as between the
parties to the PDBC, and any funds paid by the Department hereunder shall be immediately
repaid to the Department, or the Department may immediately commence an action for recovery
of said funds.
24.20 Ohio Ethics Law Requirements

The Contractor agrees that it is currently in compliance with, and will continue to adhere to, the
requirements of Ohio Ethics law as provided by Section 102.03 and 102.04 of the Ohio Revised
Code.
24.21 NEPA Disclosure Statement

By entering into this PDBC with the Department or accepting any subsequent assignment of
Work under this PDBC, the Contractor hereby certifies that, in accordance with 40 CFR 1506.5,
it is has no financial or other interest in the execution or outcome of this Project.

25 OTHER CONTRACTOR OBLIGATIONS

25.1 Maintenance of Records
The Contractor shall maintain at the Project Manager's office in the State a complete set of As-
Built Drawings and a complete set of all books, records and documents prepared or employed
by the Contractor with respect to the Project.
25.2 Audit and Inspection Rights

The Contractor and its Subcontractors at all tiers shall grant to the Department, FHWA, and the
U.S. Comptroller General and their respective authorized representatives, access, audit and
inspection rights, with right to copy, any books and records of the Contractor as such Persons
may reasonably request from time to time in connection with the issuance of Change Orders,
Claims, the resolution of disputes and other matters as such Persons reasonably deem
necessary for purposes of complying or verifying compliance with the Contract and Applicable
Laws. The Contractor shall grant to Utility Owners and their respective authorized
representatives such audit and inspection rights, access and the right to copy such books and
records as such Persons may request in connection with the resolution of disputes or other
matters, as such Persons reasonably deem necessary for purposes of complying or verifying
compliance with the Utility-related contractual or Utility Agreement requirements. The Contractor
shall also allow the Department access to all Subcontracts and records regarding Subcontracts.
25.3 Change Order Pricing Data

For cost and pricing data submitted in connection with pricing Change Orders, unless such
pricing is based on adequate price competition, established catalog or market prices of
commercial items sold in substantial quantities to the public, or prices set by law or regulation,
the Department and its representatives have the right to examine all books, records,
documents, and other data of the Contractor related to the negotiation of or performance of
Work under such Change Orders for the purpose of evaluating the accuracy, completeness and
currency of the cost or pricing data submitted. The right of examination shall extend to all
documents deemed necessary by such Persons to permit adequate evaluation of the cost or
pricing data submitted, along with the computations and projections used therein.
25.4 Claims Audits

All Claims filed against the Department shall be subject to audit at any time following the filing of
the Claim. The audit may be performed by employees of the Department, FHWA, U.S.
Comptroller General, or by an auditor under contract with any of them. No notice is required
before commencing any audit within 60 Days after Completion of the Contract. Thereafter, the
Department shall provide 20 Days' notice to the Contractor, any Subcontractors or their
respective agents before commencing an audit. The Contractor, Subcontractors or their agents
shall provide adequate facilities, acceptable to the Department, for the audit during normal
business hours. The Contractor, Subcontractors, and their agents shall cooperate with the
auditors. Failure of the Contractor, Subcontractors, or their agents to maintain and retain
sufficient records to allow the auditors to verify all or a portion of the Claim or to permit the
auditors access to the books and records of the Contractor, Subcontractors, or their agents shall

constitute a waiver of the Claim and shall bar any recovery there under. At a minimum, the
auditors shall have available to them the following documents:
(1) Daily time sheets and supervisor's daily reports;

(2) Insurance, welfare, and benefits records;
(3) Payroll registers;
(4) Earnings records;
(5) Payroll tax forms;
(6) Material invoices and requisitions;
(7) Material cost distribution worksheet;
(8) Equipment records (list of company equipment, rates, etc.);
(9) Subcontractors' (including Suppliers) and agents' invoices;
(10) Subcontractors' and agents' payment certificates;
(11) Canceled checks (payroll and Suppliers);
(12) Job cost report;
(13) Job payroll ledger;
(14) General ledger;
(15) Cash disbursements journal;
(16) E-mail, letters, and correspondence;
(17) Network servers, data storage devices, backup media;
(18) All documents that relate to each and every Claim together with all documents that
support the amount of damages as to each Claim; and
(19) Work sheets used to prepare the Claim establishing the cost components for items
of the Claim.
Full compliance by the Contractor with the provisions of this Section 25.4 is a contractual
condition precedent to the Contractor's right to seek relief under this Section 25. The Contractor
represents and warrants the completeness and accuracy of all information it or its agents
provides in connection with this Section 25.4.
25.5 Retention of Records

The Contractor shall maintain all records and documents relating to the Contract (including
copies of all original documents delivered to the Department) at the Project Manager's office in
the State, or as otherwise agreed by the Department in writing, until five years after the earlier to
occur of:
(1) The date Completion of the Contract is achieved; or

(2) The termination date.

If Approved by the Department, photographs, microphotographs, or other authentic

reproductions may be maintained instead of original records and documents. The Contractor
shall notify the Department where such records and documents are kept.
Notwithstanding the foregoing, all records which relate to Claims being processed or actions
brought under the dispute resolution provisions hereof shall be retained and made available
until three years after such actions and Claims have been finally resolved. Records to be
retained include all books and other evidence bearing on the Contractor's costs and expenses
under the Contract Documents. The Contractor shall make these records and documents
available for audit and inspection by the Department and/or FHWA, at the Contractor's office,
during reasonable business times, without charge, and shall allow such Persons to make copies
of such documents (at no expense to the Contractor).
25.6 Public Records

The Contractor acknowledges that any Work Product the Department owns and any document
the Department obtains a copy that relates to the Project may be considered public records
under ORC 149.43 (the “Public Records Act”), and as such may be subject to public
disclosure. In the event of a request for disclosure of any such information, the Department will
comply with applicable law. The Department recognizes that certain Work Product that the
Department owns, and certain documents that the Department obtains a copy that relate to the
Project may contain information exempt from disclosure under the Public Records Act, may
constitute trade secrets as defined in ORC 1333.61(D), and may include confidential information
which is otherwise subject to protection from misappropriation or disclosure. The Department
will keep such information confidential, provided that the Contractor comply with the following
procedure (the “ORR Procedure”): (i) the Contractor shall independently determine, and be
solely responsible for, whether any portion/entirety of any document, data, or record submitted
meets an exception under Applicable Law preventing its disclosure (the “Determination
Basis”); (ii) the Contractor shall (a) prominently mark each and every page of its document,
data, or record with “Trade Secret,” “Confidential,” or any other Determination Basis, and (b)
redact all information from any document, data, or record that has a Determination Basis (the
“Redacted Copy”); (iii) the Contractor shall accompany any label made in accordance with (ii)
with a concise statement supporting the label and determination, including Applicable Law
supporting the claim (the “Supporting Law”); and (iv) the Contractor shall submit the Redacted
Copy of any document, data, or record to the Department, while the unredacted version of any
document, data, or record shall be submitted through the Escrow of Documents procedure
addressed in Section 25.7 (Escrow Documents). If the foregoing procedures are met by the
Contractor and such labeled/redacted records become the subject of a request for public
disclosure, then the Contractor herein agrees and assents that the Department shall take the
following actions with regard to all or part of any subject document(s), data, or record(s): (a)
endeavor to notify the Contractor of the request and respond to such request with the Redacted
Copy to the requestor (the “Department Response”) and/or (b) notify the Contractor of such
request and the date by which the Department anticipates responding and will consider the
determinations received from the Contractor in advance of such date, redact and/or unredact
document(s), data, or record(s) in collaboration with the Contractor, and draft a response
accordingly (the “Cooperative Response”).

If the foregoing procedure is not followed by the Contractor, then the Department will release
versions of any document, data, or record that the Department determines to be responsive to
the request and do not violate Applicable Law, with all satisfaction and payment of such
expense(s) incurred in such determination and release being the full responsibility of the
Contractor.
In the event that the requestor asserts a right to any redacted information in the Department
Response with regard to any complete or partial document(s), data, or record(s), the
Department shall notify the Contractor of the assertion of right(s) (the “Notice of Rights”), and
from the date the Contractor receives the Notice of Rights, the Contractor shall have the
responsibility to respond to the requestor asserting that the information requested is exempt
from disclosure under Applicable Law.
In the event of litigation concerning the Department’s failure to disclose any material submitted
by the Contractor to the Department, the Department’s sole involvement will be as a stakeholder
retaining the material until otherwise ordered by a court, and the Contractor shall be fully
responsible for otherwise prosecuting or defending any action concerning the materials at its
sole expense and risk and fully responsible for paying any costs, fees, including attorney’s fees,
and civil penalties assessed against the Department for failing to disclose such documents in
accordance with the Contractor’s directions. Under no circumstances, however, will the
Department be responsible or liable to the Contractor or any other Person for the disclosure of
any such labeled materials, whether the disclosure is required by law, by court order or occurs
through inadvertence, mistake or negligence on the part of the Department. Nothing in this
Section shall modify or amend any requirement(s) and obligation(s) imposed on the Department
by the Public Records Law or other applicable Law, and the provisions of the Public Records
Law or other Laws shall control in the event of conflict between the procedures described above
and the applicable law. The Contractor is advised to contact legal counsel concerning the Ohio
Open Records Act and its application to the Contractor.
25.7 Escrow Documents

25.7.1 General
Prior to the Contract Date, the Contractor, the Department and the Escrow Agent will have
executed and delivered the Escrow Agreement to implement the provisions of this Section 25.7,
and the Contractor will submit to the Escrow Agent, subject to and according to the schedule
provided in the Escrow Agreement, one copy of all documentary information generated with
respect to the expected costs of the Work (which uses the estimating methodology actually
used by the Contractor to develop the Contract Price (the “Escrow Documents”).
25.7.2 Stipulation and Acknowledgements

The Department stipulates and expressly acknowledges that the Escrow Documents constitute
proprietary information. This acknowledgement is based on the Department’s expressed
understanding that the information contained in the Escrow Documents is not known outside the
Contractor’s business, is known only to a limited extent and by a limited number of the
Contractor’s employees, and is safeguarded while in the Contractor’s possession. The
Department further acknowledges that the Escrow Documents and the information they contain

are provided for the joint use of the Contractor and the Department. The Contractor agrees, as a
requirement of the Contract, that the Escrow Documents, as updated from time to time,
constitute all the information used in the development of the Contract Price. The Contractor
acknowledges that the purpose of the Escrow Agreement and this Section 25.7 is to develop the
Contract Price through open-book negotiations and that the Contractor’s prompt and
transparent provision of the Escrow Documents is vital to the development of the Contract Price.
The Contractor also agrees that nothing in the Escrow Documents shall change or modify the
terms or conditions of the Contract Documents.
Subject to Section 25.6 (Public Records), the Department further agrees to safeguard the
Escrow Documents, and all information they contain, against disclosure to the fullest extent
permitted by law.
25.7.3 Format and Contents

A. The Contractor may submit Escrow Documents in their usual cost estimating format;
provided, that all information is clearly presented and ascertainable and submitted in
accordance with the requirements of this Section 25.7. It is not the intention of this
Section 25.7 to cause the Contractor extra work, but to ensure that the Escrow
Documents will be adequate to enable complete understanding and proper
interpretation for their intended use.
B. The Escrow Documents will be submitted in English and clearly itemize the estimated
costs of performing each item of the Project, including financing, administrative and
related costs. Cost items will be separated into sub-items as required to present a
detailed cost estimate and allow a detailed cost review.
C. The Escrow Documents will include, to the extent obtained, procured or in the
possession of the Contractor: estimates for costs of the design professionals and
consultants itemized by discipline both for development of the design, all quantity
take-offs, crew size and shifts, Equipment, calculations of rates of production and
progress, copies of quotes from Contractors and suppliers, and memoranda,
narratives, drawings and sketches showing site or work area layouts and Equipment,
add/deduct sheets, geotechnical reviews and consultant reports, all other information
used by the Contractor to arrive at the estimated prices for the Project, and all
information and formulae used by the Contractor in developing the Guaranteed
Maximum Price or Lump Sum Amount. Estimated costs will be broken down into
estimate categories for items such as direct labor, repair labor, Equipment ownership
and operation, expendable materials, permanent materials and subcontract costs as
appropriate. Plant and Equipment, indirect costs, bond rates and calculations,
insurance costs and financing should be detailed. The Contractor’s allocation of
indirect costs, contingencies, and mark-up will be identified.
D. The Escrow Documents will identify all costs. If detailed costs are not available to the
Contractor, estimated unit costs are acceptable without a detailed cost estimate,
provided, that labor, Equipment, Materials and subcontracts, as applicable, are
specified, and provided further, that indirect costs, contingencies, and mark-up, as
applicable, are allocated.

25.7.4 Submittal
A. The Contractor will submit the Escrow Documents in sealed containers to the
Department, which containers have been clearly marked on the outside with the
Contractor’s name, reference to the Project, and the words “Brent Spence Bridge
Corridor Project Escrow Documents”.
B. On or reasonably after the scheduled Escrow Documents Submission Date,
representatives of the Department, assisted by members of the Contractor’s staff who
are knowledgeable in how the Escrow Documents were prepared, will have examined,
organized and inventoried the Escrow Documents. This examination is to ensure that
the Escrow Documents are legible and complete. It does not include review of, and
does not constitute approval of proposed construction methods, estimating
assumptions, or interpretations of any Work Package Pricing Proposal, including this
PDBC. Such examination will not alter any condition or term of any Construction
Documents.
Timely submission of complete Escrow Documents as of the corresponding Escrow Documents
Submission Date is an essential element of the Contractor’s responsibility and a prerequisite to
the execution and delivery of this Contract by the Department.
25.7.5 Updating of the Escrow Documents

As necessary, any update to the Escrow Documents by the Contractor will be submitted by the
Contractor to the Escrow Agent on the corresponding Escrow Documents Submission Date and
promptly after the Contractor and the Department determine a need to update the Escrow
Documents based on, but not limited to, pricing changes due to supply chain issues or inflation.
For the avoidance of doubt, previous versions of the Escrow Documents will remain in escrow
with the Escrow Agent and will be marked “Previous Version” with the date the version was
updated.
25.7.6 Storage
The Escrow Documents will be stored at the following address:
_______________ Bank
Attn: Escrow Services
__________________________
__________________________
Attention: _________________
Phone: ____________________
Facsimile: __________________
The Contractor will bear the cost for storing the Escrow Documents.

25.7.7 Examination and Copying

The Escrow Documents may be examined and, as permitted by the Escrow Agreement, copied
by the Department and the Contractor at any time deemed necessary by the Department or the
Contractor and for any reason, and the Department may delegate review of the Escrow
Documents to members of its staff or to Department Authorized Representatives, each of which
shall be subject to all applicable confidentiality undertakings. No other person will have access
to the Escrow Documents.
25.7.8 Ownership
The Escrow Documents are, and will always remain, the property of the Contractor, subject to
joint review by the Department, if applicable Department Authorized Representatives and the
Contractor, as provided herein. To the extent that any document in escrow is a Design
Document, it shall be the property of the Department.
25.7.9 Final Disposition and Return of Escrow Documents

The Escrow Documents will be returned to the Contractor upon the earlier to occur of (i)
completion of the Work, including tender of final payment and resolution of all claims or disputes
arising under the Contract or (ii) termination of this Contract and resolution of all claims or
disputes arising pursuant to this Contract.
25.8 Coordination with Other Contractors of the Department

The Department reserves the right to perform and to contract with others to perform other or
additional work on or near the Project Site. The Contractor shall coordinate with the
Department, such other contractors, any other third-parties working on or adjacent to the Site,
and any other contractors working with such parties to the extent reasonably necessary for the
performance by the Department and such other contractors of their work, and shall cause its
employees, agents, officers, and Contractor-Related Entities to so coordinate. If other separate
contracts are awarded by the Department, the Contractor shall conduct its Work without
interfering with or hindering the progress or completion of the work being performed by other
contractors.
If the Department exercises its right under Section 12 (Contract Changes) to contract with other
contractors to perform outstanding Work on the Project, the Contractor shall coordinate with
such other contractors in good faith to facilitate completion of the Project in a timely and
effective manner.
25.9 Interference by Other Contractors of the Department

If the Contractor asserts that any of the Department's other contractors have hindered or
interfered with the progress or completion of the Work, then the Contractor's sole remedy shall
be to seek recourse against such other contractors. The Contractor shall have the right to ask
the Department to resolve such dispute, provided the other contractor and its sureties have
agreed to submit the dispute to the Department, and provided that such proceeding shall be
conducted at no cost to the Department.

25.10 Assignment of Causes of Action

The Contractor hereby offers and agrees to assign to the Department all rights, title and interest
in and to all causes of action it may have under Section 4 of the Clayton Act (15 U.S.C. § 15),
arising from purchases of goods, services or materials pursuant to this Contract or any
Subcontract. This assignment shall be made and become effective at the time the Department
tenders Final Payment to the Contractor, without further action of the Parties.
25.11 Payroll Records

The Contractor shall keep payroll records as specified in ORC 4115.07 or as required by
Federal law.
Department Authorized Representatives may inspect the certified payroll and other payroll
records. Upon completion of the Work and before receiving payment for the Final Estimate and
when required by ORC 4115.07, submit an affidavit stating that wages have been paid
according to the minimum rates specified in the Contract Documents.

26 MISCELLANEOUS
26.1 Waiver
26.1.1 No Waiver of Subsequent Rights
Either Party's waiver of any breach or failure to enforce any of the terms, covenants, conditions,
or other provisions of the Contract Documents at any time shall not in any way limit or waive
that Party's right thereafter to enforce or compel strict compliance with every term, covenant,
condition, or other provision, any course of dealing or custom of the trade notwithstanding. The
consent by one Party to any act by the other Party requiring such consent shall not be deemed
to render unnecessary the obtaining of consent to any subsequent act for which consent is
required, regardless of whether similar to the act for which consent is given.
26.1.2 Custom Does not Constitute Waiver

No act, delay, or omission done, suffered or permitted by one Party or its agents shall be
deemed to waive, exhaust, or impair any right, remedy, or power of such Party under any
Contract Document, or to relieve the other Party from the full performance of its obligations
under the Contract Documents. No custom or practice between the parties in the administration
of the terms of the Contract Documents shall be construed to waive or lessen the right of a
Party to insist upon performance by the other Party in strict compliance with the terms of the
Contract Documents.
26.1.3 Waivers Must be in Writing

No waiver of any term, covenant, or condition of the Contract Documents shall be valid unless in
writing and signed by the Party providing the waiver.
26.2 Successors and Assigns

The Contract Documents shall be binding upon and inure to the benefit of the Department and
its successors and assigns and the Contractor and their permitted successors, assigns and
legal representatives.
26.2.1 Assignment by the Department

With the prior written consent of the Contractor, which consent shall not be unreasonably
withheld, conditioned or delayed, the Department may assign all or part of its right, title, and
interest in and to this PDBC, including rights with respect to the Surety Bonds and rights
pertaining to other performance security made in favor of the Department, including under any
Guaranty, to any governmental entity including Kentucky that succeeds to the governmental
powers and authority of the Department
26.2.2 Assignment by the Contractor; Changes of Control; Change of

Organization
Without limiting Section 8 (Subcontracting Requirements), the Contractor shall not otherwise
sublet, transfer, assign, or dispose of any portion of this Contract, delegate any of its duties
hereunder, or suffer a voluntary or involuntary change of control, except in each case, with the

Department's prior written approval, in the Department's sole discretion. Except and after any
Approval only, any of the foregoing actions shall be null and void ab initio and otherwise
ineffective to relieve the Contractor of its responsibility for the Work assigned or delegated.
The Contractor shall not change the legal form of its organization in a manner that adversely
affects the Department's rights, protections and remedies under the Contract Documents
without the prior written approval of the Department, in the Department's sole discretion.
26.3 Limitation on Liability for Non-Performance

The Contractor’s aggregate liability under the Contract with respect to damages payable to the
Department arising out of the performance or unexcused non-performance of the Work,
including for delay liquidated damages, will not exceed the aggregate value of the Phase 1
Work and each Early Work Change Order and Phase 2 Change Order.
The Department has the right to terminate the Contract and exercise its remedies in respect of a
Contractor event of default if the Contractor’s liability to the Authority exceeds such limitation on
liability.
Such limitation on liability applies only to damages payable by the Contractor to the Department
for non-performance under the Contract and will not apply if the Contractor abandons the
Project or to any of the following:
A. Any loss, cost or expense incurred by any Contractor team member in the
performance of the Contract or in seeking to cure or prevent any breach of the
Contract by the Contractor;
B. Any fines or penalties levied or imposed by any Governmental Agency;
C. Any claims, losses or penalties incurred by any Contractor team member to third
parties in any legal proceedings;
D. Any indemnity payment (resulting from third party claims) made by the Contractor to
any Indemnified Party;
E. Payment of any defense costs, including attorney’s fees, to, for, or on behalf of any
Indemnified Party with respect to any third-party claim;
F. Any payments made in connection with any insurance required under the Contract,
including the proceeds of such insurance and the payment of any deductible or self-
insured retention; and/or
G. Any claims, losses, penalties or settlement payments paid to the Department in
connection with any tort claim by the Department against any Contractor team
member based on gross negligence, willful misconduct or fraud.
26.4 Title and Risk of Loss
Title to the structures, improvements, fixtures, machinery, Equipment and Materials constituting
the Project will pass to Department upon incorporation in the Project or payment therefor by the
Department, whichever first occurs, free and clear of all liens, claims, security interest or
encumbrances. Except with respect to certain uninsurable events to be specified in the
Contract, the Contractor will nonetheless bear all risk of loss concerning such structures,
improvements, fixtures, machinery, Equipment and Materials until the Substantial Completion

Deadline, regardless of the extent to which the loss was insured or the availability of insurance
proceeds.
26.5 Survival
The dispute resolution provisions contained in Section 18 (Partnering and Dispute Resolution),
the warranties in Section 22 (Project Warranties), all of the indemnification provisions, and all
other provisions, which by their inherent character should survive Contract Completion or
termination of the PDBC, shall survive Contract Completion or the termination of the PDBC.
26.6 No Personal Liability

The Department’s representatives are acting solely as agents and representatives of the
Department when carrying out the provisions of or exercising the power or authority granted to
them under the Contract Documents. They shall not be liable either personally or as employees
of the Department for actions in their ordinary course of employment.
26.7 Notice to Parties

As to KYTC:
Secretary Kentucky Transportation Cabinet
200 Mero Street, 6th Floor Frankfort, KY 40622
With copies to:
General Counsel Kentucky Transportation Cabinet
200 Mero Street, 6th Floor
Frankfort, KY 40622
DBL Law
109 East Fourth Street
Covington, KY 41011
Attn: Patrick Hughes, Esq.
As to ODOT: Director
1980 West Broad Street
Columbus, OH 43223

With copies to:
Chief Legal Counsel
Columbus, OH 43223
Frost Brown Todd, LLP
Great American Tower
301 East Fourth Street, Suite 3300
Cincinnati, OH 45202
Attn: Thomas L. Gabelman, Esq.
26.8 Severability
If any clause, provision, Section or part of this PDBC is ruled invalid under Section 18
(Partnering and Dispute Resolution) or otherwise by a court of competent jurisdiction, then the
parties shall: (i) promptly meet and negotiate a substitute for such clause, provision, Section or
part, which shall, to the greatest extent legally permissible, effect the original intent of the
parties, including an equitable adjustment to the applicable compensation and Completion
Deadline(s) to account for any change in the Work resulting from such invalidated portion; and
(ii) if necessary or desirable, apply to the court or other decision maker (as applicable) which
declared such invalidity for an interpretation of the invalidated portion to guide the negotiations.
The invalidity or unenforceability of any such clause, provision, Section or part shall not affect
the validity or enforceability of the balance of this PDBC, which shall be construed and enforced
as if this PDBC did not contain such invalid or unenforceable clause, provision, Section or part.
26.9 Governing Law

The Contract Documents shall be governed by and construed in accordance with the law of the
State of Ohio. Venue for any legal action in connection with this PDBC shall lie in Columbus,
Franklin County, Ohio in the Ohio Court of Claims.
26.10 Counterparts and Electronic Signatures

This instrument may be executed in two or more counterparts, each of which shall be deemed
an original, but all of which together shall constitute one and the same instrument. Signatures
may be made and delivered electronically.
26.11 Further Assurances

The Contractor shall promptly execute and deliver to the Department all such instruments and
other documents and assurances as are reasonably requested by the Department to further
evidence the obligations of the Contractor hereunder.

26.12 Headings
The captions of the Sections of the Contract Documents are for convenience only and shall not
be deemed part of this Contract or considered in construing this Contract.
26.13 Entire Agreement

The Contract Documents contain the entire understanding of the parties with respect to the
subject matter hereof and supersede all prior agreements, understandings, statements,
representations, and negotiations between the parties with respect to its subject matter.
26.14 Construction and Interpretation of the Contract Documents

The language in all parts of the Contract Documents shall in all cases be construed simply, as a
whole and in accordance with its fair meaning and not strictly for or against any Party.
Wherever the word “including,” and variants, shall be deemed to be followed by the words
“without limitation”. Unless otherwise specified, lists contained in the Contract Documents
defining the Project or the Work shall not be deemed all-inclusive. “Or” means the inclusive
connotation of “or” (i.e., meaning one, some, or all of a number of possibilities). “May,” when
used in the context of a power or right exercisable by the Department (or either's designee)
means the power to exercise that right or power in its sole discretion, with no obligation to any
Contractor-Related Entity to do so. “May,” when used in all other contexts, indicates permission
by the Department for the Contractor to do (or refrain from doing) an action.
All references to time are to prevailing Eastern time. Reference to a right include any benefit,
remedy, discretion, authority, or power associated with such right.
There shall be no double counting in any calculation of any amount payable by a Party, such
that the receiving Party would receive more than owed or payable. All monetary amounts and
obligations (including use of the symbol “$”) are expressed and payable in U.S. dollars.
Inconsistent or conflicting provisions of the Contract Documents shall not be treated as

erroneous provisions under this Section 26.13 (Construction and Interpretation of the Contract
Documents), but instead shall be governed by Section 1.3 (Contract Documents Order of
Precedence). The Contractor shall not take advantage of, or benefit from, any apparent or
actual error in the Contract Documents, and the Contractor shall request in writing such further
explanations from the Department as may be necessary to clarify any such apparent or actual
error. The Contractor agrees to abide by the explanation, and correction of errors shall not in
itself be the basis for any contractual relief, or other claim at law or in equity.
The fact that the Contract Documents omit or misdescribe any detail of the Work that is
otherwise necessary to carry out the intent of the Contract Documents and delivery of the
Project, or that are customarily performed, shall not relieve the Contractor from its obligation to
perform such omitted or misdescribed details as if fully and correctly set forth in the Contract
Documents, which omissions, correction of misdescriptions, or performance of those aspects
customarily performed shall not in itself be the basis for contractual relief, or other claim at law
or in equity.

26.15 Ownership and Copyright of Submittals

Subject to limitations for use of proprietary software, all data, sketches, charts, plans,
specifications, electronic files, correspondence and other documents created or collected under
the terms of the Contract Documents shall be considered “works made for hire” for which the
Department owns the copyright. Subject to Section 25.6 (Public Records) and Section 25.7
(Escrow Documents), Design Documents shall become the Department’s property upon
preparation; Construction Documents shall become Department’s property upon delivery to the
Department; and other documents prepared or obtained by the Contractor in connection with
the performance of its obligations under the Contract Documents, including studies, manuals,
technical and other reports and the like, shall become the property of the Department upon the
Contractor’s preparation or receipt thereof. Copies of all Design Documents and Construction
Documents shall be furnished to the Department upon preparation or receipt thereof by the
Contractor. The Contractor shall maintain all other documents described in this Section 26.14
(Ownership and Copyright of Submittals) in accordance with the requirements of Section 25.1
(Maintenance of Records) and shall deliver copies in accordance with Section 25.7 to the
Department as required by the Contract Documents or upon request if not otherwise required to
be delivered, with all such documents delivered to the Department as a condition to Contract
Completion.
26.16 Intellectual Property

26.16.1 Owner Intellectual Property
Except for Proprietary Intellectual Property, all Intellectual Property ("Owner Intellectual
Property") has been specially ordered and commissioned by the Department and shall be
considered "works made for hire" as such term is defined in Section 101 of Title 17 of the U.S.
Code, and accordingly for which the Department owns the copyright.
26.16.2 Obligation to Assign to Department

If any such work product and related materials, is/are determined by a court of competent
jurisdiction, the U.S. Copyright Office, or the U.S. Patent & Trademark Office not to be a work-
made-for-hire or where the Department is not the owner or author, Contractor agrees to assign
to Department, or cause all Subcontractors to assign to the Department, if applicable, all rights,
title and interest in all Intellectual Property, excluding Proprietary Intellectual Property, in such
work product and related materials.
26.16.3 Creation
Design Documents shall become Owner Intellectual Property upon preparation in accordance
with Section 26.14 (Ownership of Copyright Submittals). Construction Documents shall become
Owner Intellectual Property upon receipt by the Department preparation in accordance with
Section 26.14. All other submittals and other documents prepared or obtained by Contractor or
any Contractor-Related Entity in connection with the Project shall become Owner Intellectual
Property upon Contractor’s or any such Contractor-Related Entity's preparation or receipt
thereof.

26.16.4 Restricted License; Restricted Use

Department hereby grants to Contractor an irrevocable, non-exclusive, non-transferable, non-
sub-licensable (without Department's prior written consent), fully paid up license to use and
implement, solely in connection with the performance of the Work and for the Term (including
any period of Contractor’s performance of post-termination or post-expiration obligations), the
Owner Intellectual Property; provided that Contractor may sub-license any Owner Intellectual
Property solely in connection with the performance of the Work to any Subcontractor performing
the Work (but without right to further sub-license).
If Contractor or any Contractor-Related Entity creates or develops any improvements,

modifications, enhancements or derivative works to or of the Owner Intellectual Property, any
and all such improvements, modifications, enhancements or derivative works created or
developed by any Contractor-Related Entity will be deemed to be Owner Intellectual Property
under the terms of this Contract.
26.16.5 Patented Devices, Materials and Processes

Before employing any design, device, material, or process covered by letters of patent or
copyright, the Contractor shall provide for its use by suitable legal agreement with the patentee
or owner. The Contractor and the Surety shall indemnify and save harmless the State, any
affected third party, or political subdivision from any and all claims for infringement of patented
design, device, material, process, or any trademark or copyright, and shall indemnify the State
for any costs, expenses, and damages that it may be obliged to pay by reason of any
infringement, at any time during the prosecution or after the completion of the Work.
26.17 OBM Certification and Taxes

This PDBC is subject to ORC Section 126.07, which provides, in part, that orders under State
Agreements shall not be valid and enforceable unless the Director of the Office of Budget and
Management first certifies that there is a balance in the appropriation not already obligated to
pay existing obligations.
The Department represents that it is exempt from all State and local taxation. As long as the
Department is exempt, the Department does not agree to pay any of these taxes. The
Contractor, not the Department, shall pay any taxes levied upon the Contractor’s net income.
26.18 Independent Contractor

Nothing in the Contract Documents shall be construed as constituting any relationship with the
Department other than that of Project owner (the Department) and independent contractor (the
Contractor), nor any employer/employee relationship between the Department and the
Contractor’s employees. Except as otherwise specified in the Contract Documents, the
Contractor has sole authority and responsibility to employ, discharge and otherwise control its
employees and has complete responsibility as a principal for its agents, for all Subcontractors,
and for all other Persons that the Contractor or any Subcontractor hires or engages to perform
or assist in performing the Work. The Contract Documents shall not be construed to create a
contractual relationship of any kind between the Department and a Subcontractor or any other
Person except the Contractor.

26.19 Drug-Free Work Place

Throughout the Term, the Contractor and all its Subcontractors and Subconsultants, that
provide the Work, must be enrolled in and remain in good standing in the Ohio Bureau of
Worker’s Compensation (“OBWC”) Drug-Free Safety Program (“DFSP”) or a comparable
program approved by the OBWC and the Department of Worker Claims Drug Free Workplace
Program.
In addition to being enrolled in and in good standing in an OBWC-approved DFSP or a

comparable program approved by the OBWC, the Department requires each Contractor and
Subcontractor that provides labor, to subject its employees who perform labor on the Project
Site to random drug testing of 5 percent of its employees. The random drug testing percentage
must also include the on-site supervisors of the Contractors and Subcontractors. Upon request,
the Contractor and Subcontractor shall provide evidence of required testing to the Department.
Each Subcontractor shall require all lower-tier Subcontractors that provides labor on the Project
Site with whom the Subcontractor is in contract for the Work to be enrolled in and be in good
standing in the OBWC-approved DFSP prior to a lower-tier Subcontractor providing labor at the
Site.
The Department will declare a bid non-responsive and ineligible for award if the Contractor is
not enrolled and in good standing in the Ohio Bureau of Workers’ Compensation’s Drug-Free
Safety Program (DFSP) Discount Program or a similar program approved by the Bureau of
Workers’ Compensation within 8 days of the bid opening. Furthermore, the Department will
deny all requests to sublet when the Subcontractor does not comply with the provisions of this
section.
Failure of the Contractor to require a Subcontractor to be enrolled in and be in good standing in

the an OBWC-approved DFSP prior to the time that the Subcontractor provides labor at the
Site, shall result in the Contractor being found in breach of the Contract and that breach shall be
used in the responsibility analysis of that Contractor or the Subcontractor who was not enrolled
in a program for future contracts with the Department for five years after the date of the breach.
26.20 Conflicts of Interest

Prior to execution of a Change Order for any Work Package, the Contractor shall identify and
evaluate potential Organizational Conflicts of Interest or develop recommended actions for
known organizational conflicts of interest. The Contractor is directed to FAR 2.101, 9.504(a),
OAC 4733.35-05, 201 KAR 18, 23 CFR 636.116(a)(1), and 40 CFR 1506.5(c) (as amended) for
guidance as to when a conflict of interest arises.
The Contractor shall not employ any person currently employed by the Department for any
Phase 1 Work. The Contractor may have other contracts with other clients (e.g., utility
companies, other units of government, or abutting land owners) whose interests may be in
conflict with the objectives of a particular Department-initiated project. It is the Contractor’s
responsibility to avoid conflicts of interest in these circumstances and to disclose them as soon
as they arise.

26.21 Department Property

Under this PDBC, the Department acquires title to all property to which the Contractor is entitled
to reimbursement. The Contractor shall create and maintain records of all Department property
accountable to the PDBC, including Department-furnished and Contractor-acquired property.
The Department retains title to all Department-furnished property or equipment. The Contractor
shall notify the Department of damages and/or other discrepancies discovered upon receipt of
Department-furnished property or equipment. The Contractor shall be responsible to correct
damage to Department-furnished property or equipment caused by the Contractor’s actions.
[signature page to follow]

IN WITNESS WHEREOF, the Parties have executed this PDBC as of the Effective Date.
STATE OF OHIO
DEPARTMENT OF TRANSPORTATION
________________________________
Jack Marchbanks
Director of Transportation
________________________________
Date
***********************
Approved as to Form and Legality:
________________________________
Attorney General
David Yost

[CONTRACTOR]
________________________________
________________________________
Name
________________________________
Title
________________________________
Date

February 17, 2023 Exhibit A: Acronyms and Definitions
EXHIBIT A: ACRONYMS AND DEFINITIONS

AAN American Association of Nurserymen
AASHTO American Association of State Highway and Transportation Officials
AC Asphalt Cement (pavement), Alternating Current (traffic)
ACBFS Air Cooled Blast Furnace Slag (aggregate)
ACFA Actual Cost of Force Account
ACI American Concrete Institute
ACIA Asynchronous Communications Interface Adapter (traffic controller)
ADR Alternative Dispute Resolution
ADT Average Daily Traffic
ADTT Average Daily Truck Traffic
AIC Amps Interrupting Capacity
AISC American Institute of Steel Construction
AISI American Iron and Steel Institute
AMRL AASHTO Material Reference Library
ANFO Ammonium Nitrate and Fuel Oil
ANSI American National Standards Institute
AOS Apparent Opening Size (fabric)
AREA American Railway Engineering Association
AMRL AASHTO Material Reference Library
ASCE American Society of Civil Engineers
ASD Allowable Stress Design
ASME American Society of Mechanical Engineers
ASTM American Society for Testing and Materials
ATC Alternative Technical Concept
AWG American Wire Gauge
AWPA American Wood Preservers' Association
AWS American Welding Society
AWWA American Water Works Association
BBR Bending Beam Rheometer (asphalt binder test)
BMP Best Management Practice (erosion)
BOF Basic Oxygen Furnace (aggregate)
BSG Bulk Specific Gravity
BSMT Bi-State Management Team
BTEX Benzene, toluene, ethyl benzene, and xylene (a soil test)
BUSTR Bureau of Underground Storage Tank Regulations (Division of Fire Marshal)
C&MS Construction and Material Specifications
CAPWAP Case Pile Wave Analysis Program
CBAE Cut Back Asphalt Emulsion
CCRL Cement and Concrete Reference Laboratory

CCS Crushed Carbonate Stone

CECI Contactors Erosion Control Inspector
CFR Code of Federal Regulations
CIE Commission Internationale d'Eclairage (illumination)
CM Construction Manager
CPESC Certified Professional in Erosion and Sediment Control
CQAE Construction Quality Assurance Engineer
CQCE Construction Quality Control Engineer
CRS Cationic Rapid Set (asphalt emulsion)
CRSI Concrete Reinforcing Steel Institute
CSS Cationic Slow Set (asphalt emulsion)
CSXT CSX Transportation, Inc.
CUF Commercially Useful Function
CVN Charpy V-notch (steel test)
CWT Hundred Weight (100 lbs)
DB Design-Build
DBE Disadvantaged Business Enterprise
DBT Design-Build Team
DCE District Construction Engineer
DDD District Deputy Director
DDRC District Dispute Resolution Committee
DET District Engineer of Tests
DGE District Geotechnical Engineer
DLS Data Logging System (traffic markings)
DNR Department of Natural Resources
DRB Dispute Resolution Board
DRC Dry Rodded Condition (asphalt aggregate test)
DSR Dynamic Shear Rheometer (asphalt binder test)
DZA Deficient Zone Average (concrete test)
EA Environmental Assessment
EAF Electric Arc Furnace
ECFA Estimated Cost of Force Account
EDA Earth Disturbing Activity
EEI Edison Electric Institute
EIA Electronic Industries Alliance
EPA Environmental Protection Agency
EQS Exceptional Quality Solids (compost)
FAA Fine Aggregate Angularity (asphalt aggregate)
FAR Federal Accounting Regulations
FCM Fracture Critical Member (steel test)

FEMA Federal Emergency Management Agency

FHWA Federal Highway Administration, Department of Transportation
FONSI Finding of No Significant Impact
FRP Fiber Reinforced Polymer
FSS Federal Specifications and Standards, General Services Administration
GAAP Generally Accepted Accounting Principles
GGBFS Ground Granulated Blast Furnace Slag
GMP Guaranteed Maximum Price
GS Granulated Slag
HDPE High Density Polyethylene
HMWM High Molecular Weight Methacrylate
ICEA Insulated Cable Engineers Association
IDQF Independent Design Quality Firm
IDQM Independent Design Quality Manager
IEEE Institute of Electrical and Electronic Engineers
IES Illuminating Engineering Society
IMSA International Municipal Signal Association
ICA Interstate Cooperative Agreement
ICE Independent Cost Estimator
IPCEA Insulated Power Cable Engineers Association
IPS International Pipe Standard
ISSA International Slurry Seal Association
ITE Institute of Transportation Engineers
ITO Instructions to Offerors
ITS Intelligent Transportation System
IZEU Inorganic Zinc Epoxy Urethane
JDM Jurisdictional Design & Maintenance
JDMA Jurisdictional Design & Maintenance Authority
JMF Job Mix Formula
JV Joint Venture
KYTC Kentucky Transportation Cabinet
LAM List of Approved Materials
LED Light Emitting Diode
LWT Loaded Wheel Test (asphalt test)
MBF Thousand Board Feet (wood)
MC Medium Cure (asphalt emulsion)
MCB Microchannel Bus (traffic controller)
MOV Metal Oxide Varistor (traffic controller)
MPI Magnetic Particle Inspection (steel test)
MSG Maximum Specific Gravity (asphalt)

MTD Maximum Theoretical Density (asphalt)

N/A Not applicable
NACE National Association of Corrosion Engineers
NCHRP National Cooperative Highway Research Program
NCR Nonconformance Report
NEMA National Electrical Manufacturers Association
NEPA National Environmental Policy Act
NHI National Highway Institute
NIST National Institute of Standards and Technology
NOI Notice of Intent
NPDES National Pollutant Discharge Elimination System
NTP Notice to Proceed
OAC Ohio Administrative Code
ODOT Ohio Department of Transportation
OEPA Ohio Environmental Protection Agency
OH Open Hearth (aggregate)
OHWM Ordinary High Water Mark
OJT On the Job Training
OKI Ohio-Kentucky-Indiana Regional Council of Governments
OMM Office of Materials Management (the Central Office Laboratory)
OMUTCD Ohio Manual of Uniform Traffic Control Devices
ORC Ohio Revised Code
ORDC Ohio Rail Development Commission
OSHA Occupational Safety and Health Administration
OTE Office of Traffic Engineering
OWPCA Ohio Water Pollution Control Act
OZEU Organic Zinc Epoxy Urethane
PAT Project Average Thickness (concrete test)
PAV Pressure Aging Vessel (asphalt binder test)
PB Polybutylene (conduit)
PCC Portland Cement Concrete
PCS Petroleum Contaminated Soil
PDA Pile Dynamic Analysis (steel piling)
PDB Progressive Design-Build
PDBC Progressive Design-Build Contract
PE Polyethylene (conduit)
PG Performance Grade (asphalt binder grading system)
pH Potential of Hydrogen
PI Public Information
PLS Pure Live Seed

PML Probable Maximum Loss

PMO Project Management Office
PVC Polyvinyl chloride
QA Quality Assurance
QC Quality Control
QCFS Quality Control Fabricator Specialist (structures)
QCP Quality Control Program, or Plan, or Points (steel test)
QPL Qualified Products List
RAP Reclaimed Asphalt Pavement
RAS Reclaimed Asphalt Shingles
RC Rapid Cure (asphalt emulsion)
REA Rural Electrification Act
RFC Released for Construction
RFI Radio Frequency Interference (traffic controller)
RFP Request for Proposal
RH Relative Humidity
RID Reference Information Document(s)
RMMP Regulated Materials Management Plan
RMS Root Mean Square (traffic controller)
ROD Record of Decision
ROW Right(s)-of-Way
RPCC Recycled Portland Cement Concrete
RPM Raised Pavement Marker (traffic)
RS Rapid Set (asphalt emulsion)
RTFO Rolling Thin-Film Oven (asphalt binder test)
RUS Rural Utilities Service
SAE Society of Automotive Engineers
SBA Styrene Butadiene Amine
SBR Styrene Butadiene Rubber
SBS Styrene Butadiene Styrene
SCD Standard Construction Drawing
SCE State Cost Estimator
SDS Safety Data Sheets
SF Standard Fabricated members (structures)
SI International System of Units (Metric)
SM AASHTOWare Project Sitemanager ™
SMA Stone Matrix Asphalt
SPD Surge Protection Device (traffic controller)
SPST Single Pole / Single Throw (traffic controller)
SS Slow Set (asphalt emulsion)

SSD Saturated Surface Dry (aggregate)

SSPC Society for Protective Coatings
SWPPP Storm Water Pollution Prevention Plan
TAP Traffic Authorized Product
TCE Trichloroethylene
TMPTA Tri-methyolpropane Tri-acrylate (paint)
TNP Total Neutralizing Power
TODS Tourist-Oriented Directional Signs
TSEC Temporary Sediment and Erosion Control
TSR Tensile Strength Ratio (asphalt mix test)
UF Unique Fabricated members (structures)
UL Underwriters' Laboratories, Inc.
USACE United States Army Corps of Engineers
USCG United States Coast Guard
USC United States Code
VA Verification Acceptance
VAC Volts Alternating Current
VCA Volume of Coarse Aggregate (asphalt mix test)
VMA Voids in the Mineral Aggregate
VME VersaModule Eurocard (traffic controller)
WDT Watchdog Timer
WEAP Wave Equation Analysis (steel piling)
WPS Welding Procedure Specification (steel test)
WTS Worksite Traffic Supervisor
WZRPM Work Zone Raised Pavement Marker (traffic)
XCU Explosion, Collapse and Underground

AASHTO Uniform Audit & Accounting Guide means the guide published by AASHTIO that
includes detailed information regarding techniques for cost allocation, application of Federal
procurement regulations, and the proper treatment of operating costs incurred by organizations
for engineering and design-related services performed on various Federal, State, and Local
transportation projects.
Addenda/Addendum means supplemental additions, deletions, and modifications to the

provisions of the RFP after the release date of the RFP up to the Proposal Due Date.
Administrative Proposal means the proposal materials submitted by an Offeror providing the
information requested in ITO Section 6.7 (Administrative Proposal).
Affiliate means (i) any person, organization or firm that directly or indirectly, through one or
more intermediaries, controls, is controlled by, or is under common control with the Contractor
or any Principal Participant; or (ii) any organization or firm for which 10 percent or more of the
interest in such organization or firm is held directly or indirectly, beneficially or of record, by (a)
the Contractor; (b) any Principal Participant; or (c) any Affiliate under part (1) of this definition.
Alternative Technical Concept (ATC) means a concept proposed by the Contractor during the
Preconstruction Phase as further described in Technical Requirements Section 2.3 (Design
Submittals) of the PDBC.
As-Built Drawings means documents that depict the final completed Project, including all
changes from RFC Documents and data showing all items such as the electrical systems,
drainage systems, lighting systems, underground Utilities, traffic controls, intelligent
transportation system, signing placement, highway alignment and grade revisions, bridge detail
changes, bridge settlement reference elevations and joint seal measurements, typical sections,
cross sections, and all other relevant data.
As-Built Schedule has the meaning assigned in Exhibit T (Critical Path Method Progress
Schedule).
Audit or Financial Review is a formal examination of accounting systems, cost records, and
other cost presentations to verify their reasonableness, allowability, and allocability for
negotiating fees and for determining costs for Federal, Department, and Local participation and
reimbursement. Audits and Financial Reviews may include, but are not limited to, an evaluation
of the Contractor’s policies, procedures, controls, and actual performance. Objectives of Audits
and Financial Reviews include the identification and evaluation of all activities that contribute to,
or have an impact on, proposed or incurred costs under the PDBC. Audits and Financial
Reviews may include inquiries conducted electronically (by correspondence or email) and also
may involve fieldwork (the examination of financial records at the Contractor’s business offices).
Authorized Representative has the meaning set forth in ITO Section 4.2 (Authorized
Representatives and Offeror Registration).
Base Design means initially, the drawings depicting the design of the Project provided by the
Department during the RFP phase and included in the Technical Requirements, as validated by
the Contractor during Sub-Phase 1A and further developed by the Contractor during Sub-Phase
1B such that the Base Design depicts the layout of the Project included in the Phase 2 Project
Scope and used to develop the Phase 2 Change Order.

Baseline Schedule has the meaning assigned in Exhibit T (Critical Path Method Progress
Schedule) Section 1.4.1 (Interim Baseline and Baseline Schedules).
Best Management Practices or BMP has the meaning set forth in Storm Water Management
for Construction Activities: Developing Pollution Prevention Plans and Best Management
Practices (EPA Document 832 R 92 005).
Best Management Practice Plan means the documentation detailing how the Contractor
intends to conform to the requirements of Section 213 of the KYTC Standard Specifications.
Betterment means any upgrade of a utility company’s facility being relocated that is not
attributable to the Construction Work and is made solely for the benefit of and at the election of
the utility company.
Blue Book has the meaning assigned in Exhibit H (Force Account Provisions).
Bridge means a structure, including supports, erected over a depression or an obstruction,

such as water, a highway, or a railway, and having a track or passageway for carrying traffic or
other moving loads and having a length measured along the center of roadway of 10 feet (3.048
m) or more between undercopings of abutments or extreme limits of openings for multiple
boxes.
A. Length. The length of a bridge structure is the overall length measured along the
centerline of the roadway surface.
B. Roadway Width. The clear width measured at right angles to the longitudinal
centerline of the bridge between the bottom of curbs or guard timbers or, in the case
of multiple heights of curbs, between the bottoms of the lower risers. For curb widths
of 1 foot (0.3 m) or less, the roadway width is measured between parapets or railings.
Buildable Unit means a unit of Work that is suitable to be packaged as a Submittal because
the unit of Work is capable of being designed, reviewed, and constructed independently from
other units of Work or with clearly identified controls, constraints and assumptions governing the
interfaces with other units of Work. A Buildable Unit may be defined by a geographic area, by
types of Work or by construction stages.
Cabinet means the Kentucky Transportation Cabinet.
Category 1 Events means excusable, non-compensable delays as defined in Section 13.2.1

(Category 1 Events – Excusable, Non-Compensable Delays) of the PDBC.
Category 2 Events means excusable compensable delays as defined in Section 13.2.2

(Category 2 Events – Excusable, Compensable Delays) of the PDBC.
Certificate of Current Cost or Pricing Data means a certificate in the form in paragraph (a) of
48 CFR 15.406-2.
Certified Test Data means test report from a manufacturer’s or an independent laboratory
approved by the Department listing actual test results of samples tested for compliance with
specified Department requirements. The Department will accept certified test data from
manufacturers’ laboratories if their products have been used satisfactorily on prior Department
contracts and their test data has been confirmed. Include a statement that the test data
furnished is representative of the material furnished to a Department project or to a supplier.

The report is identified by number or date and identifies the Department project or supplier to
which the material is shipped. Submit reports signed by a person having legal authority to act for
the manufacturer or independent laboratory.
Change Order means a written order issued by the Department to the Contractor, covering
changes to the terms and conditions, Base Design and/or contract quantities, within or beyond
the scope of the Contract and establishing the basis of payment and time adjustments for the
Work affected by the changes.
Channel means a natural or artificial watercourse as applicable to KYTC specifications.
Claim means a Dispute that is not settled through Steps 1 or 2 of the Dispute Resolution
Procedures. A Dispute becomes a Claim when the Contractor submits a notice to escalate to
Step 3 of the Dispute Resolution Process.
Claims Documentation shall have the meaning assigned to such term under Section 18.4.8
(Procedures for Consideration of Disputes) of the PDBC.
Clean Hard Fill has the meaning assigned in CA-EW-20 (ODOT Beneficial Reuse Form).
Closure means that all or part of any traffic lanes, ramps, cross roads, shoulders or sidewalks
are closed or blocked, or that the use thereof is otherwise restricted.
Commencement Date means the commencement date for the performance of the Sub-Phase
1A Work, the Sub-Phase 1B Work, any Early Work Package or the Phase 2 Work which shall
be the date described as the 'Commencement Date' in the Notice to Proceed applicable to the
Work.
Commercial Quality or Grade means Materials readily available from commercial sources.
These materials require no sampling or testing as applicable to KYTC Standards and
Specifications.
Commonwealth means the Commonwealth of Kentucky.
Community Engagement Plan means the plan setting forth how the Contractor will support the
local community as described in Section 5.8 (Community Engagement Plan) of Exhibit E
(Technical Requirements) as may be amended in the Project Scope.
Companion Bridge means the new Bridge over the Ohio River adjacent to the Existing Brent
Spence Bridge.
Completion Deadline means the date shown in the Contract Documents upon which a
Milestone is scheduled to be achieved as such date may be extended in accordance with the
Contract Documents.
Completion of the Contract has the meaning set forth in Section 5.14.4 (Completion of the
Contract and Continuation of Contractor’s Responsibilities) of the PDBC.
Completion of the Contract Date means the date of the Department’s letter confirming
Completion of the Contract.

Completion of the Contract Deadline means the date to be established by the Parties by
which Completion of the Contract shall be achieved, which shall be a specified number of days
after the Substantial Completion Date.
Component Firm means any firm that is contemplated by the Contractor to perform Work on
the Project for or on behalf of the Contractor, including the Contractor, DBT, Principal
Participants, Major Participants, Designers, Subcontractors and Subconsultants.
Conceptual Design means design information provided by the Department including the layout
of the Project described in Section 1 (General) of Exhibit E (Technical Requirements) and LD-07
(Concept I-W Exhibit).
Construction and Materials Specifications (C&MS) means the Department’s Construction

and Materials Specifications.
Construction Documents means all shop drawings, working drawings, fabrication plans,
material and hardware descriptions, specifications, construction quality control reports,
construction quality assurance reports and samples developed by the Contractor and necessary
or desirable for construction of the Project and/or the Utility Relocations included in the
Construction Work, in accordance with the Contract Documents and the Special Provisions.
Construction Period means the period beginning on the date the Department authorizes the
commencement of Construction Work per Section 5.2 (Phase 2 Preconstruction and Progress
Meetings) of the PDBC and ending on the Substantial Completion Date.
Construction Quality Management Plan (CQMP) means the Contractor’s plan to ensure
quality control and quality acceptance procedures for the Construction Work prepared in
accordance with Section 3 (Quality Management) of Exhibit E (Technical Requirements) as may
be amended in the Project Scope.
Construction Work means all Work related to the construction of the Project including
furnishing all Materials, goods, and Equipment and performing all construction, installation,
inspection, testing, and other services required to complete the fully functional Project and the
Phase 2 Work, whether temporary or permanent but excluding the Design Work. Early Work
performed during Phase 1 may include Construction Work.
Contingency means monetary set-asides by the Contractor for cost and time and duration set-
asides by the Contractor for schedule included (or proposed to be included, as the context
requires) within the Contract Price or the Project Schedule.
Consumer Price Index or CPI means the Consumer Price Index All items (BES Series ID
CUUR0000SA), as published by the United States Department of Labor. Bureau of Labor
Statistics, for which the base year is 1982-84 = 100, or if such publication ceases to be in
existence, a comparable index selected by the Department and approved by the Contractor,
acting reasonably. If such index is revised so that the base year differs from that set forth above,
the CPI shall be converted in accordance with the conversion factor published by the United
States Department of Labor, Bureau of Labor Statistics. If the Bureau of Labor Statistics
otherwise alters its method of calculating such index, the Parties shall mutually determine
appropriate adjustments in the affected index.

Contract means the PDBC (the written agreement between the Department and the Contractor
setting forth the obligations of the Parties, including, but not limited to, the performance of the
Work and the basis of payment).
Contract Completion Time means the time assigned in the Baseline Schedule accepted by the
Department to achieve Substantial Completion.
Contract Documents means the PDBC and its exhibits, general and detailed plans, Plan
notes, Standard Construction Drawings identified in the Plans, Phase Change Orders, Change
Orders, Supplemental Agreements, “Accepted” and “Accepted as Noted” Working Drawings,
and any other document designated by the Department as a Contract Document, all of which
constitute one instrument.
Contract Item (Pay Item) means a specifically described unit of Work for which a price is
provided in the Contract.
Contract Price means the amount of compensation to be paid by the Department to the
Contractor for the Phase 2 Work or for a Work Package or Buildable Unit (depending on the
context) as such amount may be modified pursuant to the Contract Documents.
Contract Time means the number of Workdays or Days, including authorized adjustments,
allowed for completion of the Project. When a specified Completion Deadline is shown in the
Contract Documents instead of the number of Workdays or Days, completion of the Project shall
occur on or before that date. Specified Completion Deadline shall be completed on or before the
day indicated even when that date is a Saturday, Sunday, or holiday.
Contractor means the individual, firm, corporation or joint venture, which may include the
Designer if qualified under the provisions of ORC 5526.04, contracting with the Department for
performance of prescribed Work, acting directly or through a duly authorized representative and
qualified under the provisions of ORC 5525.02 to 5525.09 inclusive, and any amendments
thereto.
Contractor’s Representative means the person assigned with full authority to represent and
act for the Contractor as set forth in Section 10.1.2 (Contractor’s Representative) of the PDBC.
Contractor Default has the meaning assigned in Section 19.1.1 (Events of Default by the
Contractor) of the PDBC.
Contractor Generated Regulated Material means (a) Release(s) of Regulated Material

attributable to the actions, omissions, negligence, willful misconduct, or breach of applicable
Law or contract by the Contractor or any Affiliate, provided that the performance of Regulated
Materials Management in respect of Regulated Materials by the Contractor or any Affiliate in
accordance with the requirements of the PDBC shall not be a “Contractor Release of Regulated
Material” (b) Release(s) of Regulated Materials arranged to be brought onto the Site or
elsewhere by the Contractor or any Affiliate, regardless of cause, or (c) use, containment,
storage, management, handling, transport and disposal of any Regulated Materials by the
Contractor or any Affiliate in violation of the requirements of the Contract Documents or any
Applicable Law or Governmental Approval.
Contractor-Related Entity means:
(a) the Principal Participants and Major Participants;

(b) the Subcontractors and Subconsultants (including Suppliers);

(c) any other Persons performing any of the Work for or on behalf of the Contractor;
(d) in respect of any of the foregoing:
(i) the officers, directors and employees;
(ii) agents and representatives to the extent engaged in connection with the Project;
(iii) consultants and contractors to the extent engaged in connection with the Project;
and
(iv) successors and assigns,
excluding the Department, and in respect of any Utility Relocation Work, the relevant Utility
Owner.
Contractor Risk is a Risk Register Event in which the Contractor is not eligible for relief, as
further identified on the Risk Register.
Contractor Submittals Listing & Schedule is defined in Section 4.7 (Contractor Submittals
Listing & Schedule) of the PDBC.
Controlling Board means the State Controlling Board as defined in ORC Chapter 127.
Corrective Action means the action taken by which the Nonconforming Work is made
compliant with the Contract Documents.
Corrective Action Request means the Contractor’s plan for taking Corrective Action in respect
of Nonconforming Work, in accordance with Technical Requirements Section 3.7
(Nonconforming Work) of the PDBC.
Corrective Work Plan (CWP) means the plan described in ODOT C&MS Section 501.05.C
(Corrective Work).
Cost Accounting Standards (CAS) are issued by the Cost Accounting Standards Board
(CASB), a section of the Office of Federal Procurement Policy within the U.S. Office of
Management and Budget. The CASB has the exclusive authority to issue and amend cost
accounting standards and interpretations designed to achieve uniformity and consistency in the
cost accounting practices governing the measurement, assignment, and allocation of costs to
contracts that involve Federal funds. The CAS are codified at 48 CFR Chapter 99.
Cost Accounting System means a type of accounting system that allows for the systematic
and timely classification, recording, allocation, presentation, and interpretation of costs, either
actual or proposed, as paid or required to be paid in the performance of the applicable portion of
the Work. For each FAR Participant, the Cost Accounting System shall articulate with, and/or be
integrated with, the organization’s general ledger and financial management system. The use of
a Cost Accounting System is required by FAR Participants, as these systems provide for the
consistent allocation of costs to cost objectives (direct and indirect activities). Cost Accounting
Systems generally involve a higher level of accountability and detail than is present in simple
financial accounting systems that merely track and accumulate costs by category (expense
type), rather than by both categories and cost objectives. For specifics regarding the proper
design and maintenance of Cost Accounting Systems, see the AASHTO Uniform Audit &
Accounting Guide, Chapters 5 through 8.

Cost Model means the open and transparent model that the Contractor develops and uses with
respect to the applicable portion of the Work so that estimates and assumptions are
communicated to the Department, the Independent Cost Estimator, and the State Cost
Estimator prepared in accordance with Exhibit G (Pricing Process).
County means the designated county or counties in which the Work specified is to be done.
Critical Activities means the activities that make up the Critical Path of activities.
Critical Path means the longest path of activities in the Project Schedule that controls the time
of completion of a Milestone.
Critical Path Method (CPM) means a scheduling method that utilizes the precedence diagram
approach to calculate each activity's early dates, late dates and float values in order to establish
the Critical Path through the activity network.
Culvert means any structure not classified as a Bridge that provides an opening under the
roadway.
Day means every day shown on the calendar.
DBE Outreach Plan means the outreach and communication plan regarding DBE participation
described in Section 5.3 (DBE Outreach Plan) of Exhibit E (Technical Requirements) as may be
amended in the Project Scope.
DBE Performance Plan means the performance plan for achievement of DBE compliance
described in Section 5.1 (DBE Performance Plan) of Exhibit E (Technical Requirements) as may
be amended in the Project Scope.
DBT Construction Manager means the Key Personnel of that name identified in Section 2.1.2
(Key Personnel) of Exhibit E (Technical Requirements).
DBT DBE/EEO Project Plan Coordinator means the Key Personnel of that name identified in
Section 2.1.2 (Key Personnel) of Exhibit E (Technical Requirements).
DBT Design Manager means the Key Personnel of that name identified in Section 2.1.2 (Key
Personnel) of Exhibit E (Technical Requirements).
DBT Design QC Manager means the Key Personnel of that name identified in Section 2.1.2
(Key Personnel) of Exhibit E (Technical Requirements).
DBT Independent Design Quality Firm Manager means the Key Personnel of that name
identified in Section 2.1.2 (Key Personnel) of Exhibit E (Technical Requirements).
DBT Lead Bridge Superintendent means the Key Personnel of that name identified in Section
2.1.2 (Key Personnel) of Exhibit E (Technical Requirements).
DBT Lead Highway Design Engineer means the Key Personnel of that name identified in
DBT Lead Highway Superintendent means the Key Personnel of that name identified in

DBT Lead Independent Companion Bridge Engineer means the Key Personnel of that name
identified in Section 2.1.2 of Exhibit E (Technical Requirements).
DBT Lead Structural Design Engineer means the Key Personnel of that name identified in
DBT Project Management Plan (DBT PMP) means the plan addressing management,
administration, design, investigations, construction, environmental monitoring and compliance
described in Section 2.1 (DBT Project Management Plan) of Exhibit E (Technical
Requirements).
DBT Project Manager means the Key Personnel of that name identified in Section 2.1.2 (Key
Personnel) of Exhibit E (Technical Requirements).
Daily Force Account Record means the record prepared and signed by the Parties on a daily
basis to record labor and Equipment used on the force account Work as further described in
Exhibit H (Force Account Provisions).
Debarment Regulations means (a) Federal Executive Order no. 12549 (Feb. 18, 1986), (b)
Federal Executive Order no. 12689 (Aug. 16, 1989), (c) 31 U.S.C. § 6101 note (Section 2455,
Pub. L. 103-355, 108 Stat. 3327) and (d) 49 CFR Part 29 “Government wide Debarment and
Suspension (Non-procurement)”.
Delay Schedule has the meaning assigned in Exhibit T (Critical Path Method Progress
Schedule) Section 1.7 (Revision and Delay Schedules).
Department means the Ohio Department of Transportation and may be used interchangeably
with State or ODOT. Each reference to the Department shall be deemed to include the
Department’s Authorized Representatives.
Department Authorized Representative means one or more individuals having specified

authority under the PDBC to be provided to the Contractor in a written notice as described in
Section 10.1.1 (Department Authorized Representatives) of the PDBC.
Department-Provided Approvals means each of the Governmental Approvals for the Project
to be provided by the Department, in each case on the basis of the Base Design, as more fully
described in the Project Scope.
Department Release(s) of Regulated Material means the introduction in on or under the

Project Right of Way of Regulated Material directly by the Department, or by its contractors,
Subcontractors, Subconsultants agents or employees acting in such capacity (other than the
Contractor, its Subcontractors, Subconsultants or Affiliates), excluding, however, any Regulated
Materials that are Contractor-Generated Regulated Materials.
Department’s Decision means the Department’s decision regarding the Contractor’s request
for an extension of any Completion Deadline and/or the applicable portion of the Contract Price
due to Delay Costs in accordance with Section 13 (Time Extension To The Completion
Deadlines And Payment For Excusable Delays) of the PDBC.
Design-Build Team (DBT) means the Contractor and its Subconsultants and Subcontractors.

Design Documents means all drawings (Plans), specifications, calculations, records, reports or
other documents, including shop drawings and working drawings, prepared by the Contractor,
which may be used for design, manufacture, fabrication, installation, testing, examination and
certification of items and which give a detailed and precise representation of the configurations
and arrangements of the materials and items being constructed in connection with the Project
based on the Contract Documents.
Design Quality Management Plan (DQMP) means the Contractor’s plan describing the
internal quality control and quality assurance procedures, prepared in accordance with Section
3.3 (Design Quality Management Plan) of Exhibit E (Technical Requirements).
Design Work means all Phase 1 Work or Phase 2 Work related to the design, redesign,
engineering, or architecture of the Project, including validation of the Base Design, development
of all required Design Documents and applicable Construction Documents required by the
PDBC.
Design and Construction Work means the Design Work and Construction Work, including
those obligations of the Contractor pertaining to design and construction set forth in the Project
Scope.
Designer means the individual, firm, or corporation that the Contractor designates to prepare
the Design Document(s) and is otherwised charged with the Design Document(s) portions of the
PDBC Contract (not necessarily including Work incorporated in the preparation of Working
Drawings) who prior to such undertaking receives the written consent of the Department,
provided such individual, firm or consultant must hold a Certificate of Authorization from the
Ohio State Board of Registration for Professional Engineers and Surveyors, Kentucky Board of
Engineers and Land Surveyors and has fulfilled the Prequalification requirements under ORC
5526.04 and KRS 45A.825.
Detailed Cost Analysis means a detailed cost analysis performed by the Contractor in
accordance with Section 13.4.1.1 (Detailed Cost Analysis) of the PDBC and submitted in
conjunction with an Excusable Delay Request.
Deviation See “Standards Deviation”.
Direct Cost is any labor or non-labor cost that can be traced to a specific Project, task,
program, activity or contract (final cost objective). All direct labor costs allocable to design and
engineering contracts (regardless of the contract type, e.g., lump sum versus actual cost) shall
be properly allocated to final cost objectives, and all direct labor costs shall be included in the
direct labor base, regardless of whether the costs are billable to a client.
Director means the Director of the Ohio Department of Transportation or authorized designee.
Disadvantaged Business Enterprise (DBE) has the meaning set forth in 49 CFR Part 26.
Dispute means any Claim, dispute, disagreement or controversy between the Department and
the Contractor concerning their respective rights and obligations under the Contract Documents,
including concerning any alleged breach or failure to perform and remedies.
Dispute Documentation shall have the meaning assigned to such term under Section 18.3.3
(Dispute Documentation and Rebuttal) of the PDBC.

Dispute Resolution Coordinator shall mean the Department official given such title by the
Director.
Disputed Work means any portion of the Work that is the subject of a Dispute or Claim filed by
the Contractor in accordance with the Dispute Resolution Procedures.
Dispute Resolution Procedures means the procedures for resolving disputes set forth in
Article 18 of the PDBC.
Early Work means any Work performed pursuant to an Early Work Package.
Early Work Package NTP means the NTP issued by the Department to the Contractor
pursuant to Section 2.8.4 (Notice to Proceed for Early Work) of the PDBC.
Early Work Package means any package comprising Design Work, Construction Work or both
that is proposed (or directed) to be performed during Phase 1, subject to execution of a related
Early Work Package Change Order and issuance of an Early Work NTP including any Early
Work Packages proposed under Section 2.3.3.1 (Early Work Package Proposal) of the PDBC.
Early Work Package Change Order means a Change Order issued by the Department to the
Contractor with respect to an approved Early Work Package.
Early Work Package Contract Price means, with respect to an Early Work Package, the total
compensation payable or to be payable, to the Contractor under a Change Order for the
completion of that Early Work Package, as may be modified by any authorized cost changes
under any further Change Orders. The basis for an Early Work Package Contract Price (GMP or
Lump Sum) shall be as set out in the accepted Early Work Proposal.
Early Work Package Proposal means the Contractor's proposal for the performance of an
Early Work Package in the form required and including the information required under Section
2.3.3.1 (Early Work Package Proposal) of the PDBC.
Effective Date is defined in the preamble of this PDBC.
Electronic Content Management System means the Department’s computerized system

Project document and records management established pursuant to Section 2.1.3 (Document
Control) of Exhibit E (Technical Requirements) as may be amended in the Project Scope.
Emergency means any unforeseen event affecting the Project, whether directly or indirectly,
which (a) causes or has the potential to cause disruption to the free flow of traffic on the Project
or a threat to the safety of the public, (b) is an immediate or imminent threat to the long term
integrity of any part of the infrastructure of the Project, to the Environment or to property
adjacent to the Project or to the Safety of the Users or the traveling public; (c) is recognized by
the Ohio Department of Public Safety as an emergency; or (d) is recognized or declared by the
Governor of the State, the Federal Emergency Management Administration (FEMA), the U.S.
Department of Homeland Security or other Governmental Entity with authority to declare an
emergency.
Encroachment Permit has the meaning assigned in the ODOT or KYTC Encroachment Permit
Manual, as applicable.

Engineer of Record means an individual, or individuals, employed by the Contractor or a

Component Firm and properly registered as a Professional Engineer with the Ohio State Board
of Registration for Professional Engineers and Surveyors, or the Kentucky Board of Engineers
and Land Surveyors (as applicable) who seals the construction plans and associated
documents/calculations. Also known as Designer of Record.
Engineered Drawings means a type of working drawing that requires the practice of
engineering as defined in ORC 4733.01(E) or KRS 322.010 (4) (a), as applicable. Examples of
Engineered Drawings include: Excavation Bracing Plans, Demolition Plans, Erection Plans,
Falsework Plans, Cofferdam Plans, Causeway Plans, Jacking and Temporary Support Plans,
Plans for Heavy Equipment on Structures, Plans for structures for Maintaining Traffic, and
Corrective Work Plans.
Environmental Assessment (EA) has the meaning assigned in Section 7 (Environmental) of

Exhibit E (Technical Requirements).
Environmental Commitments means the compliance measures, documentation, timing, and

responsibilities described in EN-28 (Environmental Commitments) and Section 7.1
(Environmental Commitments) of Exhibit E (Technical Requirements) as may be amended in
the Project Scope.
Environmental Compliance Specialist (ECS) means the individual retained or employed by

Contractor who has the authority and responsibility for monitoring, documenting and reporting
environmental compliance for the Work as more particularly described in the Project Scope.
Environmental Consultation Management Plan (ECMP) means the Contractor’s plan for
documenting and verifying compliance with the Environmental Commitments, prepared in
accordance with the Project Scope.
Equipment means all machinery and equipment, together with the necessary supplies for
upkeep and maintenance, and also tools and apparatus necessary for the proper design,
construction, and acceptable completion of the Work.
Estimate means the estimate for payment prepared by the Contractor and approved by the
Department, prepared in accordance with Section 11.2.4 (Estimates and Payments) of the
PDBC.
Environmental Site Assessment (ESA) is a study used to determine if any Regulated

Materials are present on a property or parcel. The Department uses these studies to determine
the potential involvement of a Project’s earth-disturbing construction activities with documented
environmental releases from adjacent properties.
Escrow Agent means the banking institution or other bonded document storage facility agreed
by the Parties to be responsible for the escrow of the Escrow Documents under the Escrow
Agreement.
Escrow Agreement means the agreement executed and delivered by the Contractor, the
Departments and the Escrow Agent pursuant to Section 25.7 (Escrow Documents) of the
PDBC.
Escrow Documents has the meaning set forth in Section 25.7.1 (General) of the PDBC.

Escrow Documents Submission Date means the date on which any Escrow Documents are
scheduled to be submitted by the Contractor to the Escrow Agent to be held pursuant to the
Escrow Agreement.
Excusable Delay Request has the meaning set forth in Section 13.4.1 (Excusable Delay
Request) of the PDBC.
Existing Brent Spence Bridge has the meaning set forth in Section 1 (General) of Exhibit E
(Technical Requirements).
Extra Work means an item of Work not provided for in the Contract as awarded but found
essential to the satisfactory completion of the Contract within its intended scope.
FAR Participant means a Component Firm that has an indirect cost rate approved by ODOT's
Office of External Audits and/or the KYTC External Audit Branch and establishes and maintains
acceptable, fully articulated Financial and Cost Accounting Systems that track, classify, and
allocate costs in accordance with the requirements of FAR Part 31 and applicable Cost
Accounting Standards.
FHWA refers to the Federal Highway Administration of the United States Department of
Transportation.
Fabricator means the individual, firm, or corporation that fabricates structural metals or
prestressed concrete members as an agent of the Contractor.
Federal Requirement means those requirements set forth in attached Exhibit N (Contract
Provisions for Federal Aid Construction Projects).
Field Design Change (FDC) means design changes initiated by the Contractor to documents
approved and Released for Construction (RFC) are completed under a Field Design Change
(FDC). FDCs are subject to quality check or review activities.
Final Design means, depending on the context: (a) the Final Design Documents, (b) the design
concepts set forth in the Final Design Documents, which shall be substantially consistent with
the Contractor’s Base Design or (c) the process of development of the Final Design Documents.
Final Design Documents means the complete final construction drawings, including plans,
profiles, cross-sections, notes, elevations, typical sections, details and diagrams, specifications,
reports, studies, calculations, electronic files, records and submittals prepared by the
Contractor, necessary or related to construction and maintenance of the Project or any portion
thereof and any utilities included in the Design Work or the Construction Work.
Final Engineering and Construction Phase means Phase 2.
Final Estimate means the estimate for payment prepared by the Contractor and approved by
the Department, prepared in accordance with Section 11.2.4 (Estimates and Payments) of the
PDBC.
Final Inspection means the final inspection performed by the Department as described in
Section 5.14.2 (Final Inspection and Substantial Completion) of the PDBC.
Final Inspection Punch List means an itemized list of Construction Work identified during
Final Inspection which remains to be completed after Substantial Completion has been

achieved and before Completion of the Contract, the existence, correction, and completion of
which will have no material or adverse effect on the normal and safe use and operation of the
Project.
Financial Proposal means the financial proposal submitted by an Offeror providing the
information requested in ITO Section 6.9 (Financial Proposal).
Float means the length of time along a given network path that the actual start and finish of
activity(s) can be delayed without delaying the Substantial Completion Deadline.
FONSI means the Finding of No Significant Impact for the Project on August 9, 2012.
Force Majeure Event has the meaning assigned in Section 14 (Force Majeure Events) of the
PDBC.
Geotechnical Report means the geotechnical report to be prepared by the Contractor for Work
within the Kentucky JDM in accordance with Section 12 (Geotechnical) of Exhibit E (Technical
Requirements).
Geotechnical Exploration Report means the geotechnical report to be prepared by the

Contractor for Work within the Ohio JDM in accordance with Section 12 (Geotechnical) of
Exhibit E (Technical Requirements).
Good Faith Efforts (GFE) means efforts to achieve a DBE or goal, that by their scope,
intensity, and appropriateness to the objective, can reasonably be expected to fulfill the
requirements of the goal, in accordance with 49 CFR 26.53 and Appendix A to Part 26..
Governing Regulations means the governing regulations set forth in Section 1.2 (Governing
Regulations) of Exhibit E (Technical Requirements) as may be amended in the Project Scope.
Government Entity means any federal, state, or local government and any political subdivision
or any governmental, quasi-governmental, judicial, public, or statutory instrumentality,
administrative agency, authority, body, or entity, other than ODOT or KYTC.
Governmental Approval means any approval, authorization, certification, consent, decision,

exemption, filing, lease, license, permit, bond requirement, registration, or ruling, issued or
required by any Government Entity having subject matter jurisdiction by Applicable Law or
consent of the Department, required for performance of the Phase 1 Work or the Phase 2 Work
or any part of it.
Guaranteed Maximum Price or GMP means a form of pricing for any Early Work Package,
Buildable Unit or the Phase 2 Work in which, in return for delivering such Work , the Contractor
is eligible to be paid the actual allowable cost of properly performing such Work but may not
receive more than the GMP.
Guarantor means any party approved by the Department to provide a Guaranty securing
Contractor’s obligations under this PDBC.
Guaranty means any guaranty provided by a Guarantor to secure Contractor’s obligations

under this PDBC.
Indemnified Parties has the meaning assigned in Section 16.1 (Indemnifications by Contractor)
of the PDBC.

Independent Design Quality Firm (IDQF) means the organization identified in Exhibit C
(Proposal Commitments).
Independent Cost Estimator (ICE) means the Independent Cost Estimator to be appointed by
the Department to validate the Pricing Proposals submitted by the Contractor.
Inspector means the Department’s authorized representative assigned to make detailed

inspections of Contract performance.
Instructions to Offerors (ITO) means the documents, including exhibits and forms, included in
the RFP containing directions for the preparation and submittal of information by the Offerors in
response to the RFP.
Intellectual Property means any and all patents, trademarks, service marks, copyright,
database rights, moral rights, rights in a design, know-how, confidential information, and any
and all other intellectual or industrial property rights whether or not registered or capable of
registration and whether subsisting in the United States or any other part of the world, together
with all or any goodwill relating or attached to such rights, which is created, brought into
existence, acquired, used, or intended to be used by any Contractor-Related Entity for the
purposes of carrying out the Phase 1 Work or the Phase 2 Work or otherwise for the purposes
of the PDBC.
Interim Baseline Schedule has the meaning assigned in Exhibit T (Critical Path Method
Progress Schedule) Section 1.4.1 (Interim Baseline and Baseline Schedules).
Interim Schedule means the updated Interim Baseline Schedule.
Interstate Cooperative Agreement (ICA) means the document included in Exhibit Y (Interstate
Cooperative Agreement).
Jurisdictional Design & Maintenance (JDM) means the regional location, as defined within
the Contract, for which the applicable ODOT or KYTC design and construction specifications,
standards, guidance, special notes, Special Provisions, processes, manuals, technical memos,
laws, regulations, or any other guidance applies. Unless otherwise specifically identified, the
JDM shall be the state boundaries with which the Construction Work is or will be occurring.
Jurisdictional Design & Maintenance Authority (JDMA) means the authority having
jurisdiction for design and construction specifications, standards, guidance, special notes,
special provisions, processes, manuals, technical memos, laws, regulations, or any other
guidance applies. Unless otherwise identified in the Contract Documents, the JDMA shall be
ODOT or KYTC depending upon the state boundaries with which the Construction Work is or
will be occurring.
Key Personnel means those individuals named and listed in Exhibit C (Proposal Commitments)
as filling:
(a) the Key Personnel positions listed in Section 2.1.2 (Key Personnel) of Exhibit E
(Technical Requirements); and
(b) any additional Key Personnel positions not included in paragraph (a) of this definition but
offered in the Proposal Commitments, and any replacements approved in accordance
with Section 10.4 (Key Personnel) of the PDBC.

KYTC shall mean the Cabinet and may be used interchangeably with “Commonwealth” or
“Cabinet.”
KYTC Standards and Specifications means those standards and specifications designated as
originating from KYTC under Table 1-1 of Exhibit E (Technical Requirements), as the same may
be amended and updated in conjunction with an applicable Proposal.
Laboratory means the testing laboratories under the direct management of ODOT or KYTC, or
specifically contracted with ODOT or KYTC for management of the Project’s Materials. This may
include the Office of Materials Management (OMM) located at 1600 West Broad Street,
Columbus, Ohio, and the ODOT District testing facilities.
Law or Laws means (a) any statute, law, code, regulation, ordinance, rule or common law, (b)
any binding judgment (other than regarding a Claim or Dispute), (c) any binding judicial or
administrative order or decree (other than regarding a Claim or Dispute), (d) any written
directive, guideline, policy requirement or other governmental restriction (including those
resulting from the initiative or referendum process, but excluding those by the Department within
the scope of its administration of the Contract Documents) or (e) any similar form of decision of
or determination by, or any written interpretation or administration of any of the foregoing by any
Governmental Entity, in each case which is applicable to or has an impact on the Project or the
Work, whether taking effect before or after the Effective Date, including any and all Kentucky,
Ohio or federal environmental laws and regulations pertaining to the Project. “Laws,” however,
excludes Governmental Approvals.
Lead Agency has the meaning assigned in Section 3.1 of the Interstate Cooperative
Agreement Regarding the Brent Spence Bridge Corridor Project.
Lump Sum means a form of pricing and compensation for a Work Package, Buildable Unit or
the Phase 2 Work in which the Contractor agrees to perform the Work for a fixed dollar amount
that is subject to adjustment only for Change Orders, Extra Work, Excusable Compensable
Delays or other adjustments in accordance with the Contract Documents.
Maintenance of Traffic (MOT) means the maintenance of traffic on existing roads and
crossroads within the Project Right of Way to ensure access to all relevant properties during the
Work.
Maintenance of Traffic Plan means the Contractor’s plan for Maintenance of Traffic, prepared
in accordance with the Project Scope.
Major Participant means any Component Firm that a Key Personnel is employed by.
Major and Minor Items means, as applicable to KYTC Standards and Specifications, all
original Contract Items having a value of 10 percent or more of the original Contract amount,
based on the original Contract price and original estimated quantity, are major items. All
remaining items are minor items.
Major Subcontractor means a Subcontractor or Subconsultant under contract to perform Work

with a value exceeding $500,000.
Materials means any materials or products specified for use in the construction of the Project
and its appurtenances.

Maximum Prime Compensation is the not-to-exceed limit of the Prime Compensation for the
Phase 1 Work under the provisions of the PDBC.
Measured Mile means an analysis comparing the productivity of Work to prove and quantify
inefficiency as further described in Section 12.8.5 (Inefficiency) of the PDBC.
Milestone means the milestone for completion of the Sub-Phase 1A Work, the milestone for
completion of the Sub-Phase 1B Work, the milestone for completion of an Early Work Package,
the milestone for opening to traffic of the Companion Bridge, the milestone for Substantial
Completion of the Work or any other milestone established in the Project Schedule as the
context requires.
Milestone Date means the date upon which each Milestone actually occurs.
Milestone Deadline means the date upon which each Milestone is scheduled to be achieved in
accordance with the Project Schedule as such dates may be extended in accordance with the
Contract Documents.
Mobilization means the Work described in Section 11.2.7 (Mobilization) of the PDBC.
Monthly Progress Report means the report the Contractor must submit to the Department
summarizing progress made the previous Month and including activities to be performed in the
following Month and as further described in the Project Scope.
Monthly Progress Update Schedule has the meaning assigned in Exhibit T (Critical Path
Method Progress Schedule) Section 1.4 (Interim, Phase 1, and Phase 2 Baseline Schedule
Requirements).
NEPA Documents means the FONSI or any Environmental Assessment or Supplemental

Environmental Assessment, and any revisions to the foregoing.
Noncompliance Event means any Contractor breach or failure in the performance of

obligations under the Contract Documents set forth in Exhibit F (Noncompliance Points
System).
Noncompliance Events Table has the meaning set forth in Exhibit F (Noncompliance Points
System).
Noncompliance Points means the points that may be assessed by the Department for certain
Noncompliance Events, as set forth in Exhibit F (Noncompliance Points System).
Nonconformance Report (NCR) means the report pertaining to Nonconforming Work which
shall be generated by the Contractor and which may be generated by the Department in the
circumstances set forth in Section 3.7.1 (Nonconforming Work Process) of Exhibit E (Technical
Requirements).
Nonconforming Work means any Design and Construction Work that does not conform to the
requirements of the Contract Documents. Nonconforming Work shall include any unacceptable
Materials as described in Section 6.7 (Unacceptable Materials) of the PDBC.
Notice of Design Change (NDC) means design changes initiated by the Engineer of Record
(EOR) to documents approved and Released for Construction (RFC) are completed under an
NDC. NDCs are subject to quality check or review activities.

Notice of Determination means the Notice issued by the Department with respect to
Noncompliance Events as described in Exhibit F (Noncompliance Points System).
Notice of Potential Change Order (NPCO) is the potential two-step process utilized by the
Contractor, as outlined in Section 12.4.1 (Notice of Potential Change Order) of the PDBC, to
inform the Department of the existence of a circumstance(s) or event(s) that may require a
change to the Contract Documents and/or Work.
Notice of Substantial Completion means the notice delivered to the Contractor under Section
5.14.2.4 (Notice of Substantial Completion) stating that Substantial Completion of the Project
has occurred.
Notice of Work Package Substantial Completion means the notice delivered to the
Contractor under Section 5.14.2.2 (Notice of Substantial Completion of a Work Package) stating
that Substantial Completion of a Work Package has occurred.
Notice of Termination means a notice issued by the Department to terminate the PDBC
pursuant to Section 21.1 (Notice of Termination) of the PDBC.
Notice to Proceed (NTP) is a written communication from the Department to the Contractor to
start any unit or element of the Phase 1 Work, Phase 2 Work or Early Work. The Notice to
Proceed shall establish any conditions and restraints necessary for, or incident to, the
performance of the Phase 1 Work, Phase 2 Work or Early Work.
ODOT means the Ohio Department of Transportation and may be used interchangeably with
“State” or “Department.”
ODOT Standards and Specifications means those standards and specifications designated
as originating from ODOT under Table 1-1 of Exhibit E (Technical Requirements), as the same
may be amended and updated in conjunction with an applicable Proposal.
Offeror means the entity submitting a Proposal for the Project in response to the RFP.
Open Book Basis means a method in which the Contractor provides the Department, at the
Department's request, all books, records, documents, contracts, subcontracts, purchase orders,
and other data in its possession pertaining to the bidding, pricing, or performance of the PDBC,
showing the Contractor's underlying assumptions and data as to costs of the Work or services
to be provided, schedule, composition of equipment spreads, equipment rates, labor rates,
productivity, estimating factors, design and productivity allowance, Contingency and indirect
costs, risk pricing, discount rates, interest rates, inflation and deflation rates, swap and hedge
rates, insurance rates, bonding rates, letter of credit, fees, overhead, profit, and other items
reasonably required by the Department to satisfy itself as to validity or reasonableness. It also
includes review of the Contractor’s underlying project-specific accounting system and the
Department’s ability to view the Contractor’s allocation of costs within that system.
Opinion of Probable Cost (OPC) means the Contractor-generated estimate of the Contract
Price prepared in accordance with the principles set forth in Exhibit G (Pricing Process).
Organizational Conflict of Interest has the meaning set forth in ITO Section 5.3
(Organizational Conflicts of Interest).

Original Contract Work has the meaning assigned in Exhibit H (Force Account Provisions).
Overtime Premium Wages arise from the difference between an employee’s standard hourly
wage rate and the special hourly wage rate paid for time in excess of 40 hours per week.
Partnering means a collaborative process for project cooperation and communication meant to
achieve effective and efficient contract performance and completion of the Project within budget,
on schedule, safely and with requisite quality in accordance with the contract.
Party has the meaning assigned in the preamble of this PDBC.
Payment Bonds means the payment bonds to be delivered by the Contractor to the
Department in accordance with Section 23.1 (Performance and Payment Bonds) of the PDBC.
Performance Bonds means the performance bonds to be delivered by the Contractor to the
Department in accordance with Section 23.1 (Performance and Payment Bonds) of the PDBC.
Permitting Plan means the plan to be prepared by the Contractor to determine roles and
responsibilities for permitting as described in Section 7.2 (Permitting) of Exhibit E (Technical
Requirements).
PDP means ODOT’s Project Development Process.
Person means any individual, firm, corporation, company, limited liability company, limited
liability partnership , joint venture, voluntary association, partnership, trust or public or private
organization, other legal entity, or combination of the foregoing.
Phase means either Phase 1 or Phase 2.
Phase Change Order means the Sub-Phase 1A Change Order, the Sub-Phase 1B Change
Order, an Early work Change Order or the Phase 2 Change Order as the context requires.
Phase 1 or the Preconstruction Phase means the phase in which the Phase 1 Work and, if
applicable, Early Work, is performed.
Phase 1 Baseline Schedule has the meaning assigned in Exhibit T (Critical Path Method
Phase 1 Multiplier Rate means the multiplier for Professional Services undertaken in the
performance of the Phase 1 Work as set forth in Exhibit B (Contract Particulars). The Phase 1
Multiplier Rate shall include direct labor costs, overtime payments, indirect costs (overhead),
travel, subsistence, non-salary direct costs and facilities capital cost of money.
Phase 1 Work encompasses the Contractor’s performance of all contractual requirements

associated with Sub-Phase 1A (Proof-of-Concept) and Sub-Phase 1B (Project Development),
including, but not limited to, the furnishing of all Equipment, supplies, and Materials required in
accordance with the PDBC.
Phase 2 means the phase in which the Phase 2 Work and, if applicable, Early Work, is
performed.
Phase 2 Baseline Schedule has the meaning assigned in Exhibit T (Critical Path Method

Phase 2 Change Order means the Change Order to incorporate the Phase 2 Work that may be
issued by the Department as further described in Section 3.3 (Phase 2 Project Scope) of the
PDBC.
Phase 2 Multiplier Rate for FAR Participants means the multiplier for Professional Services
undertaken in the performance of the Phase 2 Work by FAR Participants as set forth in Exhibit
B (Contract Particulars). The Phase 2 Multiplier Rate for FAR Participants shall include direct
labor costs, overtime payments, indirect costs (overhead), travel, subsistence, non-salary direct
costs and facilities capital cost of money.
Phase 2 Multiplier Rate for Non-FAR Participants means the multiplier for Professional
Services undertaken in the performance of the Phase 2 Work by non-FAR Participants as set
forth in Exhibit B (Contract Particulars). The Phase 2 Multiplier Rate for Non-FAR Participants
shall include direct labor costs, overtime payments, indirect costs (overhead), travel,
subsistence, non-salary direct costs and facilities capital cost of money.
Phase 2 Project Scope means the Project Scope governing the Phase 2 Work which will be
agreed between the Parties during Sub-Phase 1B.
Phase 2 Work means all duties and services to be furnished and provided by the Contractor as
required by a Phase 2 Change Order, including the administrative, design, engineering, quality
control, quality assurance, relocation, procurement, legal, professional, manufacturing, supply,
installation, construction, supervision, management, testing, verification, labor, Materials,
Equipment, documentation and other efforts necessary or appropriate to achieve Completion of
the Contract except for those efforts which the Contract Documents specify will be performed by
the Department or other Persons. In certain cases the term is also used to mean the products of
the Phase 2 Work. For clarity, the Phase 2 Work does not include the Phase 1 Work.
Plans means the drawings, standard construction drawings and supplemental drawings
provided by the Department or produced by the Designer or the Designer’s Subconsultants,
approved in accordance with the PDBC, or exact reproductions thereof, that show the location,
character, dimensions, and details of the Work.
Preconstruction Phase means Phase 1.
Pre-Proposal One-on-One Meeting means the meeting(s) set forth in ITO Section 2.2 (Pre-
Proposal One-on-One Meetings).
Prequalification refers to the Department’s and KYTC’s system for determining whether the
Contractor and its Subcontractors and Subconsultants meet certain minimum qualification levels
in accordance with ORC Chapters 5525 & 5526 and the rules and regulations governing
prequalification and by the Kentucky Transportation Cabinet (KYTC) in according to with
Kentucky Administrative Regulations (KAR) 603 KAR 2:015, 600 KAR 6:040, and other relevant
laws. The Department’s and KYTC’s Prequalification requirements are set out in the applicable
Consultant Prequalification Requirements and Procedures, posted on the Department’s and
KYTC’s website. Work that requires prequalification may only be performed by firms that are
prequalified for those services at the time of performance of the services.
Preventative Action Report (PAR) has the meaning set forth in Section 3.7.6 (Corrective /
Preventative Action Report) of Exhibit E (Technical Requirements).

Price Proposal means, as a component of each Work Package Proposal, the Contractor’s
written Submittal of the Project requirements together with a narrative description of the Project
and proposed Work together with a detailed schedule of requested compensations.
Prime Compensation is the monetary remuneration specified for payment by the Department
to the Contractor for acceptable elements of the Phase 1 Work.
Principal Participant means any of the following entities: (i) any joint venture, partner, or firm
holding an interest in the Contractor if the Contractor is a joint venture, partnership or other form
of unincorporated legal entity; and/or (ii) any person or firm holding (directly or indirectly) a 15%
or greater interest in the Contractor if the Contractor is a corporation, limited liability company or
other form of incorporated legal entity; or (iii) parent company or Affiliate of the Contractor or
another Principal Participant that will provide financial support to such firm (guarantor) to meet
the financial obligations of the PDBC.
Probable Maximum Loss (PML) has the meaning assigned in Section 17 (Insurance
Requirements) of the PDBC.
Procurement Point of Contact (PPC) means the authorized representative of the Offeror
identified as the sole representative for communication with the Department.
Procurement Process means the entire process by which the Department offers to outside
parties an opportunity to undertake the Project, including the RFP, beginning with the release of
the RFP and ending with the selection of the Design Build Team to design and construct the
Project.
Professional Engineer means an individual licensed by the State Board to practice

engineering in the State.
Professional Landscape Architect means a landscape architect registered with the Ohio
Landscape Architects Board to practice landscape architecture in the State of Ohio.
Professional Services means the professional services necessary to deliver the Work,
including the design of all permanent and temporary portions of the Project, the preparation of
Working Drawings or Engineered Drawings, the practice of engineering, surveying, landscape
architecture, architectural services, estimating and risk assessment, assessment of
environmental impacts, Right-of-Way acquisition services, supervisory and administrative
personnel performing project management, superintending, preconstruction services, planning
and scheduling, safety management, purchasing, accounting, IT services, other supervisory
activities and the preparation of Claims.
Profile Grade means the trace of a vertical plane intersecting the top surface of the proposed
wearing surface, usually along the longitudinal centerline of the roadbed. Profile grade means
either elevation or gradient of such trace according to the context.
Progress Meeting means a Design Progress Meeting as defined in Section 2.2.1.4 (Design
Progress Meeting) of Exhibit E (Technical Requirements) or other Progress Meetings as
required pursuant to Section 5.2 (Phase 2 Preconstruction and Progress Meetings) of the
PDBC.

Progress Schedule means the version of the Project Schedule depicting progress of the Work
as described in Exhibit T (Critical Path Method Progress Schedule) Section 1.11 (Progress
Schedule).
Progressive Design-Build means a form of Design-Build contract in which a best value

selection is followed by a process whereby the Parties develop the Base Design and Contract
Price in a progressive manner.
Prohibited Person means any Person who is:
a. Debarred, suspended, proposed for debarment with a final determination still pending,
declared ineligible or voluntarily excluded (as such terms are defined in any of the
Debarment Regulations) from participating in procurement or nonprocurement
transactions with the United States federal government or any department, agency or
instrumentality thereof pursuant to any of the Debarment Regulations;
b. Indicted, convicted or had a civil or administrative judgment rendered against such
Person for any of the offenses listed in any of the Debarment Regulations and no
event has occurred and no condition exists that is likely to result in the debarment or
suspension of such Person from contracting with the United States federal
government or any department, agency or instrumentality thereof;
c. Listed on the “Lists of Parties Excluded from Federal Procurement and
Nonprocurement Programs” issued by the US General Services Administration;
d. Located within, or doing business or operating from, a country or other territory subject
to a general embargo administered by the United States Office of Foreign Assets
Control (OFAC);
e. Designated on the OFAC list of 'Specially Designated Nationals';
f. Otherwise targeted under economic or financial sanctions administered by the United
Nations, OFAC or any other U.S. federal economic sanctions authority or any
divestment or sanctions program of the State of Ohio or State of Kentucky;
g. A banking institution chartered or licensed in a jurisdiction against which the United
States Secretary of the Treasury has imposed special measures under Section 311 of
the USA PATRIOT Act (Section 311);
h. Located within or is operating from a jurisdiction that has been designated as
noncooperative with international anti-money laundering principles by the Financial
Action Task Force on Money Laundering;
i. A financial institution against which the United States Secretary of the Treasury has
imposed special measures under Section 311;
j. A “senior foreign political figure” or a prohibited “foreign shell bank” within the meaning
of 31 C.F.R. Section 103.175; or
k. Any Person with whom the Department is engaged in litigation relating to performance
of contract or business practices (unless the Department has first waived (in
Department’s sole discretion) by written notice to the transferring equity holder, with a
copy to the Contractor, the prohibition on a transfer to such Person during the
continuance of the relevant litigation).

Project is the Brent Spence Bridge Corridor Project, which is the subject of this PDBC and
which is further described in Section 1 (General) of Exhibit E (Technical Requirements).
Project Development Phase means Sub-Phase 1B.
Project Float is the length of time between the End Project Milestone and the Contract
Completion Deadline.
Project Goals means the goals and objectives set forth in ITO Section 1.3 (Project Goals) and
Section 1.1 (Project Goals) of the Exhibit E (Technical Requirements).
Project Limits means points on the mainline centerline of construction where the proposed
improvement, as described in the project description on the Title Sheet (excluding incidental
construction), begins and ends.
Project Management Office (PMO) means the facility in which the Parties will co-locate as
described in Section 4.1 (Project Management Office) of Exhibit E (Technical Requirements).
Project Management Plan (PMP) see DBT Project Management Plan.
Project Manager means the Department's design representative to the Contractor.
Project Mark-up means the percentage mark-up applied to the Phase 1 Work and the Phase 2
Work in order to establish the applicable Contract Price as described in Exhibit G (Pricing
Process).
Project Punch List means an itemized list of Construction Work identified by Department and
Contractor staff prior to Substantial Completion that, when completed, will mean that the
Construction Work is ready for Final Inspection.
Project Right-of-Way (ROW) means the Department-acquired temporary and permanent ROW
acquired in connection by the Department as described in Section 11.1 (General Right-of-Way)
of Exhibit E (Technical Requirements), together with all additional properties acquired at the
Contractor’s request in accordance with Section 11.2 (Additional Property Request
Requirements) of Exhibit E (Technical Requirements) and other rights in real property acquired
by or granted to the Contractor pursuant to governmental resolutions or other legislation, as
such Project Right-of-Way may be adjusted from time to time in accordance with the Contract
Documents. The term specifically includes all air space, surface rights and subsurface rights
within the boundaries of the Project Right-of-Way.
Project Schedule means one or more, as applicable, of the logic-based Critical Path schedules
(the Interim Baseline Schedule, the Baseline Schedule, the Phase 1 Baseline Schedule, the
Phase 2 Baseline Schedule, the Monthly Progress Update Schedule, the Recovery Schedule,
the Weather Delay Schedule, and the As-Built Schedule) for all Work leading up to and
including Substantial Completion and Completion of the Contract, and for tracking the
performance of such Work, as the same may be revised and updated from time to time in
accordance with Exhibit T (Critical Path Method Progress Schedule).
Project Scope means the Sub-Phase 1A Project Scope, the Sub-Phase 1B Project Scope or
the Phase 2 Project Scope, as the context requires. The Project Scope describes the scope of
the Work and related Project Standards, criteria, conditions, procedures, specifications and

other provisions for the Project and/or the Utility Relocations, as such provisions may be
changed, added to, deleted or replaced pursuant to a Change Order.
Project Site means Project Right –of Way and any temporary rights or interests that the
Contractor may acquire in connection with the Project or the Utility Relocations included in the
Construction Work.
Project Standards means the standards, manuals and guidelines listed in Table 1-1 of Exhibit
E (Technical Requirements), as may be amended in the Project Scope.
Proof-of-Concept means the action to be undertaken by the Contractor during Sub-Phase 1A

to validate the Base Design or otherwise amend the Base Design to establish a concept for the
Project that is acceptable to the Department, is constructable and feasible and achieves the
Department’s goals and objectives as set forth in Section 1.1 (Project Goals) of Exhibit E
(Technical Requirements).
Proof-of-Concept Phase means Sub-Phase 1A.
Proposal has the meaning assigned in the ITO.
Proposal Due Date means the deadline (date and time) for submission of Proposals identified
in ITO Section 1.4 (Procurement Schedule).
Provisional Risk - A risk identified as a Provisional Risk in the Risk Register.
Provisional Sum - A fixed sum for a specific line item of Work that is included as an allowance
amount in a Phase Change Order upon agreement by the Contractor and the Department.
Provisional Sums may be used in instances when the actual price or quantity for such item of
work is unknown at the time of agreement on Phase Change Order. Where agreed as reflected
in the Risk Register, Provisional Sums may include a designation of unit pricing and the
estimated number of units making up the Provisional Sums.
Quality Assurance (QA) means all planned and systematic activities implemented to provide
confidence that the Work complies with the requirements of the Contract Documents.
Quality Assurance Plan means the Contractor’s plan for providing Quality Assurance,
prepared in accordance with the Project Scope.
Quality Check Point (QCP) has the meaning given to such term in the Project Scope.
Quality Control means all activities and techniques performed at the production level in order
to meet Contract requirements.
Quality Management System Plan (QMSP) means a plan which describes the quality program
for the Design Work, the Construction Work, and how the design and construction activities
performed by different entities will be coordinated to ensure consistency of quality, prepared in
accordance with the Project Scope.
Railroad means, depending on the context, either the right-of-way, tracks, and systems used
for rail traffic in the vicinity of the Project, or the owners and/or operators of such rail systems.

Railroad Agreement means each of the agreements between the Department and the
Railroads described at Section 7.4 (Railroad Agreements) of the PDBC and Section 10.2
(Railroad Agreement) of Exhibit E (Technical Requirements) as may be amended in the Project
Scope.
Railroad Coordination and Management Plan means the plan to be prepared by the
Contractor for railroad coordination as defined in Section 10 (Railroads) of Exhibit E (Technical
Requirements).
Reasonably Close Conformity means compliance with reasonable and customary

manufacturing and construction tolerances where working tolerances are not specified. Where
working tolerances are specified, reasonably close conformity means compliance with such
working tolerances. Without detracting from the complete and absolute discretion of the
Department to insist upon such tolerances as establishing reasonably close conformity, the
Department may accept variations beyond such tolerances as reasonably close conformity
where they will not materially affect the value or utility of the Work and the interests of the
Department.
Records includes any document, device, or item, regardless of physical form or characteristic,
including an electronic record as defined in Section 1306.01 of the Ohio Revised Code, created
or received by the Contractor in the performance of the Phase 1 Work.
Recovery Schedule has the meaning assigned in Exhibit T (Critical Path Method Progress
Schedule) Section 1.8 (Recovery Schedule).
Reference Information Documents means documents provided by the Department for

informational purposes only. The Department does not represent, warrant, or guarantee the
accuracy, completeness, or fitness of the Reference Information Documents.
Registered Engineer means a Professional Engineer registered with the Ohio State Board of
Registration for Professional Engineers and Surveyors or the Kentucky Board of Engineers &
Land Surveyors to practice professional engineering in the State of Ohio or Kentucky
respectively.
Registered Surveyor means a surveyor registered with the Ohio State Board of Registration
for Professional Engineers and Surveyors or the Kentucky Board of Engineers & Land
Surveyors to practice professional surveying in the State of Ohio or Kentucky respectively.
Regulated Materials means:
a. Any substance, product, waste or other material of any nature whatsoever that is or
becomes listed, regulated, or addressed pursuant to any Environmental Law;
b. Any substance, product, waste or other material of any nature whatsoever that
exceeds maximum allowable concentrations for elemental metals, organic compounds
or inorganic compounds, as defined by any Environmental Law;
c. Any substance, product, waste or other material of any nature whatsoever which may
give rise to liability under clause (b) or under any statutory or common law theory
based on negligence, trespass, intentional tort, nuisance or strict liability or under any
reported decisions of a state or federal court;

d. Petroleum hydrocarbons excluding petroleum hydrocarbon products contained within

regularly operated motor vehicles;
e. Asbestos or asbestos-containing materials in Structures and/or other improvements
on or in the Site (other than mineral asbestos naturally occurring in the ground); and
f. lead or lead-containing materials in Structures and/or other improvements on or in the
Site.
The term “Regulated Materials” includes Hazardous Waste.
Regulated Materials Management means procedures, practices and activities to address and
comply with environmental laws and environmental approvals with respect to Regulated
Materials encountered, impacted, disturbed, released, caused by or occurring in connection with
the Project, Right-of-Way or the Work, as well as investigation, characterization and remediation
of such Regulated Materials. Regulated Materials Management may include sampling, handling,
stockpiling, storing, backfilling in place, asphalt batching, recycling, dewatering, treating,
cleaning up, excavating, removing, remediating, transporting and/or disposing off-site of
Regulated Materials and otherwise managing Regulated Materials, whichever approach is
effective, most cost-efficient and authorized under applicable Law.
Regulated Materials Management Plan (RMMP) means the Contractor’s plan for Regulated
Materials Management as described in Section 7.4 (Regulated Materials) of Exhibit E (Technical
Requirements) as may be amended in the Project Scope.
Released for Construction Plans means Design Documents that have been thoroughly
checked, reviewed and sealed in accordance with the Phase 2 Project Scope and adequately
describe the Construction Work required.
Relocation or Relocate means, as related to Utilities, each removal, abandonment, transfer of

location and/or Protection of Existing Utilities (including provision of temporary services as
necessary) of any and all Utilities that is necessary or advisable in order to accommodate or
permit construction of the Project.
Request for Change Order or RCO means a Contractor initiated request for a Change Order
pursuant to Section 12 (Contract Changes) and/or Section 13 (Time Extension To The
Completion Deadlines And Payment For Excusable Delays) of the PDBC.
Request for Proposals (RFP) Documents means the set of documents identifying the Project
and the Work to be performed and Materials to be furnished in response to which a Proposal
may be submitted by an Offeror. The RFP includes the Instructions to Offerors (ITO) and this
PDBC Contract.
Right-of-Way means a general term denoting land, property, or interest therein, usually in a
strip, acquired for or devoted to a highway.
Risk Management Plan means the Contractor’s plan for risk management for its performance
of the Phase 1 Work and the Phase 2 Work and for the Project risks owned by and allocated to,
the Contractor through the Risk Register.
Risk Register means a register incorporating a listing of risks for the Project (whether or not
allocated to the Department or the Contractor), assessments of those risks (including cost and

schedule impacts associated with the risks), an evaluation of mitigation; and allocation of
responsibility for those risks.
Road means a general term denoting a public way for purposes of vehicular travel, including the
entire area within the Right-of-Way, as defined in ORC 5501.01.
Roadway means the portion of a highway within limits of construction.
Schedule means a time-phased, resource-loaded, execution plan identifying all activities

necessary to complete the Work in a logical manner in a format, which shall provide the start
and completion date of each activity and the Milestones.
Schedule of Values (SOV) means a breakdown of the Lump Sum or GMP, as applicable, into
items of work, showing estimated quantities of Work in sufficient detail to determine testing and
Material reporting requirements per ODOT Standards and Specifications or KYTC Standards
and Specifications, as appropriate.
Service Line means (a) a Utility line, the function of which is to directly connect the
improvements on an individual property to another Utility line located off such property, which
other Utility line connects more than one such individual line to a larger system, or (b) any cable
or conduit that supplies an active feed from a Utility Owner’s facilities to activate or energize the
Department’s or a local agency’s lighting and electrical systems, traffic control systems,
communications systems and/or irrigation systems.
Signatures on Contract Documents means all signatures on Contract Documents must meet
the requirements of ODOT C&MS Section 102.06.
Signed and Sealed means the signature and seal of a licensed professional engineer on a
document indicating that the licensee takes professional responsibility for the work and, to the
best of the licensee’s knowledge and ability, the work represented in the document is accurate,
in conformance with applicable codes at the time of submission and has been prepared in
conformity with normal and customary standards of practice and with a view to the safeguarding
of life, health, property and public welfare. The licensed professional engineer certifies that the
documents have been signed and sealed in accordance with laws, rules and regulations of the
State of Ohio.
Special Provisions means additions and revisions to the Standard Specifications and
Supplemental Specifications covering conditions peculiar to the Project.
Specifications means the directions, provisions, and requirements contained herein as

supplemented by the Supplemental Specifications and Special Provisions.
Spill Prevention Control and Countermeasures Plan or SPCC means a plan prepared by the
Contractor in accordance with the Project Scope that provides specific guidance for managing,
handling, and disposing of Regulated Materials (and all related Regulated Materials issues) that
may be encountered. The SPPC will also protect the health and safety of all on-site personnel
and the general public.
State Highway Engineer means, when referenced in KYTC specifications, the State Highway
Engineer of KYTC.

Standard of Care means the standard of care applicable to all of the Work performed under the
PDBC as defined in Section 1.7.
Standards Deviation means the Contractor requests a deviation from the Project Standards
[Governing Regulations]. The Submittal of a Standards Deviation is described in Section 1.3
(Standard Deviation Submittal Requirements) of Exhibit E (Technical Requirements) as may be
amended in the Project Scope.
State refers to the State of Ohio. or the Commonwealth , as applicable, represented by the
Director of Transportation, Secretary of the Cabinet or authorized designee.
State Cost Estimator (SCE) means the estimator appointed by the Department to develop an
engineer’s estimate prior to final pricing agreement in accordance with ORC 557.01 (State Cost
Estimator).
Storm Water Pollution Prevention Plan or SWPPP means the Contractor’s plan to address
erosion and sediment control for the Project, prepared in accordance with Section 1.2
(Governing Regulations) of Exhibit E (Technical Requirements) as may be amended in the
Project Scope.
Structures means Bridges, culverts, catch basins, drop inlets, retaining walls, cribbing,
manholes, endwalls, buildings, sewers, service pipes, underdrains, foundation drains, and other
features that may be encountered in the Work and not otherwise classed herein.
Sub-Phase 1A or Proof-of-Concept Phase has the meaning set forth in Section 2

(Progressive Design-Build Approach) of the PDBC.
Sub-Phase 1A Project Scope means the Project Scope governing the Sub-Phase 1A Work
which will be agreed between the Parties as described in Section 2.3.1 (Pre-Sub-Phase 1A
Work) of the PDBC.
Sub-Phase 1A Proposal has the meaning set forth in Section 2.3.1 (Pre-Sub-Phase 1A Work)
of the PDBC.
Sub-Phase 1A Work means the Work to be delivered by the Contractor during Sub-Phase 1A.
Sub-Phase 1B or the Project Development Phase has the meaning set forth Section 2
(Progressive Design-Build Approach) of the PDBC.
Sub-Phase 1B Change Order means the Change Order to incorporate the Sub-Phase 1B
Work that may be issued by the Department as further described in Section 2.3.2.1 (Sub-Phase
1B: Proposal) of the PDBC.
Sub-Phase 1B Project Scope means the Project Scope governing the Sub-Phase 1B Work
which will be agreed between the Parties during Sub-Phase 1A.
Sub-Phase 1B Proposal has the meaning set forth in Section 2.3.2.1 (Sub-Phase 1B:
Proposal) of the PDBC.
Sub-Phase 1B Proposal Due Date has the meaning set forth in Exhibit B (Contract
Particulars).
Sub-Phase 1B Work means the Work to be delivered by the Contractor during Sub-Phase 1B.

Subconsultant means any person or organization to whom the Designer or Contractor has
sublet or assigned any portion of its contractual obligations for the development of Design
Documents. Any such Subconsultant must hold a Certificate of Authorization from the Ohio
State Board of Registration for Professional Engineers and has fulfilled the Prequalification
requirements under ORC 5526.04.
Subcontract means the contract between the Contractor and a Subcontractor or

Subconsultant.
Subcontractor means an individual, firm, or corporation to whom the Contractor sublets part of
the Phase 1 Work or Phase 2 Work, and who is qualified under ORC 5525.02 through 5525.09
inclusive.
Subcontractor Bidding and Selection Plan means the plan prepared by the Contractor and
submitted to the Department for review and approval, defining the Contractor's approach to
subcontracting, and selecting contractors to perform that part of the Work that will not be self-
performed, that is compliant with Section 8 (Subcontracting Requirements) of the PDBC.
Submittal means all documents, data, materials, information, studies, reports, survey data,
proposals, plans, drawings, computations, specifications, estimates, codes, scientific
information, technological information, regulations, maps, Equipment, charts, schedules,
photography, exhibits, software, software source code, and documentation prepared or
developed or created or discovered for the benefit of the Department under or in connection
with the Work.
Substantial Completion means satisfaction of all the conditions as set forth in Section 5.14.2
(Final Inspection and Substantial Completion) of the PDBC, as and when confirmed by the
Department’s issuance of a certificate in accordance with the procedures and within the time
frame established in the PDBC.
Substantial Completion Date means the date that Substantial Completion has been achieved
for the entire Project.
Substantial Completion Deadline means the date shown in the Phase 2 Change Order on
which Substantial Completion is scheduled to be achieved as such date may be extended in
accordance with the Contract Documents.
Superpave Mix Design Technologist (SMDT) means an inspector qualified by the KYTC to
submit, adjust, or approve asphalt mix designs as applicable to KYTC specifications.
Superpave Plant Technologist (SPT) means an inspector qualified by the KYTC to perform
routine inspection and process control, acceptance, or verification testing on asphalt mixtures as
applicable to KYTC specifications.
Supplement means a list of requirements for fabrication plants, methods of test, or other
miscellaneous requirements that are maintained on file by the Department.
Supplemental Agreement means a written agreement executed by the Contractor and by the
Department covering necessary alterations to the PDBC.
Supplemental Environmental Assessment (EA) has the meaning assigned in Section 7

(Environmental) of Exhibit E (Technical Requirements).

Supplemental Specifications means detailed specifications supplemental to or superseding

the Specifications.
Supplier means any Person not performing work at or on the Site which supplies machinery,
Equipment, Materials, hardware, software, systems or any other appurtenance to the Project to
the Contractor or any Subcontractor in connection with the performance of the Work. Persons
who merely transport, pick up, deliver or carry materials, personnel, parts or Equipment or any
other items or persons to or from the Site shall not be deemed to be performing Work at the
Site.
Surety means the corporation, partnership, or individual, other than the Contractor, executing a
bond furnished by the Contractor.
Technical Proposal means the technical proposal submitted by an Offeror providing the
information requested in ITO Section 6.8 (Technical Proposal).
Technical Requirements means Exhibit E (Technical Requirements), as such Technical

Requirements are revised, amended and restated and set forth in an applicable Change Order.
Term means the period identified in Section 1.5 (Term) of the PDBC.
Total Float means the amount of time that any given activity or logically connected sequence of
activities shown on the Project Schedule may be delayed before it delays occurrence of either
the Substantial Completion Date or the Completion of the Contract Date. Such Total Float is
generally identified as the difference between the early start date and late start date or early
completion date and late completion date for each of the activities shown on the Project
Schedule.
Traffic Management Plan means the Contractor’s plan for temporary traffic control prepared in
accordance with Section 21 (Maintenance of Traffic) of Exhibit E (Technical Requirements) and
providing information to the public on traffic information and access pursuant to Section 21
(Maintenance of Traffic) of Exhibit E (Technical Requirements) as may be amended in the
Project Scope.
User(s) means the registered owner of a vehicle traveling on the Project of any portion thereof.
Utility or utility means and includes poles, plants, lines, trenches, bridges, tunnels, pipelines,
and any other system for furnishing, producing, generating, transmitting or distributing power,
electricity, communications, telecommunications, water, gas, oil, petroleum products, coal or
other mineral slurry, steam, heat, light, chemicals, air, sewage, drainage not connected with a
highway drainage system, irrigation, or another substance. The term “utility” also includes a
system for furnishing transportation of goods or persons by means of railway, tramway,
cableway, conveyor, flume, canal, tunnel, pipeline, or a similar means. The term “Utility” or
“utility” excludes (a) storm water facilities providing drainage for the Project Right of Way, (b)
street lights and traffic signals and (c) ITS (intelligent transportation systems) and IVHS
(intelligent vehicle highway systems) facilities. The necessary appurtenances to each Utility
Owner Project shall be considered part of such Utility. Without limitation, any Service Line
connecting directly to a Utility shall be considered an appurtenance to that Utility, regardless of
the ownership of such Service Line.

Utility Agreement or Memorandum of Understanding means the agreement prepared by the

Contractor and executed by the Department with a Utility Owner as described in Section 9
(Utilities) of Exhibit E (Technical Requirements) as may be amended in the Project Scope.
Utility Owner means the owner or operator of any Utility (including both privately held and
publicly held entities, cooperative Utilities, and municipalities and other governmental agencies
(including, without limitation, the Department)).
Utility Owner Project means the design and construction by or at the direction of a Utility
Owner (including by the Contractor) of a new Utility other than as part of a Utility Adjustment.
Utility Relocation means each relocation (temporary or permanent), abandonment, protection

in place, removal (of previously abandoned Utilities as well as of newly abandoned Utilities),
replacement, reinstallation, and/or modification of existing Utilities necessary to accommodate
construction, operation, maintenance and/or use of the Project or the Work as described in
Section 9 of Exhibit E (Technical Requirements). The term “Utility Relocation” shall not refer to
any of the work associated with facilities owned by any Railroad. The Utility Relocation Work for
each crossing of the Project Right of Way by a Utility that crosses the Project Right of Way more
than once shall be considered a separate Utility Relocation. For any Utility installed
longitudinally within the Project Right of Way, the Utility Relocation Work for each continuous
segment of that Utility located within the Project Right of Way shall be considered a separate
Utility Relocation.
Utility Relocation Work means (a) the work associated with Utility Relocation, including the
coordination, design, design review, permitting, construction, inspection, maintenance of
records, installation, manufacture, supply, testing inspection, adjustments (including all
appurtenances), and otherwise required by the Contract Documents, including all labor,
Materials, Equipment supplies, utilities and subcontracted services provided or to be provided
by the Contractor and/or the Utility Owners; and (b) any reimbursement of Utility Owners that is
the Contractor’s responsibility pursuant to Section 7 (Utilities and Railroads) of the PDBC.
Warranty means any warranty made by the Contractor in Section 22 (Project Warranties).
Warranty Work means Work performed by the Contractor to rectify a warranty defect.
Weather Day has the meaning set forth in Section 15 (Weather) of the PDBC.
Weather Delay Schedule has the meaning assigned in Exhibit T (Critical Path Method
Progress Schedule) Section 1.8 (Weather Delay Schedules).
Work means the entire completed design and construction of the various separately identifiable
parts thereof required to be performed or furnished under the Contract Documents that
comprise the Project or any portion thereof. Work includes and is the result of performing or
furnishing Professional Services and construction required by the Contract Documents and
includes the Phase 1 Work, any Early Work and the Phase 2 Work. Work includes Utility
Relocation Work and Warranty Work.
Work Breakdown Level or Level 3 means a schedule level that includes each Buildable Unit
as further described in Exhibit T (Critical Path Method Progress Schedule).
Work Element Level or Level 4 means a schedule level that includes each element of the
Work as further described in Exhibit T (Critical Path Method Progress).

Work Limits means the extreme limits of the Contractor’s responsibility on the Project,
including all temporary and incidental construction, with the exception of work zone traffic
control devices required for maintenance of traffic.
Workday means a calendar day that the Contractor normally works.
Work Package means the package attached to the applicable Change Order, following
acceptance by the Department of a Proposal, defining the Work and any changes to the
Contract Documents necessary to define the responsibilities of the Parties. A Work Package
may be the Sub-Phase 1A Work Package, the Sub-Phase 1B Work Package, an Early Work
Package or the package attached to the Phase 2 Change Order .
Work Package Proposal means a proposal prepared by the Contractor in a form approved by
the Department containing the Contractor’s Price Proposal, proposed scope of Work and other
matters as may be directed by the Department. A Work Package Proposal may be any of the
Sub-Phase 1A Proposal, the Sub-Phase 1B Proposal, an Early Work Proposal or the Phase 2
Proposal as further described in Section 2 (Progressive Design Build Approach) of the PDBC.
Working Day means any day that is not a Saturday, Sunday or other day on which (a) the
Department is officially closed for business, (b) banks located in New York City are required or
authorized by Law or executed order to close, or (c) the New York Stock Exchange is closed.
Work Breakdown Level means a hierarchical and organizational level that breaks the Design
and Construction Work into discrete elements, as described in Exhibit T (Critical Path Method
Progress Schedule). Each descending WBS level represents an increasingly detailed
description of elements comprising the Work with a clearly identifiable linkage between the
Work Breakdown Level and Project Schedule activities.
Working Drawings means Contractor submitted Design Document drawings for Work, not
otherwise defined in the Contract Documents, and requiring Department acceptance. Examples
of Working Drawings include Engineered Drawings, installation plans, certified drawings, and
any other supplementary plans or similar data that the Contractor is required to submit for
acceptance.
Worksite Traffic Supervisor (WTS) means the staff member or members employed and
identified by the Contractor that is a staff member other than the superintendent to implement
the Traffic Management Plan, monitor the safety and mobility of the entire work zone, and
correcting Temporary Traffic Control (TTC) deficiencies for the entire work zone.

EXHIBIT E
TECHNICAL REQUIREMENTS
FEBRUARY 17, 2023

February 17, 2023 TECHNICAL REQUIREMENTS
TABLE OF CONTENTS
1. GENERAL ....................................................................................................................................... 1
1.1 Project Goals ............................................................................................................................... 2
1.2 Governing Regulations ................................................................................................................ 3
1.3 Standards Deviation Submittal Requirements .............................................................................. 9
1.4 Design Criteria ........................................................................................................................... 10
1.5 Airway/Highway Clearance for Airports and Heliports ................................................................ 12
1.6 Compatibility Requirement ......................................................................................................... 12
1.7 Video Monitoring........................................................................................................................ 12
1.8 Naming Conventions ................................................................................................................. 13
1.9 Drawing Format ......................................................................................................................... 13
2. PROJECT MANAGEMENT ........................................................................................................... 14

2.1 DBT Project Management Plan ................................................................................................. 14
2.2 Project Meetings ........................................................................................................................ 27
2.3 Design Submittals...................................................................................................................... 29
2.4 Submittals.................................................................................................................................. 36
3. QUALITY MANAGEMENT ............................................................................................................ 38

3.1 General...................................................................................................................................... 38
3.2 Quality Management System Plan ............................................................................................. 38
3.3 Design Quality Management Plan.............................................................................................. 39
3.4 DBT Independent Design Quality Firm (IDQF) ........................................................................... 40
3.5 DBT Lead Independent Companion Bridge Engineer ................................................................ 40
3.6 Early Work Packages and Phase 2 Construction Quality Management ..................................... 41
3.7 Nonconforming Work ................................................................................................................. 42
3.8 Allocation of Quality Management Responsibilities .................................................................... 45
3.9 Submittals.................................................................................................................................. 47
4. CO-LOCATION FACILITIES FOR CONTRACTOR AND DEPARTMENT FORCES ..................... 49

4.1 Project Management Office ....................................................................................................... 49
4.2 Copier, Printer, and Scanning System Specifications ................................................................ 53
5. DIVERSITY, INCLUSION, AND OUTREACH ................................................................................ 55

5.1 DBE Performance Plan.............................................................................................................. 55
5.2 DBE Goal Attainment and Tracking Plan ................................................................................... 56

5.3 DBE Outreach Plan ................................................................................................................... 57

5.4 DBE Development Plan ............................................................................................................. 57
5.5 Compliance Plan ....................................................................................................................... 58
5.6 On the Job Training Performance Plan ...................................................................................... 59
5.7 Workforce Development Plan .................................................................................................... 59
5.8 Community Engagement Plan ................................................................................................... 60
5.9 Submittals.................................................................................................................................. 60
6. PUBLIC INFORMATION AND COMMUNICATIONS ..................................................................... 61
7. ENVIRONMENTAL ........................................................................................................................ 62
7.1 Environmental Commitments ..................................................................................................... 62
7.2 Permitting .................................................................................................................................. 62
7.3 Mussel Relocation ..................................................................................................................... 63
7.4 Regulated Materials ................................................................................................................... 63
7.5 Cultural Resources .................................................................................................................... 64
7.6 Noise ......................................................................................................................................... 64
7.7 Submittals.................................................................................................................................. 65
8. PROJECT DATUM, SURVEY CONTROL, AND MAPPING .......................................................... 66

8.1 General...................................................................................................................................... 66
8.2 Surveying Responsibilities and Standards ................................................................................. 66
8.3 Existing Survey Information ....................................................................................................... 67
8.4 Design and Preconstruction Survey ........................................................................................... 67
8.5 Submittals.................................................................................................................................. 68
9. UTILITIES ...................................................................................................................................... 69
9.1 General Utilities ......................................................................................................................... 69
9.2 Administrative Requirements ..................................................................................................... 70
9.3 Contractor Responsibilities in Ohio ............................................................................................ 71
9.4 Contractor Responsibilities in Kentucky ..................................................................................... 78
9.5 Utility Adjustment and Relocation Team .................................................................................... 80
9.6 Protection of Utilities .................................................................................................................. 81
9.7 Acquisition of Replacement Utility Property Interests ................................................................. 81
9.8 Submittals.................................................................................................................................. 82
10. RAILROADS ................................................................................................................................. 83

10.1 Railroad Design Standards ........................................................................................................ 83

10.2 Railroad Agreement ................................................................................................................... 83

10.3 Design Criteria in Railroad Right-of-Way ................................................................................... 84
10.4 Coordinating Design and Project Work Affecting Railroad Operations ....................................... 86
10.5 Submittals.................................................................................................................................. 87
11. RIGHT-OF-WAY ............................................................................................................................ 89

11.1 General Right-of-Way ................................................................................................................ 89
11.2 Additional Property Request Requirements ............................................................................... 90
11.3 ODOT Software Requirements for Right-of-Way by the Contractor ........................................... 91
11.4 KYTC Software Requirements for Right-of-Way by the Contractor ............................................ 91
11.5 Submittals.................................................................................................................................. 91
12. GEOTECHNICAL .......................................................................................................................... 92

12.1 General...................................................................................................................................... 92
12.2 Administrative Requirements ..................................................................................................... 92
12.3 Design Requirements ................................................................................................................ 94
12.4 Submittals................................................................................................................................ 101
13. BUILDING DEMOLITION AND RECONSTRUCTION ................................................................. 103

13.1 Building Demolition and Removal Plan .................................................................................... 103
13.2 Demolition Requirements ........................................................................................................ 103
13.3 Longworth Hall Demolition and Reconstruction........................................................................ 105
13.4 Submittals................................................................................................................................ 107
14. PAVEMENTS............................................................................................................................... 109

14.1 Ohio Pavement Requirements ................................................................................................. 109
14.2 Kentucky Pavement Requirements .......................................................................................... 109
14.3 Private Parking Areas and Driveways ...................................................................................... 110
15. ROADWAY .................................................................................................................................. 111

15.1 Submittals................................................................................................................................ 112
16. DRAINAGE.................................................................................................................................. 113

16.1 General.................................................................................................................................... 113
16.2 Performance Requirements ..................................................................................................... 113
16.3 Design Requirements .............................................................................................................. 114
16.4 Culverts ................................................................................................................................... 115
16.5 Detention Facilities .................................................................................................................. 115
16.6 Ohio General BMP Requirements............................................................................................ 115

16.7 Kentucky General BMP Requirements .................................................................................... 116

16.8 Utilities ..................................................................................................................................... 116
16.9 Temporary Erosion and Sediment Control................................................................................ 116
16.10 Abandonment and Removal of Existing Drainage Structures.................................................... 116
16.11 Bridge Deck Drainage .............................................................................................................. 116
16.12 Flood Protection Systems ........................................................................................................ 117
16.13 Drainage Areas........................................................................................................................ 117
16.14 Downstream Analysis............................................................................................................... 117
16.15 Maintenance Access ................................................................................................................ 117
16.16 Bridge Hydraulics .................................................................................................................... 118
16.17 Drainage Report ...................................................................................................................... 118
16.18 Drainage Submittals ................................................................................................................ 119
17. SANITARY AND COMBINED SEWERS ..................................................................................... 120

17.1 Sanitary & Combined Sewers .................................................................................................. 120
17.2 Willow Run Combined Sanitary/Storm Sewer .......................................................................... 120
17.3 Base Design ............................................................................................................................ 120
17.4 KYTC Pump Station................................................................................................................. 121
17.5 Submittals................................................................................................................................ 121
18. STRUCTURES ............................................................................................................................ 123

18.1 General.................................................................................................................................... 123
18.2 Administrative Requirements ................................................................................................... 123
18.3 Design Requirements .............................................................................................................. 124
18.4 Submittals................................................................................................................................ 142
19. AESTHETICS AND ENHANCEMENTS ....................................................................................... 144
20. TRAFFIC CONTROL ................................................................................................................... 145

20.1 Pavement Markings and Delineators ....................................................................................... 145
20.2 Signing .................................................................................................................................... 145
20.3 Traffic Signals .......................................................................................................................... 145
20.4 Lighting .................................................................................................................................... 146
20.5 Intelligent Transportation System (ITS) .................................................................................... 147
20.6 Submittals................................................................................................................................ 148
21. MAINTENANCE OF TRAFFIC .................................................................................................... 150

21.1 General Requirements............................................................................................................. 150

21.2 Provided Information................................................................................................................ 150

21.3 Conceptual MOT Plan and Summary Report ........................................................................... 150
21.4 Submittals................................................................................................................................ 152
LIST OF TABLES
Table 1-1: Standards and References ................................................................................................... 4
Table 1-2: Design Designation, Design Criteria and Maintaining Agencies .......................................... 11
Table 2-1: DBT PMP Component Management Plans ......................................................................... 26
Table 2-2: Submittal Durations and Print Requirements for Sub-Phase 1A Base Design Reviews ...... 31
Table 2-3: Submittal Durations and Print Requirements for Sub-Phase 1B and Phase 2 Reviews....... 33
Table 2-4: Submittal Durations and Print Requirements for RFC Submittals ........................................ 34
Table 2-5: Project Management Submittals Table................................................................................ 37
Table 3-1: Quality Management Submittals Table................................................................................ 48
Table 7-1: Environmental Submittals Table.......................................................................................... 65
Table 8-1: Survey and Mapping Submittals Table ................................................................................ 68
Table 9-1: Utilities Submittals Table ..................................................................................................... 82
Table 10-1: Railroads Submittals Table ............................................................................................... 88
Table 11-1: Right of Way Submittals Table .......................................................................................... 91
Table 12-1: Geotechnical Submittals Table........................................................................................ 102
Table 13-1: Building Demolition and Reconstruction Submittals Table ............................................... 108
Table 16-1: Drainage Submittals Table .............................................................................................. 119
Table 17-1: Sanitary and Combined Sewers Submittals Table........................................................... 122
Table 18-1: Existing Ohio Bridges ...................................................................................................... 127
Table 18-2: Proposed Ohio Bridges ................................................................................................... 129
Table 18-3: Existing Kentucky Bridges............................................................................................... 136
Table 18-4 Proposed Kentucky Bridges ............................................................................................. 137
Table 18-5: Structures Submittals Table ............................................................................................ 143
BRENT SPENCE BRIDGE CORRIDOR v

Table 19-1: Aesthetic Submittals Table .............................................................................................. 144
Table 20-1:Traffic Control Submittals Table ....................................................................................... 149
Table 21-1: Maintenance of Traffic Submittals Table ......................................................................... 152
LIST OF FIGURES
Figure 1-1: Brent Spence Bridge Corridor Implementation Phasing ....................................................... 1
Figure 9-1: Utility Flowchart – New and Relocated Facilities ................................................................ 72
Figure 9-2: Utility Flowchart – New and Relocated Public Facilities ..................................................... 73
Figure 9-3: Utility Flowchart – New and Relocated Private Facilities .................................................... 74
BRENT SPENCE BRIDGE CORRIDOR vi

1. GENERAL
The Brent Spence Bridge (BSB) corridor consists of 7.8 total miles of I-71 and I-75 located within
portions of Ohio and Kentucky. This corridor is located within the Greater Cincinnati/Northern Kentucky
region and is a major route for regional and local mobility. Regionally, the BSB carries both I-71 and I-
75 traffic over the Ohio River and connects to I-74, I-275, and US-50. The corridor is also one of the
busiest trucking routes in the United States, connecting Michigan to Florida via I-75. The BSB corridor
also facilitates local travel by providing access to downtown Cincinnati in Hamilton County, Ohio and
Covington in Kenton County, Kentucky.
The Brent Spence Bridge (BSB) corridor was split into three phases as depicted in Figure 1-1 (Brent
Spence Bridge Corridor Implementation Phasing) below. The Brent Spence Bridge Corridor Project
(PID 116649) (the Project), or Phase III, will construct approximately five miles of I-71/I-75 in Kentucky
and one mile of I-75 in Ohio and a new Companion Bridge over the Ohio River just to the west of the
existing Brent Spence Bridge and rehabilitate the existing Brent Spence Bridge. Design of Phase I
(ODOT PID 114161) and Phase II (ODOT PID 113361) are occurring under separate contracts.
Figure 1-1: Brent Spence Bridge Corridor Implementation Phasing

The Project will:

A. Reconstruct and widen approximately six miles of I-71/I-75 and reconfigure interchanges from
south of the Dixie Highway interchange in Kentucky to Linn Street in Ohio (approximately 5
miles in Kentucky and 1 mile in Ohio);
B. Build a new northbound I-75 exit at Ezzard Charles Drive;
C. Rehabilitate and reconfigure the existing double decker BSB to reduce the number of lanes on
each deck from four to three and increase inside and outside shoulder widths;
D. Construct a double decker Companion Bridge with five lanes on each deck west of the existing
BSB;
E. Extend northbound frontage roads connecting West 5th Street and Pike Street in Kentucky;
F. Extend southbound frontage roads connecting West 4th Street and Pike Street in Kentucky;
G. Construct a collector-distributor system to connect I-71/I-75 traffic to and from the local street
network between West 12th Street in Kentucky and Ezzard Charles Drive in Ohio; and
H. Construct a collector-distributor system between Dixie Highway and Kyles Lane in Kentucky to
reduce weaving movements on I-75.
Through value engineering workshops and continued studies, the Department is moving forward with
Concept I-W as the Conceptual Design for the Project. Reference Information Documents (RID) provide
additional information regarding Concept I-W and are identified throughout these Technical
Requirements. The Contractor shall use LD-07 (Concept I-W Corridor Exhibit) as a basis for the
development and validation of the Base Design. Additional geometric modifications and Alternative
Technical Concepts that meet project goals, environmental commitments, and local government
expectations can be evaluated during Sub-Phase 1A. Limits for the entire BSB corridor are shown in
the RIDs. The Project Limits encompass Phase III only, as graphically depicted in Figure 1-1 (Brent
Spence Bridge Corridor Implementation Phasing).
1.1 Project Goals

1.1.1 Primary Goals
The primary goals identified as part of the Brent Spence Bridge Corridor NEPA decision are the
following:
A. Improve traffic flow and level of service;
B. Improve safety;
C. Correct geometric deficiencies; and
D. Maintain connections to key regional and national transportation corridors.
1.1.2 Contract Objectives
To meet the primary goals for the Project, the Department has established the following specific
contract objectives:
A. Maximize the Project scope within the programmed funding amounts through innovation, design
optimization and effective risk mitigation;

B. Build the Project with a context sensitive design that fits within the community;
C. Maximize the public investment in the Project by minimizing the footprint;
D. Minimize the footprint of the interstate system to maximize potential developable space;
E. Improve neighborhood connectivity across the interstate;
F. Minimize traffic disruption during construction, with minimal detours or diversion of traffic to local
streets;
G. Provide opportunities for Workforce Development and DBE utilization;
H. Provide strong aesthetic value along the Project corridor;
I. Achieve effective project delivery;
J. Minimize physical intrusion and impact;
K. Create best environmental outcomes;
L. Design for sustained quality of life;
M. Improve the local road aesthetics when crossing the interstate; and
N. Open the new Companion Bridge to traffic by July 15, 2029.
1.2 Governing Regulations

It is the responsibility of Contractor to acquire and utilize the appropriate manuals related to the Design
and Construction Work required to complete the Project. A list of Project Standards is provided in Table
1-1 (Standards and References) for the convenience of Contractor, however, the provision of such a list
does not relieve the Contractor from acquiring and utilizing the appropriate manuals. The Contractor
shall maintain with the DBT Project Management Plan (DBT PMP) a current listing of the Project
Standards. Project Standards are unique depending on the location of the work. Work in Ohio shall
conform to ODOT standards and specifications, and Kentucky work starting at the northern approach of
the Companion Bridge shall conform with KYTC standards and specifications. More specifically, the
forward abutment backwall, substructure unit, and expansion joint of the Companion Bridge just to the
north side of the Ohio River in Cincinnati, Ohio shall conform to the KYTC standards. The approach
slab and all other work north of the expansion joint shall conform to ODOT standards and
specifications. Any ground improvements on the north side of the Ohio River such as paving, curb,
sidewalk, drainage, etc. shall be per ODOT standards and specifications. In some instances, only
specific sections of the referenced standard apply, as specified in these Technical Requirements. The
Progressive Design-Build Contract (PDBC) Section 1 (Contract Documents and Interpretation) provides
requirements regarding irreconcilable conflicts, ambiguities, or inconsistencies among the Project
Standards.
Contractor shall perform the Work in accordance with the most current version of each Project
Standard or reference listed in Table 1-1 (Standards and References) at the time Notice to Proceed is
given for Sub-Phase 1A.
Any standards, manuals and guidelines that are not included within the definition of Governing
Regulations shall subject to the Department’s approval prior to use. Any manuals or documents other
than those reflected herein or in the PDBC require Department approval before use in the Work. The

Contractor shall obtain advance prior written approval from Department, for any Standards Deviation
from the Governing Regulations, in addition to complying with all requirements regarding requested
Standards Deviations set forth in Section 1.3 (Standards Deviation Submittal Requirements).
Table 1-1: Standards and References
Author/Agency Title
Ohio
ODOT Location & Design Manual (Vol. 1-3)
ODOT Special Provisions and Proposal Notes to be selected/provided by ODOT
ODOT Standard Construction Drawings: Hydraulic, Pavement, Roadway, Structural, Traffic
ODOT Plan Insert Sheets: Hydraulic, Roadway, Structural, Traffic
ODOT Guidelines for Electronic Deliverables
ODOT Bridge Design Manual
ODOT Structures Design Data Sheets
ODOT Geotechnical Design Manual
ODOT Pavement Design Manual
ODOT Ohio Manual on Uniform Traffic Control Devices (OMUTCD)
ODOT Sign Designs and Markings Manual (SDMM)
ODOT Sign Design Reference Packet (SDRP)
ODOT Lighting Design Reference Packet (LDRP)
ODOT Signal Design Reference Packet (SDRP)
ODOT Traffic Engineering Manual
ODOT Permitted Lane Closure Schedule (PLCS)
ODOT Construction and Material Specifications
ODOT Supplemental Specifications for Construction and Material Specifications
ODOT State Highway Access Management Manual
ODOT Manual for Administration of Contracts for Professional Services
ODOT CADD Engineering Standards Manual
ODOT Waterway Permit Manual
ODOT Survey and Mapping Specifications
ODOT Project Development Process (PDP) Manual

Author/Agency Title
ODOT Real Estate Administration Policies and Procedures Manuals
ODOT Multimodal Design Guide

Supplement to State of Ohio Department of Transportation Construction and Material
City of Cincinnati
Specifications
City of Cincinnati Standard Drawings Department of Public Works Division of Engineering
Department of Transportation and Engineering – Subdivision and Development Street
City of Cincinnati
Manual
City of Cincinnati Traffic Safety Handbook (Blue Book)
City of Cincinnati Sidewalk Regulations Book
City of Cincinnati Stormwater Management Rules and Regulations, Stormwater Management Utility (SMU)
City of Cincinnati SMU Design Manual
City of Cincinnati SMU Standard Drawings

Metropolitan Sewer District of Greater Cincinnati Rules and Regulations and Standard
MSDGC
Drawings
MSDGC Capital Project Resource library
Kentucky
KYTC Drainage Manual (KDM)
KYTC Pavement Design Guide
KYTC Standard Specifications for Road and Bridge Construction
KYTC Standard Drawings 2020 (includes Headwall Supplement) and Active Sepias 2020
KYTC Highway Design Guidance Manual (HDGM)
KYTC Special Notes/Special Provisions
KYTC Professional Services Guidance Manual
KYTC Traffic Operations Guidance Manual
KYTC Geotechnical Guidance Manual, exhibits, and any Transmittal Memorandums
KYTC Utilities and Rails Guidance Manual
KYTC Permits Manual
KYTC Aggregate Source Book
KYTC Appraisal Guidelines Manual
KYTC BMP Manual
KYTC CADD Standards

Author/Agency Title
KYTC Construction Guidance Manual
KYTC Construction Procurement Guidance Manual
KYTC Environmental Analysis Guidance Manual
KYTC Kentucky Bridge Inspection Procedures Manual
KYTC Kentucky Product Evaluation List (KyPEL)
KYTC Kentucky Methods Manual
KYTC List of Approved Materials
KYTC Materials Guidance Manual
KYTC Materials Field Sampling & Testing Manual
KYTC Planning Guidance Manual
KYTC Pesticide Guidance Manual
KYTC Precast/Prestressed Concrete Manual
KYTC Relocation Assistance Guidance Manual
KYTC Right of Way Guidance Manual
KYTC Safety and Health Administration Guide

Structural Design Guidance Manual (Interim), exhibits, and any Transmittal
KYTC
Memorandums
KYTC Survey Manual Chapter 300
Survey Manuals – Using State Plane and Project Datum Coordinates, NGS Benchmark
KYTC
Reset Information
KYTC Kentucky Bridge Inspection Procedures Manual
KYTC Traffic Operations Guidance Memos
City of Covington Downtown Streetscape and Public Realm Design Guidelines
Other Governing Agencies
AASHTO T88, T194 and T289
AASHTO A Guide for Transportation Landscape and Environmental Design
AASHTO Guide for the Planning, Design, and Operation of Pedestrian Facilities
AASHTO Guide for the Development of Bicycle Facilities
AASHTO A Guide for Achieving Flexibility in Highway Design
AASHTO A Policy on Geometric Design of Highways and Streets

Author/Agency Title
AASHTO Roadside Design Guide, 4th Edition
AASHTO Highway Safety Design and Operations Guide
AASHTO Roadway Lighting Design Guide

LRFD Specifications for Structural Supports for Highway Signs, Luminaires, and Traffic
AASHTO
Signals.
AASHTO An Informational Guide for Roadway Lighting
Standard Specifications for Transportation Materials and Methods of Sampling and
AASHTO
Testing
AASHTO LRFD Bridge Design Specifications, 9th Edition
AASHTO LRFD Bridge Construction Specifications, 4th Edition
AASHTO Standard Specifications for Highway Bridges, 17th Edition (for checking HS20 load only)
Guide Manual for Condition Evaluation and Load and Resistance Factor (LRFD) Highway
AASHTO
Bridges, 3rd Edition with 2019 interim revisions
Guide Design Specifications for Bridge Temporary Works, 1995 with 2020 interim
AASHTO
revisions
AASHTO Geometric Design of Highways and Streets, 7th Edition
AASHTO A Policy on Design Standards - Interstate System, 2016 Edition
AASHTO Bridge Security Guidelines, 2nd Edition
AASHTO Manual for Assessing Safety Hardware (MASH)
AASHTO/AWS D1.5M/D1.5:2020 Bridge Welding Code, 2010
ACI ACI 207.1 R-96, “Mass Concrete”
ACI ACI 305, R-99, “Hot Weather Concreting”
ACI ACI 306, R-02 “Cold Weather Concreting”
ADA Americans with Disabilities Act Accessibility Guidelines

Tree Care Operations – Tree, Shrub and Other Woody Plant Maintenance – Standard
ANSI A300 (Part 1)
Practices
Tree Care Operations – Tree, Shrub and Other Woody Plant Maintenance – Standard
ANSI A300 (Part 2)
Practices – Part 2 – Fertilization
Tree Care Operations – Tree, Shrub and Other Woody Plant – Standard Practices – Part
ANSI A300 (Part 3)
3 – Tree Support Systems
ANSI Z60.1 American Standard for Nursery Stock
API American Petroleum Institute RP 1102

ASTM C1324 Standard Test Method for Examination and Analysis of Hardened Masonry
ASTM
Mortar
ATSSA Portable Changeable Message Sign (PCMS) Handbook

Author/Agency Title
AREMA AREMA Manual for Railway Engineering
CRSI Concrete Reinforcing Steel Institute Manual of Standard Practice

Public Project Information for Construction and Improvement Projects That May Involve
CSXT
the Railroad
CSXT Standard Specifications for the Design and Construction of Private Sidetracks
CSXT Minimum Safety Requirements for Contractors Working on CSX Property
CSXT CSX Design and Construction Standard Specifications for Pipeline Occupancies
CSXT CSX Standard Clearance Matrix and CSX Clearance Diagram
EPA Environmental Services Handbooks and Guidelines
FAA Advisory Circular 70/7460-1M
FAA Advisory Circular 150/5345-43J
FAA Advisory Circular 150/5345-53D
FHWA FHWA-HI-99-007, Rock Slopes
FHWA FHWA-NHI-01-023, Shallow Foundations

FHWA/NHI 10-016-IF-99-025 Drilled Shafts: Construction Procedures and LRFD Design
FHWA
Methods Manual
Technical Manual for Design and Construction of Road Tunnels – Civil Elements, Report
FHWA
No. FHWA – NHI-10-034
FHWA Program Guide Utility Relocation and Accommodation
FHWA HEC 15 Design of Roadside Channels with Flexible Linings, Third Edition
FHWA HEC 18 Evaluating Scour at Bridges
FHWA HEC 21 Design of Bridge Deck Drainage
FHWA HEC 22 Urban Drainage Design Manual, 3rd Edition
FHWA HEC 23 Bridge Scour and Stream Instability Countermeasures
GLUMRB 10 State Standards
NACTO Urban Street Design Guide
NACTO Global Street Design Guide
NACTO Urban Bikeway Design Guide
NFPA Standard for the Installation of Lightning Protection Systems, NFPA 780
PCI Design Handbook

Author/Agency Title
PCI Bridge Design Manual Volume 1 and 2
PTI Recommendations for Stay-Cable Design, Testing, and Installation
PTI Specification for Multistrand and Grouted Post Tensioning
PTI Specifications for Grouting of PT Structures
TRB Highway Capacity Manual

NCHRP Report 529, Guideline and Recommended Standard for Geofoam Application in
TRB
Highway Embankments
UL Underwriters Laboratories, Inc., Lightning Protection Components, UL 96 and UL 96A
USACE Engineering
Policy and Procedural Guidance for Processing Request to Alter US Army Corps of
Circular EC 1165-2-
Engineers Civil Works Projects Pursuant to 33 USC 408
220
Note – Project Standards may be available at the following locations:
https://www.dot.state.oh.us/drrc/Pages/default.aspx
https://transportation.ky.gov/Organizational-Resources/Pages/Policy-Manuals-Library.aspx
https://www.cincinnati-oh.gov/stormwater/construction-and-design/rules-regulations/
https://www.cincinnati-oh.gov/dote/permits-licenses/dote-resource-center
1.3 Standards Deviation Submittal Requirements

The Contractor must submit Standards Deviation documents for consideration by the Department.
Additionally, the Department may identify, and process Deviations not originated by the Contractor, but
that it believes are of benefit to the Project for incorporation by the Contractor.
The Contractor shall clearly identify each individual portion of the Standards Deviation proposal that is a
proposed change to the Project Standards and the Contract Documents. Submit one electronic copy
(PDF format) of each Standards Deviation to the Department.
Each Standards Deviation submittal must contain and clearly depict the following information applicable
to the Deviation:
A. Description: Provide a detailed description of the Standards Deviation including specifications
and conceptual drawings.
B. Deviation: Reference all the specific section(s) in the Contract Documents which are
inconsistent with the proposed Deviation, provide an explanation of the nature of these
deviations from the referenced section, and a request for approval of such deviations. Provide
proposed language for the referenced section that is in keeping with the Standards Deviation
which can be seamlessly incorporated into the Contract Documents. Seamless incorporation
will be at the determination of the Department.
C. Usage: A description of where and how the Standards Deviation would be used on the Project.
D. Traffic and Safety Impacts: A discussion of the impacts the Standards Deviation will have on
vehicular, pedestrian, and cyclist traffic and safety, including an operational analysis, if relevant.
E. Maintenance of Traffic Impacts: A discussion of the impacts the Standards Deviation will have
on maintenance of traffic during construction.

F. Environmental Impacts: A discussion of how the Standards Deviation is in accordance with the
approved project Environmental Document and will meet environmental commitments and not
cause increased community impacts.
G. ROW Impacts.
H. Utilities: A discussion of utility (public and private) impacts.
I. Maintenance: A discussion of the long-term maintenance impacts of the proposed Deviation.
J. History: A detailed description of other projects on which the proposed Standards Deviation has
been used; including contact information (name, title, phone number, address, and email) for
project owners that can confirm Deviation implementation.
K. Inspection: Any additional testing and inspection requirements during construction and during
the expected life of the installation.
L. Costs: A discussion of cost savings of the proposed Standards Deviation.
1.4 Design Criteria

Contractor and Designer shall develop a Proof-of-Concept that will validate or otherwise amend the
Base Design in accordance with Section 1.2 (Governing Regulations) or an accepted Standards
Deviation in accordance with Section 1.3 (Standards Deviation Submittal Requirements). The specific
design criteria for the Project shall be submitted to the Department for review and approval.
Functional classifications, design speeds, legal speeds, and maintaining agency of roadways that are
designed and constructed as part of this Project or will be crossed by a new bridge or other structure as
part of this Project are provided in Table 1-2 (Design Designation, Design Criteria and Maintaining
Agencies) as a basis for the specific design criteria to be submitted by the Contractor. The specific
design criteria shall follow the standards and specifications set forth in Section 1.2 (Governing
Regulations) unless a design exception is approved by the Federal Highway Administration (FHWA). A
draft version of the LD-10 (Design Exceptions) listing current design exceptions is provided with the
RIDs, see further information regarding design exceptions in Section 15 (Roadway).
The Project design speeds for all facilities shall meet or exceed the minimum design speeds as shown
in Table 1.2. The existing legal/posted speeds are to remain the same on all existing facilities. The
terrain for the project is rolling. A schematic of the design speeds is shown in LD-09 (Concept I-W
Design and Legal Speeds Exhibit (from 12th Street to north end of Project)).
The Contractor shall cause all Design and Construction Work on city streets to comply with the
applicable local agency standards. If the local agency does not have a Standard Construction Drawing,
applicable ODOT or KYTC Standard Construction Drawings shall apply.

Table 1-2: Design Designation, Design Criteria and Maintaining Agencies

Legal/
Design
Functional Posted Maintaining
Roadway Other Designations Speed
Classification Speed Agency
(MPH)
(MPH)
Kentucky
I-71 Urban Interstate 55 55 KYTC
I-75 Urban Interstate 55 55 KYTC

I-71/I-75 Collector Urban Other Freeways
55* 55* KYTC
Distributor (CD) and Expressways
US 25 Urban Minor Arterial Dixie Highway 35 35 KYTC
KY 1072 Urban Minor Arterial Kyles Lane 35 35 KYTC

West Martin Luther
KY 1120 Urban Principal Arterial King Jr. Blvd/12th 30 30 KYTC
Street
West 12th Street Urban Local Street CS-2043 25 25 City of Covington
US 25 Urban Minor Arterial Pike Street 30 30 KYTC
West 9th Street Urban Local Street CS-2064 25 25 City of Covington
KY 8 Urban Principal Arterial West 5th Street 30 30 KYTC
KY 8 Urban Principal Arterial West 4th Street 30 30 KYTC

Simon Kenton
Urban Collector Street 30 30 KYTC
Way
Bullock Street Urban Collector Street 30 30 KYTC
KY 2967 Urban Local Street East Orchard Road 25 25 KYTC
Rivard Drive Urban Local Street CS-9044 25 25 Fort Wright
Hewson Street Urban Local Street CS-2599 25 25 City of Covington
Crescent Avenue Urban Local Street CS-2007 25 25 City of Covington

Urban Major Collector
W. 3rd Street CS-2609 30 30 City of Covington
Street
Ohio
I-71 Urban Interstate 55 55 ODOT
I-75 Urban Interstate 55 55 ODOT

Urban Other Freeways 6th
Street
US 50 50 50 ODOT
and Expressways Expressway
Interstate/Other
CD Road 55* 55* ODOT
Freeways
W. 2nd Street Urban Principal Arterial 25 25 City of Cincinnati

Legal/
Design
Functional Posted Maintaining
Roadway Other Designations Speed
Classification Speed Agency
(MPH)
(MPH)
W. 3rd Street Urban Principal Arterial 25 25 City of Cincinnati
W. 5th Street Urban Collector Street 25 25 City of Cincinnati
W. 6th Street Urban Collector Street 25 35* City of Cincinnati
W. 7th Street Urban Principal Arterial 25 25 City of Cincinnati
Winchell Avenue Urban Minor Arterial 35 35 City of Cincinnati

*Design of the CD system is intended to calm traffic and lower speeds as vehicles enter the urban core and connect to the
local street network. A 45-mph design can be considered by the Designer with the intention to process necessary design
exceptions.
1.5 Airway/Highway Clearance for Airports and Heliports

The Contractor shall perform an airway/highway clearance study. Additional Federal Aviation
Administration (FAA) coordination and permitting may be required depending on Contractor design and
construction. The Contractor is responsible for this coordination and permitting.
1.6 Compatibility Requirement

As identified in Section 1 (General), the Project is the southern-most phase of multiple contracts to
construct the Brent Spence Bridge corridor. The Contractor shall design and construct the Project to be
compatible with the other phases of the corridor, especially at the northern Project terminus near Linn
Street and the Department’s adjacent Phase II project (ODOT PID 113361).
1.7 Video Monitoring

The Contractor shall provide continuous video monitoring of construction using high-definition cameras.
The Contractor shall provide the cameras and be responsible for all installation, equipment, power,
connections, and maintenance of the camera. The supplier shall determine the locations for the best
views of construction. Based on the supplier’s determination, the Contractor shall obtain Department
approval of the camera locations prior to placement. Video monitoring requirements shall be in
compliance with Appendix GN-05 (Video Monitoring Specifications). The system shall be operational
from 30 Days prior to the beginning of construction through Completion of the Contract. Control of the
camera shall be handled by the Department. The Contractor shall maintain an archive of the data
recorded by the camera.
Upon Completion of the Contract, the Contractor shall remove the camera equipment and provide
archive data encompassing the duration of the Project to the Department. Format of archive data must
be acceptable to the Department.

The Contractor shall be responsible for producing at minimum six professional-quality video vignettes
per year highlighting Project operations. The Contractor shall obtain Department Approval of the timing
and content for each vignette. These videos shall be 30 seconds to two minutes long.
The Contractor shall include video monitoring in the Opinion of Probable Cost (OPC).
1.8 Naming Conventions

1.8.1 File Naming Convention
Files shall be organized according to the state where the improvements are being constructed, i.e.,
Kentucky and Ohio.
1.8.2 Sheet Naming Convention

All sheets south of the north ends of the Companion and Existing Brent Spence Bridges shall follow
KTYC naming standards found in KYTC CADD Standards.
All sheets north of the north ends of the Companion and Existing Brent Spence Bridges shall follow
ODOT naming standards found in ODOT’s CADD Engineering Standards Manual.
1.9 Drawing Format

Drawings shall be organized according to the state where the improvements are being constructed, i.e.,
Kentucky and Ohio. The dividing line will be the north ends of the Companion and existing Brent
Spence Bridges. All sheets south of the north ends of the Companion and Existing Brent Spence
Bridges shall follow KTYC drawing format requirements found in KYTC CADD Standards.
All sheets north of the north ends of the Companion and Existing Brent Spence Bridge shall follow
ODOT drawing format requirements found in ODOT’s CADD Engineering Standards Manual.

2. PROJECT MANAGEMENT
2.1 DBT Project Management Plan
2.1.1 Purpose and Format of the DBT PMP
In accordance with the requirements of the Project, develop and implement a written DBT Project
Management Plan (DBT PMP) for all elements of the Project, including, but not limited to, management,
administration, design, Internal organization systems, document management, communication plan,
investigations, construction, environmental monitoring, and compliance.
The PMPs shall be consistent with ISO principles (ISO 9001:2000 Quality Management Systems-
Requirements; ISO 9004:2000 Quality Management Systems - Guidelines for Performance
Improvement; ISO 9000:2000 Quality Management Systems- Fundamentals and Vocabulary;
ISO:19011:2004 Guidelines for Quality and/or Environmental Management Systems Auditing; ISO
14001:2004 Environmental Management Systems-Specifications with Guidance for Use).
Engage the Department in the DBT PMP development process to facilitate the process and ensure
understanding. The Department’s participation in the development of the DBT PMP does not waive the
Contractor’s responsibility for the quality of the Work, nor does it ascribe any responsibility to the
Department for the Work. Further, this involvement does not preclude subsequent rejection of the DBT
PMP by the Department.
The Department will audit and monitor the activities described in the DBT PMP to assess the
Contractor’s performance. All commitments and requirements contained in the DBT PMP shall be
verifiable.
The implemented DBT PMP shall accomplish the following functions and objectives:
A. Successfully deliver the Project within the accepted Project Schedule; and
B. Construct a high-quality Project that meets the requirements of the Contract Documents.
The DBT PMP must delineate how the Contractor will ensure all disciplines, aspects and elements of
the Work will comply with the requirements of the Contract Documents and all materials incorporated
into the Work will perform satisfactorily for the purpose intended and conform to the Contract
requirements. The general outline and the minimum content of the DBT PMP is described below and in
Section 2.1.2 (Key Personnel) through Section 2.1.8 (Utilities Plan).
2.1.1.1 DBT Management Plan
A. The purpose of the DBT Management Plan is to provide the Department with a clear view of the
project management approach undertaken by the Contractor for all aspects of the Project. It
shall clearly identify responsibilities and procedures for each Project management activity and
demonstrate a thorough understanding of the Project requirements.
B. The DBT Management Plan shall reference and consider all other PMPs and link their
relevance to each other and to the management approach.
C. The DBT Management Plan is an umbrella document that describes the Contractor’s
managerial approach, strategy, and quality procedures to design and build the Project and

achieve all requirements of the PDBC. The DBT Management Plan shall include an organization
chart outlining the basic structure of the Contractor’s Project organization including well defined
roles for the design and construction; sub-organizations (such as consulting, subcontractors,
suppliers) and a description of the roles; relationship with the Contractor, Designer,
Subconsultant, Subcontractor, and third parties; organizational chart with responsibilities,
professional qualifications, and Work to be accomplished by each member of the management
team and each sub-organization, including identified subcontractors and suppliers.
D. The DBT Management Plan shall describe how all PMPs fit within the overall quality
management system, responsibilities for developing and maintaining the plans and the schedule
for implementation.
E. The DBT Management Plan shall address the Contractor’s schedule and procedures for
preparation of amendments and submission of amendments to any part of the PDBC.
F. The DBT Management Plan shall be linked to the QMSP in Section 3 (Quality Management).
2.1.2 Key Personnel
Describe the roles of those involved in project management and the interactions between them.
The project management organization of the Contractor must include the following:
A. An organizational chart for each phase of the Project (Sub-Phase 1A, Sub-Phase 1B and Phase
2) showing lines of authority and reporting responsibilities for all Project disciplines.
B. The name, position, qualifications, duties, responsibilities, and authorities of each person
proposed for a project management function, including the following minimum named persons:
1. DBT Project Manager.
2. DBT Design Manager.
3. DBT Design QC Manager (See Section 2.1.2.3 (Other DBT Lead Personnel Requirements)).
4. DBT Lead Structural Design Engineer.
5. DBT Lead Highway Design Engineer.
6. DBT Lead Independent Companion Bridge Engineer.
7. DBT Independent Design Quality Firm (IDQF) Manager.
8. DBT Construction Manager.
9. DBT Lead Bridge Superintendent.
10. DBT Lead Highway Superintendent.
11. DBT Diversity and Inclusion Manager.
2.1.2.1 Duties and Experience Requirements
A. DBT Project Manager:
1. Ultimately responsible for the Contractor’s performance and ensures that personnel and
other resources are made available. Responsible for all aspects of the Project, including, but
not limited to, overall design, environmental compliance, construction, quality management,
and contract administration.
2. Shall have at least 15 years of design-build experience managing the design and
construction of major highways, interstate-to-interstate interchanges, or navigable river

bridge structures, with preference for both. The DBT Project Manager shall be assigned to
the Project full time and meet the co-location requirements in accordance with Section 4
(Co-Location Facilities for Contractor and Department Forces).
B. DBT Design Manager:
1. Responsible for ensuring overall Project design is completed and all design requirements are
met for the Project, inclusive of all structures and structural elements (bridge substructures
and superstructures, retaining walls) and roadway items (alignment, drainage, pavement,
lighting, traffic signals, maintenance of traffic, etc.).
2. Shall have at least 15 years of recent experience, experience with integrated project delivery
preferred, managing the design of major projects, and with complex maintenance of traffic
design experience. The DBT Design Manager must be a licensed professional engineer in
the State of Ohio and Commonwealth of Kentucky or be able to obtain licensure by award of
Contract. The Design Manager shall be assigned to the Project full time and meet the co-
location requirements in accordance with Section 4 (Co-Location Facilities for Contractor
and Department Forces).
C. DBT Lead Structural Design Engineer:
1. Actively manages and serves as point of contact for all structural designs. Responsible to
ensure that all requirements of the design for all structural elements on the Project, including
bridges, box culverts, walls, and foundations are met.
2. Shall have at least 15 years of recent similar experience. They must be a licensed
professional engineer in the State of Ohio and Commonwealth of Kentucky or be able to
obtain licensure by award of Contract. The DBT Lead Structural Design Engineer shall meet
the co-location requirements in accordance with Section 4 (Co-Location Facilities for
Contractor and Department Forces).
D. DBT Lead Highway Design Engineer:
1. Responsible for ensuring all highway geometric, drainage and traffic components on the
Project are completed and all design requirements are met.
2. Shall have at least 15 years of recent similar experience. They must be a registered
obtain licensure by award of contract. The DBT Lead Highway Design Engineer shall meet
the co-location requirements in accordance with Section 4 (Co-Location Facilities for
Contractor and Department Forces).
E. DBT Lead Independent Companion Bridge Engineer:
1. Responsible for the independent design check of the Companion Bridge. Must be employed
by a qualified, independent professional firm selected and subcontracted to the DBT,
independent of the original bridge design for the Project.
2. Shall have at least 10 years of experience in the design and review of complex bridges for
major highway projects of similar size and complexity. They must be a registered
obtain licensure by award of contract. The DBT Lead Independent Companion Bridge
Engineer shall meet the co-location requirements in accordance with Section 4 (Co-Location
Facilities for Contractor and Department Forces).

F. DBT IDQF Manager:

1. Responsible for managing the Design Quality Assurance for the Project. Must be a member
of the IDQF. Responsible for ensuring that the requirements of the Design Quality
Management Plan are being met and to manage any other matters related to design quality
compliance.
2. Shall have at least eight years of experience in quality management. IDQF must be a
registered professional engineer in the State of Ohio and Commonwealth of Kentucky or be
able to obtain licensure by award of contract. The DBT IDQF Manager shall meet the co-
location requirements in accordance with Section 4 (Co-Location Facilities for Contractor
and Department Forces).
G. DBT Construction Manager:
1. Actively manages the overall construction of the project. Responsible for overall construction
inclusive of all structures and structural elements (bridge substructure and superstructure,
retaining walls,) and roadway items (alignment, drainage, pavement, lighting, traffic signals,
maintenance of traffic, etc.). Must be an employee of the Principal Participant.
2. Shall have at least 10 years of recent management experience, design-build experience
preferred, in highway construction, interstate-to-interstate interchanges, and/or major river
bridge structures with complex maintenance of traffic challenges. The DBT Construction
Manager shall be assigned to the Project full time and meet the co-location requirements in
accordance with Section 4 (Co-Location Facilities for Contractor and Department Forces).
H. DBT Lead Bridge Superintendent:
1. Actively manages the construction activities of the bridge components and coordinates with
the highway components. Will be managed by the DBT Construction Manager. Will be
responsible for daily scheduling, supervising all bridge construction activities and tasks,
ensuring the safety and compliance of the Project Site, production of submittals, schedule,
budget, and achievement of QC requirements, including work performed by bridge
Subcontractors. This position is required for the duration of all construction-related activities
on the Project and shall meet the co-location requirements in accordance with Section 4
(Co-Location Facilities for Contractor and Department Forces).
2. Shall have at least fifteen 15 years of demonstrated experience overseeing work on major
bridge construction projects having similar type of work, and complexity, including projects
having multiple operations ongoing simultaneously. Experience as a project superintendent
should include at least one project having a construction value in excess of $300,000,000.
I. DBT Lead Highway Superintendent:
1. Actively manages the construction activities of the highway components and coordinates
with the bridge components. Will be managed by the DBT Construction Manager. Will be
responsible for daily scheduling, supervising all highway construction activities and tasks,
ensuring the safety and compliance of the Project Site, production of submittals, schedule,
budget, and achievement of QC requirements within their teams, including Subcontractors
working within their highway components. This position is required for the duration of all
construction-related activities on the Project and shall meet the co-location requirements in
accordance with Section 4 (Co-Location Facilities for Contractor and Department Forces).
2. Shall have at least 15 years of demonstrated experience overseeing work on major highway
construction projects having similar type of work, and complexity, including projects having
multiple operations ongoing simultaneously. Experience as a project superintendent should
include at least one project having a construction value in excess of $300,000,000.

J. DBT Diversity and Inclusion Manager:

1. Shall be responsible for all aspects of the DBE, OJT, and EEO for the project, including but
not limited to overseeing DBE/OJT/EEO compliance goals for the Project, promotion and
outreach for DBE contract opportunities and participation, promotion and outreach for OJT
and workforce development opportunities, participation in and reporting to the Diversity and
Inclusion Outreach Committee, administration of DBE contracts, prompt payment monitoring
for all subcontractors, subconsultants, and suppliers, resolution of any payment issues,
reporting of monthly DBE/OJT/EEO participation goals to the Department, monitoring
Commercially Useful Function (CUF), and ensuring compliance with prevailing wage
requirements. DBT Diversity and Inclusion Manager shall be assigned to the Project full time
and meet the co-location requirements in accordance with Section 4 (Co-Location Facilities
for Contractor and Department Forces).
2. DBT Diversity and Inclusion Manager shall have at least 10 years of experience with a
background and understanding of DBE, CUF, and EEO requirements. DBT Diversity and
Inclusion Manager shall have experience on federally funded projects.
2.1.2.2 Additional Key Personnel Requirements
All personnel listed in this Section 2.1.2.2 shall comply with the following:
A. Be an employee or Subcontractor of the Contractor for Contractor positions. Positions listed as
“Independent” shall be an employee of a Subcontractor.
B. Have sufficient authority and organizational freedom to prevent and resolve quality problems,
and to implement continuous improvement measures.
C. One individual may not fill the role of more than one position.
D. Meet co-location and duration requirements in Section 4.1 (Project Management Office).
2.1.2.3 Other DBT Lead Personnel Requirements
Unless otherwise approved by Department, the Other Lead Personnel and their minimum qualifications
for the Project include the following:
A. DBT Design QC Manager:
1. Shall be responsible for the control of the design production processes and resulting work
products. Must be an employee of the Lead Designer.
2. Shall have at least 10 years of experience managing the design quality component of
projects of similar scope and complexity. Must be a licensed professional engineer in the
State of Ohio and Commonwealth of Kentucky or be able to obtain licensure by award of
Contract.
B. Lead DBT Scheduler:
1. Shall have a minimum of five years of experience in developing and managing Primavera
Schedules on projects of similar scope and complexity. See PDBC Exhibit T (Critical Path
Method Progress Schedule).
C. Lead DBT Traffic Control Engineer:
1. Shall have experience in work zone safety, work zone traffic control design, signing design,
pavement marking design, with a minimum of 10 years recent experience in traffic control
engineering and traffic management on projects of similar scope and complexity. Must be a

licensed professional engineer in the State of Ohio and Commonwealth of Kentucky or be

able to obtain licensure by award of Contract.
D. Lead DBT Geotechnical Engineer:
1. Shall be responsible for ensuring the geotechnical designs and any necessary geotechnical
input for structural designs are completed in accordance with the requirements of the
Contract Documents.
2. Lead DBT Geotechnical Engineer shall have supervisory experience in geotechnical design
and construction support of roadways, bridges, retaining walls, and other highway-related
elements. Must be familiar with the AASHTO LRFD Bridge Design Specifications and must
be responsible for the geotechnical design elements of the Project. The Lead DBT
Geotechnical Engineer must have prior experience designing interstate projects in
southwest Ohio and northern Kentucky. Individual state specific Lead DBT Geotechnical
Engineers may be identified by the Contractor.
3. Shall have a minimum of 10 years of experience on projects of similar size and complexity.
Must be a licensed professional engineer in the State of Ohio and Commonwealth of
Kentucky or be able to obtain licensure by award of Contract. The Lead DBT Geotechnical
Engineer must be available whenever design Work and construction Work are being
performed.
E. DBT Utility Manager:
1. Shall be knowledgeable of ODOT and KYTC procedures for accommodating and Relocation
of utilities. The DBT Utility Manager (UM) Shall manage all utility coordination and utility
design activities with the overall Project design.
2. Shall have a minimum of 10 years of experience in the role of a utility coordinator or utility
manager on a project of similar size and complexity. Shall be authorized by the DBT to
approve all technical modifications associated with Utility Relocations and modifications to
the Utility Agreements.
F. DBT Utility Design Coordinator:
1. The Utility Design Coordinator (UDC) shall be a Registered Professional Engineer in the
State of Ohio and the Commonwealth of Kentucky. The UDC shall be responsible for
coordinating the Utility Relocation design with the overall highway design features during the
planning, design, and construction phases of the work. This also includes coordination
efforts to ensure that the design and relocation for each individual Utility is compatible with
other Utility Relocation work for the Project.
2.1.2.4 Contractor and IDQF Requirements
The Contractor and IDQF shall comply with the following:
A. Determine the necessary competence and qualifications for all personnel performing Work
affecting quality and ensure they are competent on the basis of appropriate education, training,
skills, experience, and certifications.
B. Provide training to all personnel performing Work affecting quality to ensure they understand the
relevance and importance of their activities, the expectations and requirements of their Work,
and their specific roles and responsibilities.
C. Provide training, where necessary to achieve necessary competence.
D. Maintain records of education, training, certifications, skills, and experience.

The Contractor shall document within the DBT PMP the Contractor management’s commitments
through processes and descriptions of the quality policies and objectives that will be implemented
throughout its organization The policies shall demonstrate the Contractor’s senior management’s
commitment to implement and continually improve the quality management system for the Work.
2.1.3 Document Control

The DBT PMP shall describe the means by which all documents required are:
A. Controlled in accordance with Department’s Electronic Content Management System (ECMS)
and other systems including identification and control of trade secrets.
B. Created and retained in the Department’s ECMS.
C. Reviewed to confirm all requirements of the Contract Documents are met prior to submittal.
D. Reviewed and updated as necessary and re-approved by the same personnel that performed
the original approval.
E. Identified to ensure that changes and revision status are known.
F. Available at all points of use, including the IDQF and the Department.
G. Distributed as required.
H. Prevented from unintended use, if obsolete.
I. Organized, indexed, and delivered to the Department for final acceptance.
The Department will partner with the Contractor to establish a format within the ECMS and grant
needed access for the Contractor’s personnel to assist in the management of the site. The
Department’s ECMS will be the official project record for the Project.
Describe the means by which records established to provide evidence of conformity to requirements
and the effective operation of the quality program are identified, stored, protected, readily retrieved,
retained according to the Department’s Record Retention Policy, and disposed of.
Describe the procedures for meeting documentation requirements and document control of all Design
Documents.
As part of the DBT PMP the Document Control plan shall document correspondence distribution and
submittal requirements. Contractor shall provide copies of all correspondence between the Contractor
and other agencies, including cities, Government Agencies, Railroads, and Utility Owners, to the
Department via the Department’s ECMS at the time of submittal to the applicable agency.
DBT Document Control Plan shall include collection, retaining, and uploading to the Department’s
ECMS, within five Working Days of the activity to which the document pertains, the following, all of
which shall be in a format acceptable to the Department:
A. Evidence that all required activities have been performed.
B. Type, number, and results of all current quality management activities, including reviews,
verifications, audits, Nonconformances, Corrections, Opportunities For Improvement, Corrective
Actions, Preventive Actions and monitoring of Work performance and progress.

C. Documentation used and created by the IDQF for review of design submittals, including all
Design Documents included with interim and final design submittals, review comments, and
disposition of comments.
D. Engineered, Shop and Working drawings.
E. Minutes of all Contractor and IDQF meetings (distribute draft minutes within 48 hours).
F. For railroad and utility work, documentation of the design as well as documentation of utility and
railroad personnel on-site performing Work, including inspection and flagging. The documents
shall be maintained separately for each individual utility and railroad facility.
G. Any other document not listed above provided by the Contractor.
The Document Control Plan shall be linked to the QMSP in Section 3 (Quality Management).
2.1.4 Quality Planning
Plan, develop, and document in the DBT PMP the processes needed to deliver the Work in accordance
with the requirements of the Contract Documents, including but not limited to the following and Section
3 (Quality Management):
A. Geotechnical investigations and testing.
B. Field survey verification. The Contractor shall be responsible for the cost and repair of any
damage to survey monuments caused by the Work within a duration agreed to by the
Department.
C. Control of monitoring and measurement devices, to ensure that tools, gages, instruments, and
other measuring and testing devices used in activities affecting quality are properly maintained,
controlled, calibrated, certified, and adjusted at specified periods to maintain accuracy within
necessary limits.
D. Design planning, to establish the responsibilities, checks, reviews, timing, procedure, or
reference standard, and resulting records for all design submittals.
E. Design requirements definition, to ensure that all users have the current and complete set of
requirements applicable to their work.
F. Deviations from the requirements of the Contract Documents, to ensure that general or specific
Deviations from requirements occur only with the Department’s approval.
G. Validation of computer programs and checking of inputs.
H. Cross-discipline reviews, to ensure consistency and prevention of coordination errors.
I. Conformance checking, to ensure the right requirements are being utilized.
J. Fitness for use reviews, to ensure that Work will meet generally implied expectations.
K. Accuracy checking, to ensure requirements are designed right.
L. Style checking, to ensure compliance with appearance needs, i.e., CADD, file type, spelling, etc.
per Section 1.9 (Drawing Format).
M. Constructability reviews, to ensure the functionality, accessibility, and maintainability of the
Work.
N. Over-the-shoulder reviews.
O. Scope checking to verify the completeness of submittals.

P. External (Third Party) reviews, to obtain input and buy-in.

Q. Design change notices, to ensure that revisions to design are controlled by the Engineer of
Record and communicated clearly to all points of use.
R. Field design change requests, to ensure that all and any changes to design occur only under
the direction or approval of the Engineer of Record.
S. Construction planning, to establish the responsibilities, timing, procedure, or reference standard,
and resulting records for all incoming, in-process and final products. Site Manager will be
required for Ohio and Kentucky Work.
T. Pre-activity construction meetings, to ensure all parties responsible for the quality of the Work
have a common understanding of the requirements, the design intent, the applicable Design
Documents, procedures, laws, regulations related to the Work. Pre-activity meetings shall be
held for all significant activities and repeated whenever there are significant changes in
personnel or working conditions, and when there has been a significant lapse of time since the
activity was last undertaken.
U. As-Built Documents of the Work performed within 60 Workdays of installation, to ensure
accurate and timely documentation of the constructed Project.
V. Timely completion of punch-list items.
W. Project closeout.
X. Warranty Work, to control the identification and resolution of warranty issues.
2.1.5 Environmental Monitoring and Compliance Plan
Describe in the DBT PMP the methods, processes, and procedures to provide for the effective
implementation and documentation of the environmental protection, training, compliance, and
monitoring program.
The Contractor shall include methods, processes, and procedures to ensure compliance with final
environmental commitments for the Project. It should be noted that these may require specific
performance measures for compliance.
Contractor shall include the use of the SWPPP Track pursuant to ODOT SS832 as part of the process
and procedures. The Contractor shall include separate bid item codes for KYTC and ODOT.
2.1.6 Safety and Health Plan

Describe the safety organization including personnel, policies, plans, training programs, Project Site
controls, and Incident management and response plans to ensure the health and safety of personnel,
including response to a Pandemic, involved in the Project and the general public affected by the
Project. Contractor to include procedures for immediately notifying the Department of all Incidents
arising out of or in connection with the performance of the Work.
2.1.7 Public Information and Communication Plan

A. The manner in which Contractor’s organization will respond to requests for information,
communicate changes or revisions to relevant Contractor personnel, and notify affected
stakeholders before and after changes are made.

B. Processes and procedures for communication of Project information between Contractor’s

organization, Department, Governmental Entities (e.g., permitting agencies), Utility Owners,
other third parties, and the public.
C. The Contractor shall or shall cause to be developed a Public Information Plan (PIP) for the Work
period as part of its overall Communication Plan.
D. The PIP will fit within the context of the broader Communications Plan and will address:
1. The identification of stakeholders and the outreach tactics that will be used by the
Contractor and responsibilities of the Contractor. Department will engage stakeholders.
2. Training of relevant Project personnel in crisis communications, media relations and
community outreach techniques to be provided by the Department.
3. describes proposed communication tools to supplement outreach efforts, such as
brochures, educational opportunities, newsletters, and preparation of press releases. The
PIP also describes the process the Contractor will provide communication assets for
maintaining and updating existing communication assets developed by Department during
the NEPA process, including Project identity, Project website, and social media sites.
E. Aesthetics Meeting Requirements:
1. Contractor shall support Department in the review of options of the aesthetic design. See
Section 19 (Aesthetics and Enhancements).
F. Contractor’s Response to Inquiries and Comments:
1. Questions or comments from residents, businesses, or other members of the public shall be
referred to the Department within half a Business Day. Contractor shall take the necessary
steps to facilitate such contact.
2. If Contractor receives a complaint regarding its conduct of Work, DBT shall notify the
Department within half a Business Day. Contractor shall provide the necessary information,
staff support, and representation to assist in resolving the complaint.
3. On occasions specified by Department, Contractor shall commit its Project Manager to serve
as a spokesperson for the Project for technical, safety, and other issues with certain
designated audiences.
G. Recording of Progress through video and photography.
H. Coordination of construction-related information for inclusion on all Project communication
material.
I. Provision of information to motorists and stakeholders to facilitate the Maintenance of Traffic
(MOT) during construction. This will include:
1. Packaging of all MOT information, such as anticipated delays and lane closures, for
provision to the Project Communication Team on a regular basis, to facilitate communication
to the media, stakeholders, and the broader community.
2. Communication with direct impact area property owners.
3. Communication with elected officials and other key stakeholders.
4. Coordination with local agencies.
5. Support Department program to inform motorists and the broader community about
expected traffic changes/delays (such as on road signage, SMS, and email alerts).

6. Information to stakeholders about events in the area that may be affected by construction
activities.
J. Linkage to other PMPs and the QMSP.
2.1.8 Utilities Plan
The Utilities Plan will define the utility coordination, adjustment, and relocation activities during the
design and construction of the Project and will address:
A. The roles and responsibilities of the Contractor, the Department, and Utility companies/owners.
B. Utility agency coordination plans and process.
C. The Utility Relocation and adjustment process.
D. Applicable guidelines, laws, and regulation.
E. The application of prior rights and cost allocations.
F. The utility easement acquisition process, if required.
G. Utility agreements including KYTC Memorandum of Understanding (“MOU”) and/or the
development of Project specific utility relocation agreements.
H. Relocations and adjustments of utility facilities included in the Contractor’s Contract.
I. Relocations and adjustments of utility facilities performed by the utility company/owner or their
contractor.
J. The coordination with the Contractor, the Department, KYTC, Utilities, Utilities’ designers, and
contractors.
K. The identification and resolution of utility conflicts and interdisciplinary coordination.
L. The development and maintenance of a Utility tracking report.
M. The process for revising utility plan and estimates.
N. The process of payment of utility company progress and final billings by the Department and
KYTC, to be further coordinated after Sub-Phase 1A NTP.
O. The process for close out of utility relocations and processing as-builts, and if required land
use permit applications.
P. Identify monitoring and recording requirements.
Q. On-going monitoring and compliance records tracking system.
R. The roles and responsibilities related to Contractor provided MOT services for utilities and/or
their contractors.
S. Regularly updated impact on project schedule.
T. Reporting and documentation mechanism.
U. Linkage to other relevant PMPs and the QMSP.
2.1.9 Overall DBT Organization Plan
The Contractor shall describe the design and construction organizational arrangements it intends to
implement. The organizational arrangements described should clearly identify responsibilities and
reporting lines of staff, particularly relating to Key Personnel. The Contractor shall include an

organization chart and communication protocol graphic (11-by-17 inch) illustrating the Proposer’s Key
Personnel and their prospective roles and responsibilities, as well as other principal participants and
any known Subcontractors having a material role in the Project’s design Work, design check Work, and
construction Work.
The Contractor shall describe the interrelationships and interfaces between each discipline within the
Offeror’s organization (e.g., design, design check, shop drawing preparation and review, construction,
and quality management).
The Overall DBT Organization Plan shall also describe the interrelationships and interfaces between
the Contractor’s organization, the Department and other governmental agencies, utility owners,
stakeholders, businesses, the public and other contractors working in the vicinity and impacted by the
construction of the Project. This description shall also, at a minimum, address the following activities:
A. Reviews of plans and permits;
B. Progress, workshop, partnering and utility coordination meetings; and
C. Construction, engineering and inspection activities.
2.1.10 Construction Management Plan
The Contract shall provide a Construction Management Plan, which may include relevant material
submitted with its Proposal and submit it to the Department for review and comment. The Construction
Management Plan shall provide how well the Contractor understands and is organized to manage
construction, construction quality control and the tools that will be implemented to provide seamless
interaction with the Department for the construction of a quality Project; provides how the progress of
the construction work is reported to the Department and for control of the Work; provides how
nonconformance issues in construction will be resolved; provides the method of updating the Baseline
Schedule; provides how the work will be progressed in coordination with other agencies; provides the
methods of maintaining detours and evaluates how the interaction with the Department’s construction
inspection professional engineering firm and the materials testing firm/laboratory will occur and how this
will contribute to the construction management and quality of the Project.
2.1.11 PMP Submittal

2.1.11.1 Initial Project Activities
Except for preliminary meetings, development of the Project Schedule and the development of the DBT
PMP, no Design Work is allowed to be submitted using the Project until the Department has approved
the following component management plans: DBT Project Management Plan, Document Control Plan,
Quality Management System Plan (QMSP), and Design Quality Management Plan (DQMP).
At the Department’s sole discretion, the Department may approve portions of the DBT PMP to allow
certain Work (e.g., design) to proceed as defined by the applicable portion of the DBT PMP.
2.1.11.2 DBT PMP Approval
Submit a draft DBT PMP of all the Management Plans listed in Table 2-1 (DBT PMP Component
Management Plans). then allow 15 Working Days for the Department to approve or reject initial DBT
PMP submittals. For subsequent revisions to the DBT PMP, the Department requires 10 Working Days

to approve or reject the submittal. Submit each DBT PMP revision after the approved to the Department
during a submittal meeting, in which the Contractor shall provide an overview of the DBT PMP revision.
Table 2-1: DBT PMP Component Management Plans
Plan Title Submittal Deadline Plan Updates*

30 Working Days after Sub-Phase
DBT Project Management Plan Annually (during the Term)
1A NTP
With Sub-Phase 1B Proposal,
Construction Management Plan Phase 2 Proposal, and Annually
1A NTP
after Phase 2 NTP
Safety and Health Plan Annually (during the Term)
1A NTP
30 Working Days after Sub-Phase Monthly Reporting & Quarterly
Quality Management System Plan
1A NTP Updates (during the Term)
Design Quality Management Plan With Sub-Phase 1A Proposal Quarterly, if required
With Sub-Phase 1B and Phase 2
Construction Quality Management Quarterly, if required (during
proposal or 30 Working Days prior
Plan construction)
to beginning any construction work
Quarterly, if required (during Phase
Environmental Monitoring and 60 Working Days prior to beginning
1 and Phase 2), Annually, (during
Compliance Plan any construction work
the remainder of the Term)
30 Working Days after Sub-Phase Quarterly, if required (during Phase
Document Control Plan
1A NTP 1 and Phase 2)
60 Working Days after Sub-Phase Quarterly, if required (during Phase
Utilities Plan
1A NTP 1 and Phase 2)
Railroad Coordination and As Required by the Department &
Management Plan (See Section 10 Monthly Reporting during
1A NTP
(Railroads)) Construction
30 Working Days after Sub-Phase Annually, if required (during the
Communications Plan
1A NTP Term)
Transportation Management 80 Working Days after Sub-Phase Quarterly, if required (during Phase
Plan/Incident Management Plan 1A NTP 1 and Phase 2)
See PDBC Exhibit T (Critical Path
Interim Baseline Schedule With Sub-Phase 1A Proposal
Method Progress Schedule)
As Required Upon Key Personnel
Overall DBT Organization Plan With Sub-Phase 1A Proposal
Changes
DBE Performance Plan, DBE With Sub-Phase 1A Proposal, With
As Required, Refer to Section 5
Outreach Plan, DBE Development Sub-Phase 1B Proposal and Phase
(Diversity, Inclusion, and Outreach)
Plan, and Compliance Plan 2 Proposal
OJT Performance Plan and With Sub-Phase 1B Proposal and As Required, Refer to Section 5
Workforce development Plan Phase 2 Proposal (Diversity, Inclusion, and Outreach)
With Sub-Phase 1B Proposal and As Required, Refer to Section 5
Community Engagement Plan
Phase 2 Proposal (Diversity, Inclusion, and Outreach)
*Plans, records, and logs shall be available for review by the Department on an ongoing basis in accordance with the PDBC.
Changes as required will be in accordance with the Technical Requirements. The Contractor shall update and submit each
component part of the DBT PMP as part of each Work Package Proposal. The Department’s approval of each updated
component part of the DBT PMP shall be a condition precedent to the NTP for such Work Package. The term “updates” in
this column means updates to the already approved Plans.

2.2 Project Meetings

The DBT Project Manager, shall attend all of the meetings described below. Meetings in addition to
those described below may be required for special purposes as determined by the Department, these
Technical Requirements, and the Contract Documents.
Project meetings will include the Contractor, the Department, and other active participants requested by
the Department. Other active participants may include representatives from the Cities of Cincinnati,
Covington, Ft. Wright, and Ft. Mitchell.
2.2.1 Sub-Phase 1A Scope Meeting

Prior to Sub-Phase 1A NTP, the DBT Key Personnel shall meet with the Department at a time and
place to be determined by the Department for a Sub-Phase 1A Scope Meeting. The goals of the scope
meeting are:
A. Review and discuss the draft Sub-Phase 1A Proposal and adjust;
B. To confirm the Technical Requirements are understood;
C. To establish and explain policies and procedures for completion of a successful design;
D. To establish the expectations of all components of the Project Schedule;
E. To establish the expectations of the ongoing cost estimates; and
F. To establish clear lines of communication and points of contact for Department, Contractor,
Designer and Subconsultants.
2.2.2 Pre-Design Meeting
After Sub-Phase 1A NTP and prior to commencing Design Work, the DBT Key Personnel shall meet
with the Department at a time and place to be determined by the Department for a Pre-Design Meeting.
At or before the meeting Contractor shall furnish a list of proposed Subconsultants. The agenda of the
meeting shall include the following items:
A. Roles, Responsibilities, Emergency Contacts;
B. Neighborhood awareness and communication protocols;
C. Planned activity for the first 60 working days after NTP;
D. Submittal of the list of intended Sub-consultants and other firms involved in the design
process and the anticipated Design Work each is anticipated to perform; and
E. Review of Department’s ECMS procedure and expectations.
2.2.3 Cost and Schedule Meetings
A. Initial Approach to Cost and Schedule meeting:
1. No later than 15 Days after the Sub-Phase 1A NTP, the Contractor shall meet with the
Department and Independent Cost Estimator (ICE) at a time and placed to be determined by
the Department, and actively participate in a working group meeting to discuss and develop
an initial approach to costing the Project consistent with the requirements of PDBC Exhibit G
(Pricing Process). The purpose of this meeting is to establish the baseline Cost Model
structure, input standards, and assumptions for the formulation and ongoing updates and

maintenance of all future OPCs, including design and construction cost and Project
Schedule estimates. This meeting will also establish the plan to communicate changes in
scope, quantity, risk, and other information required to affirm a consistent foundation for cost
and schedule estimation. This initial meeting will be led by the Department.
2. Attendees:
a. Department’s Project staff, Department’s Office of Estimating Staff, the ICE, the DBT
Project Manager, Design Manager, Superintendents, and other parties defined by the
Department and Contractor.
3. Agenda:
a. Review the methods and procedures related to the Project Schedule and overall project
progress.
b. Introduction of the Contractor’s Schedule team’s qualified personnel that will develop
and update the project schedule, including BIM 4D and 5D components if the DBT PMP
plans incorporate them into the project.
c. Content, format, and submittal requirements for schedules and reports.
d. Schedule for other concurrent work under Department’s separate contracts and
coordination with other work and personnel.
e. Review time required for submittals and resubmittals.
f. Review time required for RFIs, Change Orders, Government Entity reviews and
approvals, and project logistics.
g. Requirements for tests and inspections by independent testing and inspecting agencies.
h. Time required for mobilization and demobilization.
i. List of Contract activities to be included in schedule and their associated naming
conventions.
j. Procedures for updating schedule.
k. Proposed structure and assumptions for the Cost Model and establish input standards
for the formulation of future cost estimates.
l. Software limitations, if any.
4. Minutes:
a. The Contractor will record and distribute meeting minutes.
B. Monthly Cost and Schedule Update Review Meetings:
1. Contractor shall schedule, attend, and actively participate in cost and schedule working
group meetings with the Department and the ICE to review cost estimate organization,
break-down, reconciliation of OPC and cost estimates. The Contractor shall lead the
Monthly Cost and Schedule Update Review Meetings.
2.2.4 Design Progress Meeting
A. Department will schedule regular Design Progress Meetings to determine the progress of the
development of the Design Work. These meetings will start two weeks after the post award
scope meeting. The meetings will occur once a week at a minimum and as required to
accomplish design tasks.

B. Attendees:
1. Design Progress Meetings shall be attended by:
a. Department and Department’s Consultants;
b. DBT’s Key Personnel, at a minimum;
c. Major Subcontractors as applicable; and
d. Others as directed by Department.
C. Agenda:
1. The Contractor shall be responsible for developing the meeting agendas. The purpose of
the meetings is to discuss significant items that could affect the completion of the
Construction Drawings and Specifications and have a major impact of the quality, cost, and
overall schedule for the Work. The agenda shall be submitted to Department a minimum of
48 hours prior to the meeting.
D. Minutes:
1. The Contractor will record and distribute meeting minutes. Meeting minutes shall be
distributed no later than three Working Days after such meeting is held.
2.2.5 Project Coordination and Logistics Meetings
A. Schedule and administer as needed support, coordination and logistics meetings among
stakeholders affected by the Work. Stakeholders include Contractor and all applicable
Subcontractors, the Department and when applicable representatives of Government Entities
affected by or having jurisdiction over the Work. Contractor shall coordinate with stakeholders to
allow for their reasonable review prior to finalizing the Base Design, Cost, and Schedule
Submittals. Incorporate all logistical and coordination topics into the Project Schedule to allow
for at least 10 Working Days’ notice of review.
B. Agenda to include design criteria, limits of work, design alternatives considered, reasons that
given alternatives were either discarded or adopted, or specific topics requested by the
Department or stakeholders.
C. Minutes:
1. The Contractor will record and distribute meeting minutes.
2.3 Design Submittals

2.3.1 Over-the-Shoulder Reviews
Over-the-shoulder (OTS) reviews are informal examinations of Design Documents during the design
process performed by the IDQF and the Department. Over-the-shoulder reviews will mainly assess
whether the requirements and design criteria of the Contract Documents are being followed and
whether design DBT PMP processes and procedures are being followed. Schedule over-the-shoulder
reviews with the IDQF and invite the Department during the course of the development of each
Buildable Unit, prior to Base Design, Interim and Final Submittals. The Contractor shall invite affected
Utilities, Railroads, and City(s) to each over-the-shoulder review to provide opportunity to comment as
requested or as otherwise deemed necessary by the Department. The Contractor shall define the
frequency and timing of over-the-shoulder reviews.

Conduct over-the-shoulder reviews in the Project Management Office (PMO) and in the presence of the
design personnel, with the intent of minimizing disruption of ongoing Design Work. The IDQF Manager,
design staff, and the Department will jointly determine the materials to be compiled for each review.
Formal assembly and submittal of drawings or other documents will not be required; however, the
Contractor is encouraged to provide informal submittals to facilitate reviews. The over-the-shoulder
review may be of progress prints, computer images, draft documents, working calculations, draft
specifications or reports, or other Design Documents. If mutually agreed upon for specific review items,
the over-the-shoulder review may be facilitated by the transfer of electronic files. The IDQF shall
document the outcome of each over-the-shoulder review. It shall be the Contractor’s responsibility to
confirm whether comments made are in conformance with the Contract Documents.
2.3.2 Base Design Submittal

In collaboration with the Department and local government agencies, the Contractor shall develop a
Proof-of- Concept that will become the Base Design. The Proof-of-Concept is the Base Design
described in Section 1 (General) and includes any additional geometric modifications or Alternative
Technical Concepts incorporated during Sub-Phase 1A.
Schedule a submittal meeting with the IDQF to present the Base Design Submittal. Notify other
agencies, (i.e., FHWA, City(s), Railroads, and Utilities as applicable to the submittal) including the
Department, at least 10 Working Days in advance of submittal meeting and attend meeting. At
submittal meeting, provide an overview of the submittal, including a summary of all included
information. Submittals with missing information will not be accepted. The submittal and timeframe by
which it is submitted shall be in accordance with PDBC Section 4.8 (Department Review of Contractor
Submittals).
Provide a complete review of all Design Documents with each formal IDQF review to ensure Contract
Document requirements and design criteria are being met, including any calculations by the Lead
Independent Companion Bridge Engineer (ICBE) for the Companion Bridge design submittals. The
IDQF Manager is not allowed to release any design submittal that does not meet Contract Document
requirements or was not developed in accordance with the DBT PMP. The IDQF does not have the
authority to waive Contract Document requirements. In addition, the IDQF Manager will verify there are
no conflicts between the Buildable Units being reviewed. All deviations from these requirements must
be noted and corrected.
Upon IDQF approval and verification that a design submittal is in compliance with the Contract
Documents, the Contractor must submit Design Documents including the IDQF quality certification to all
applicable agencies requiring review and upload electronic copies to the Department’s ECMS.
Submittal requirements, beyond those stated in the Contract Documents, to agencies other than the
Department shall be determined by and complied with by the Contractor.
Use the durations listed in Table 2-2 (Submittal Durations and Print Requirements for Sub-Phase 1A
Base Design Reviews) in the Project Schedule for Sub-Phase 1A Base Design and reviews as follows.
The Contractor shall submit an electronic searchable version (in PDF format that is Bluebeam
compatible) along with full size and half size plans in accordance with ODOT’s CADD Engineering
Standards Manual and KYTC’s CADD Standards and Table 2-2 (Submittal Durations and Print

Requirements for Sub-Phase 1A Base Design Reviews) simultaneously to the parties indicated in Table
2-2 (Submittal Durations and Print Requirements for Sub-Phase 1A Base Design Reviews) below.
Table 2-2: Submittal Durations and Print Requirements for Sub-Phase 1A Base Design Reviews
Submittal Review Times Half size (full size)
Department 15 Working Days 0
Each affected City(s) 15 Working Days 1
Railroad(s) 60 Working Days 2
Each affected Utility 20 Working Days As Requested by the Utility Owner
Review times begin upon receipt of submittal following IDQF approval and the Working Day following
the date on which the submittal is made. The Project work schedule for the Preconstruction Phase is a
five-day workweek with each Working Day ending at 5 pm. Submittals made after 5 pm will be counted
as submitted on the following Working Day. The Department will not provide formal review of design
submittals; however, design submittals are subject to Department audit over the course of design
development. Department design audits may be limited to scope compliance; however, the depth,
magnitude, type, and timing of the Department’s audit of design submittals will be at the Department’s
sole discretion. As necessary, schedule comment resolution meetings with the Department to resolve
comments received as a result of the Department audit.
The IDQF Manager must prepare and distribute minutes of each submittal and comment resolution
meeting and shall ensure that all review comments are addressed by the Contractor and verified by the
IDQF. Base Design Submittal shall include a written disposition of all comments made during formal
interim design submittals.
Contractor shall prepare a Base Design Submittal that includes:

A. Documentation that provides a complete accounting of the design validation process, including
meeting minutes, internal and external communication, Requests for Information, submittals,
transmittals, and other documents of similar nature and a complete listing of all documents
reviewed during the design validation process;
B. Design Analyses:
1. Prepare design analyses of the requirements and calculations for each engineering design
discipline and combined into the Design Criteria Report. Contractor to provide draft outline
to Department for review prior to submittal;
C. Base Design Plans and Reports;
D. Draft Alternative Technical Concepts (ATCs) and innovation plan, due within 60 Working Days
after Sub-Phase 1A NTP:
1. Proposed ATCs from Conceptual Design documents shall be submitted with a redlined
version of the baseline of each document in whole with the proposed revision shown and if
required calculations for Department review. ATCs will follow an approval process led by the
Contractor and facilitated and supported by the Department;

2. Ensure that recommendations identify impacts to long term maintenance and operations
and any specialty inspection that may be required;
3. Ensure that recommendations identify all impacts to previously approved federal, state, and
local environmental approvals;
4. Clearly identify and explain techniques, means and methods, phasing, scoping, or other
items that result in the reduction of cost or schedule;
5. Clearly quantify rough order of magnitude (ROM) cost and schedule implications for each
ATC;
6. Provide a list of ATCs developed and reviewed with the Department and identify ATCs that
will be carried forward into the Base Design Submittal and Sub-Phase 1B and Phase 2;
7. Contractor to perform an iterative process not to exceed 60 Working Days from submittal of
the draft ATC and innovation plan to accept ideas to address goals listed in Section 1.1
(Project Goals), improve Project quality, reduce cost, shorten schedule; and
8. During the ATC process, creativity and an objective problem-solving approach that addresses
Project Goals, is an expectation of the Contractor in the Work in this Sub-Phase 1A.
E. Continuous updates to OPC’s necessary to support the ATCs and innovation process;
F. Final ATCs and innovation plan, due 30 days after Department’s comments on last OPC update
and included in the Sub-Phase 1B Proposal;
G. Continuous updates to the Project schedule necessary to support the OPC;
H. Base Design Submittal quantities with appropriate item codes per state; and
I. An overall schematic of all Buildable Units.
2.3.3 Sub-Phase 1B and Phase 2 Design Submittals
Schedule a submittal meeting with the IDQF to present each Interim and Final design submittal. Notify
other agencies, (i.e., FHWA, City(s), Railroads, and Utilities as applicable to the submittal) including the
Department, in advance of each submittal meeting and attend each meeting. At submittal meetings,
provide an overview of the submittal, including a summary of all included information. Submittals with
missing information will not be accepted.
Provide a complete review of all Design Documents with each formal IDQF review to ensure Contract
Document requirements and design criteria are being met, including any calculations by the Lead
Independent Companion Bridge Engineer for the Companion Bridge design submittals. The IDQF
Manager is not allowed to release any design submittal that does not meet Contract Document
requirements or was not developed in accordance with the DBT PMP. The IDQF does not have the
authority to waive Contract Document requirements. In addition, the IDQF Manager will verify there are
no conflicts between the Buildable Units being reviewed and any previously approved designs. All
deviations from these requirements must be noted and corrected.
Upon IDQF approval and verification that a design submittal is in compliance with the Contract
Documents, the IDQF must submit Design Documents to all applicable agencies requiring review and
upload electronic copies to the Department’s document management system. Submittal requirements,
beyond those stated in the Contract Documents, to agencies other than the Department shall be
determined by and complied with by the Contractor.

Use the durations listed in Table 2-3 (Submittal Durations and Print Requirements for Sub-Phase 1B
and Phase 2 Reviews) in the Project Schedule for Sub-Phase 1B and Phase 2 reviews and
comments/approvals as follows. The Contractor shall submit an electronic searchable version (in PDF
format that is Bluebeam compatible) along with full size and half size plans in accordance with ODOT’s
CADD Engineering Standards Manual and KYTC’s CADD Standards and Table 2-3 (Submittal
Durations and Print Requirements for Sub-Phase 1B and Phase 2 Reviews) simultaneously to the
parties indicated in Table 2-3 (Submittal Durations and Print Requirements for Sub-Phase 1B and
Phase 2 Reviews) below.
Table 2-3: Submittal Durations and Print Requirements for Sub-Phase 1B and Phase 2 Reviews
Submittal Review Times Half size (full size)
Review times begin upon receipt of submittal following IDQF approval and the following Working Day
the submittal is made. The Project work schedule for the Preconstruction Phase is a five-day workweek
with each Working Day ending at 5 pm. Submittals made after 5pm will be counted as submitted on the
following Working Day. The Department will not provide formal review of design submittals; however,
design submittals are subject to Department audit over the course of design development. Department
design audits may be limited to scope compliance; however, the depth, magnitude, type, and timing of
the Department’s audit of design submittals will be at the Department’s sole discretion. As necessary,
schedule comment resolution meetings with the Department to resolve comments received as a result
of the Department audit.
The IDQF Manager must prepare and distribute minutes of each submittal and comment resolution
meeting and shall ensure that all review comments are addressed by the Contractor and verified by the
IDQF. Submittals shall include a written disposition of all comments made during formal design
submittals.
2.3.4 Phase 2 Released for Construction (RFC)

Following review of final design submittals, resolve all outstanding issues and comments and prepare a
full set of Design Documents stamped "Checked and Ready for Review." Schedule a submittal meeting
with the IDQF to present the submittal. Notify other agencies, (i.e., FHWA, City(s), Railroads, and
Utilities as applicable to the submittal) including the Department in at least 10 Working Days advance of
the submittal meeting and attend each meeting. Provide an overview of the submittal, including a
summary of all included information. The IDQF submittals with missing information will not be accepted.

2.3.4.1 Plans Distribution Table

The Contractor shall submit an electronic searchable version (in PDF format that is Bluebeam
compatible) along with full size and/or half size plans in accordance with ODOT’s CADD Engineering
Standards Manual and KYTC’s CADD Standards and Table 2-4 (Submittal Durations and Print
Requirements for RFC Submittals) simultaneously to the parties indicated in Table 2-4 (Submittal
Durations and Print Requirements for RFC Submittals) below:
Table 2-4: Submittal Durations and Print Requirements for RFC Submittals
Submittal Review Times # of half sets
The IDQF must verify compliance with all Contract Document requirements and design procedures and
verify that all comments from final reviews have been resolved. If upon IDQF review it is determined
that it is questionable as to whether comments received from the Department or other agencies have
been resolved or addressed appropriately, the IDQF Manager may consult with the commenter to
resolve such comments.
The IDQF Manager must sign and stamp the Design Documents “Released for Construction” after the
following requirements have been met:
A. All IDQF, Department, and other agency comments and Nonconformances have been resolved.
B. Design Documents have been designed in accordance with the requirements of the Contract
Documents and are consistent with the overall design.
C. Design Documents have been checked in accordance with the DQMP.
D. All identified deviations have been approved by the Department.
E. Design Documents have been Signed and Sealed by the Engineer of Record.
F. Design Documents for the independent quality check must be Signed and Sealed by the Lead
Independent Companion Bridge Engineer.
Provide detailed quantity estimates and ODOT and KYTC standard bid codes for all Work that requires
quality sampling or testing and all materials subject to price adjustments (e.g., structural steel). Be
consistent with the units used to determine frequency of sampling and testing. For example, if the
number of compaction tests to be taken is based on a specific number of cubic yards of embankment,
then the quantity estimate must also be in cubic yards. Quantities may be provided after Design
Documents are Released for Construction; however, provided quantities prior to any construction
commencing for the Work covered by the applicable Released for Construction Documents.

2.3.5 Supplemental Plan Sheets

Concurrent with the RFC plan submittal, provide the Department with supplemental plan sheet plots
(PDF only) depicting existing utilities in color. Incorporate independent colors for each utility type. Make
plots consistent with RFC drawings, however, only plan view sheets are required.
2.3.6 Design Changes Before Construction

Design changes may occur prior to construction or may occur after Released for Construction Plans
and may be initiated by the Contractor or the Department.
For all design changes requiring calculations, the Designer, and Design QC Engineer shall conduct a
documented check of all calculations. All design changes requiring alteration of design documents
released for construction shall undergo all review and certification procedures included for the original
design documents in the Design Quality Management Plan.
If a design change takes place after sign-off of the Released for Construction Plans, the Contractor
shall prepare a Notice of Design Change (NDC) and submit it to the Department for review and
comment. The NDC shall describe the change; identify and provide the Buildable Unit Plans,
Specifications, calculations, and other documents impacted by the change; explain the reason for the
change; list other Buildable Unit that will be impacted by the change; and describe the impacts to the
Project Schedule, if any.
2.3.7 Field Design Changes and Submittals

All Field Design Changes (FDC) must be identified, received, tracked, reviewed, responded to,
approved by authorized personnel, and distributed prior to their implementation in accordance with a
defined procedure developed by the Contractor during Sub-Phase 1A. All field design changes must
follow the same QMSP process as the original design. All reviews require an accelerated review and
approval process. FDC review shall be given by the Department within five (5) Working Days of
Submittal to the Department, depending on the complexity of the FDC the Department may establish a
longer review time. The Contractor shall notify the Department of priority FDC requests if multiple FDCs
are submitted within the same timeframe. A review response of approval, revise and resubmit, or
accepted as noted will be provided to the Contractor by the Department through the ECMS.
In all cases, the DBT IDQF Manager must certify in writing that the field design change:
A. Has been designed in accordance with Contract Document requirements.
B. Has been checked in accordance with the DQMP.
C. Has been reviewed by the IDQF.
2.3.8 As-Built Submittals
Produce As-Built Documents as the Project progresses and as each Buildable Unit is completed, within
60 Workdays of Buildable Unit completion Prepare As-Built Documents in conformance with ODOT and
KYTC plan formats described in applicable standards and submit them in both hardcopy and electronic
(PDF, TIFF, and CADD) format, including MicroStation and Open Roads Designer (ORD) files,
conforming to ODOT and KYTC CADD standards. See Section 8.4.F (Design and Preconstruction

Survey) for KYTC As-Built survey requirements. As-Built Documents shall include quantities for the
Work associated with each Buildable Unit.
Group quantities in accordance with the Location and Design Manual, Volume 3, Section 1307, and
provide them in Microsoft Excel or similar tabular format, as approved by the Department. Provide
instructions with each table of quantities, providing information that enables Department personnel to
properly identify all quantities.
Prepare formal As-Built submittals for each Buildable Unit that incorporate all updates to the Released
for Construction Documents including any design changes, actual field as-built changes, actual survey
info; and up-to-date copies of all other Design Documents including Project reports, calculations, design
files, etc. These submittals must include an overall schematic of all Buildable Units.
Utility relocations performed by others, in conjunction with the Project (e.g., telecom, gas, private
electric, other private utilities), do not need to be incorporated in the As-Built CADD files and plan
sheets, however, the utility relocation plans must be included as an attachment to the As-Built
submittal.
The IDQF will review and verify As-Built Documents for compliance with the Contract Documents prior
to submittal to the Department.
The review of As-Built Documents will be performed by the Department with Contractor participation. All
As-Built Buildable Unit submittals must be submitted as noted in Table 2-5 (Project Management
Submittals Tables), as a condition of Completion of the Contract or as a condition of Final payment per
PDBC Section 5.14.3 (Final Payment).
2.3.9 General Review Timeframe

For any submittal not specifically named in this Technical Requirements document, anticipate 15
Working Days for the Department, 15 Working Days for affected City(s) review, and 20 Working Days
for review by Utility Owners, Railroads, or other Government Entity if applicable.
2.4 Submittals
Unless otherwise indicated, submit all Submittals in both electronic format and hardcopy format.
Acceptable electronic formats include Microsoft Word, Microsoft Excel, or Adobe Acrobat (.PDF) files,
unless otherwise indicated. At a minimum, the Contractor shall submit the following to the Department:

Table 2-5: Project Management Submittals Table
For Acceptance, Number of Copies

Reference
Submittal Approval, or Submittal Schedule
Section
Submittal Hardcopy Electronic
DBT Project
Within 40 Working
Management Approval N/A 1 2.1.7.2
Days of NTP
Plan (DBT PMP)
Refer to Table
2-1 (DBT PMP
Sub-Phase 1A, Base
Approval Component 1 2.3.1.2
Design Submittal
Management
Plans)
Refer to Table
2-2 (Submittal
Durations and
Sub-Phase 1B and Print
Phase 2 Design Approval Requirements 1 2.3.1.3
Submittals for Sub-Phase
1A Base
Design
Reviews)
Released for Prior to construction
1
Construction Submittal 7 Work covered by the 2.3.1.4
Documents RFC Documents
Supplemental
Submittal N/A 1 With RFC Documents 2.3.1.5
Plan Sheets
Within 60 Workdays
As-Built Submittals Acceptance 2 1 of completion of each 2.3.1.8
Buildable Unit

3. QUALITY MANAGEMENT
3.1 General
The Contractor is responsible for the quality of the Work, including the Work and products of the
Designer, Subcontractors, Subconsultants, fabricators, suppliers, and vendors.
3.2 Quality Management System Plan

A. The Quality Management System Plan (QMSP) will define the quality management systems
during the design and construction. The Design Quality Management Plan and Construction
Quality Management Plan are appendices of the QMSP. The Contractor shall or shall cause to
be completed all quality assurance and quality control activities required to manage its own
processes as well as those of its Contractors, and suppliers. The QMSP shall:
1. Be developed consistent with ISO 9001 principles and clearly demonstrate how it will lead to
continuing improvement;
2. Define the Quality Management System roles and auditing responsibilities and procedures
(internal and external);
3. Establish quality objectives that are measurable and quantifiable;
4. Provide an organizational chart with roles, responsibilities, and professional qualifications
applicable to all stages of the project;
5. Describe how the relevant requirements of the contract will be met;
6. Require any Designer, Subconsultant, Subcontractor, or supplier employed by the
Contractor for design and construction activities to develop, implement and maintain a
quality management system compatible with the requirements;
7. Be able to provide reports on quality with a tracking system, which at a minimum, includes:
a. Searchable data;
b. Summary of inspection and quality control activities;
c. Internal and external quality audits performed;
d. Non-conformances and their status, such as quality item description; date opened; date
closed; status (open, closed, pending, follow-up required); disposition (repair, reject,
rework); status; corrective actions;
e. How the non-conformity has been accepted by the Department, if applicable; and
f. Updates to the QMSP.
8. Provide a means and procedure for “escalating” quality concerns of the Department or the
Contractor;
9. Provide a linkage amongst relevant Project Development Plans and address all quality-
related items in those plans;
10. Provide a document management system;
11. Be updated regularly and produce a track-able record and reports of quality control,
assurance, and audits; and

12. Explain the corrective action process for workmanship related quality issues in order to
minimize the recurrence of such errors and quality problems.
3.3 Design Quality Management Plan

Provide and implement a comprehensive Design Quality Management Plan that describe how the
Contractor and Designer intends to manage the design processes for the Work. No Design Submittals
can be submitted until the Department has approved the DBT’s Quality Management System Plan and
Design Quality Management Plan.
Provide an organizational chart in the Design Quality Management Plan identifying key Designer and
Subconsultant design management personnel. Include a description of responsibilities, qualifications,
and authority of the key design management personnel and the organizational interfaces between other
engineering groups disciplines which undertake the Design Work. The Design Quality Management
Plan must address all phases and aspects of the Design Work.
The Design Quality Management Plan must, at a minimum, include or reference detailed quality system
procedures and process flow charts for the following processes:
A. Design and computer input and output review;
B. Verification of design inputs that incorporate on-Site measurements and/or inspections;
C. Design verification to ensure that design input requirements have been met;
D. Design validation to ensure that the final product is capable of meeting its intended use;
E. Design changes;
F. Control of non-compliant product;
G. Compliance with design certification requirements;
H. Design subcontractor quality assessment and procurement;
I. External quality audits of design subcontractors;
J. Internal quality audits;
K. Corrective actions;
L. Document management;
M. Control of records;
N. Interaction with design checking teams, including independent design checkers; and
O. Any mandatory documented procedures in addition to the foregoing.
At a minimum, the above-listed procedures and flow charts must document who will do the work, what
they will do, and what evidence is generated that they have done the work correctly. Provide a
declaration with each submittal from the DBT Design Quality Manager that the Design followed the
quality process and complies with the Design Quality Management Plan and any applicable
independent design check certifications. The Design Quality Management Plan shall be linked to other
relevant PMPs and the QMSP.

3.4 DBT Independent Design Quality Firm (IDQF)

The Contractor shall employ an IDQF who will be responsible for verifying compliance that all Design
Work meets the requirements of the Contract Documents, facilitating continuous improvement of the
design process, and meeting the quality assurance requirements that are assigned to the IDQF.
The IDQF shall not have any responsibility for, and shall remain independent from, all production
activities for Design Work. All written or documented communications (including all notices,
notifications, correspondence, meeting minutes, data, reports, transmittals, and emails) between the
IDQF and the Contractor relating to the IDQF’s responsibilities in connection with the Project shall be
copied to the Department. In the event the IDQF determines that the Design Work (or any portion
thereof) is not in accordance with the Contract, the DBT Design Manager and DBT Construction
Manager shall not have the authority to over-rule the IDQF’s determination.
The Contractor cannot terminate or seek the termination or removal of any IDQF personnel performing
quality functions or with a judgment in the quality of the Design Work without the expressed written
permission of the Department.
The IDQF must be the following:

A. An independent entity; shall not be an Affiliate and shall not be owned or controlled by the
Contractor or an Affiliate.
B. A direct report to the DBT Project Manager.
3.5 DBT Lead Independent Companion Bridge Engineer

Provide a Lead Independent Companion Bridge Engineer (ICBE) from a professional firm who will be
responsible for performing an independent check on the design of the Companion Bridge. This includes
independent analysis using independently derived methodologies and modeling software for the
geotechnical and structural design. The DBT Lead Independent Companion Bridge Engineer cannot be
employed by the Contractor or the Engineer of Record firm.
The DBT Lead Independent Companion Bridge Engineer must have authority independent of and be
equivalent (or higher) authority than the DBT Design Manager.
The Contractor cannot terminate or seek the termination or removal of the Lead Independent
Companion Bridge Engineer without the expressed written permission of the Department.
The Lead Independent Companion Bridge Engineer must be the following:

A. Employed by an independent entity, not owned by or an Affiliate of the Contractor or the
Engineer of Record of the Companion Bridge.
B. A direct report to the DBT Project Manager.

3.6 Early Work Packages and Phase 2 Construction Quality

Management
Provide and implement a comprehensive construction quality management plan that describes how the
Contractor intends to manage the construction processes in connection with the Work and integrate
with the Department’s testing, sampling, and inspection plan.
Provide a Construction Quality Management Plan that contains an organizational chart identifying key
construction management personnel. Include a description of the responsibilities, qualifications, and
authority of the above personnel and the organizational interfaces between construction and other
disciplines, including design, environmental management, and traffic management. Include all phases
and aspects of the Work, including design and construction, in the Construction Quality Management
Plan.
The Construction Quality Management Plan must, at a minimum, include or reference detailed quality
system procedures and process flow charts for the following processes that the Contractor will be
responsible for compliance with the Project Standards:
A. Construction safety audits:
1. Compliance with the Department’s inspection, testing, and monitoring.
B. Inspection, sampling and testing for Ohio Work required by C&MS 611 and SS840.
C. Field measurements and surveys.
D. Materials identification and traceability including (Information provided by Contractor):
1. Material sources.
2. Mill certifications.
3. Buy America certifications.
4. General material certifications.
5. Test data certifications.
6. Mix designs.
E. Subcontractors’ quality assessment and procurement.
F. Procurement monitoring compliant with the Subcontractor Bidding and Selection Plan.
G. External quality audits of Subcontractors.
H. Internal quality audits.
I. Control of non-compliant product and process of addressing non-compliance by both Contractor
and Subcontractors.
J. Corrective Action Plan and process for addressing corrective actions to address and prevent the
recurrence of Nonconforming Work as defined in Section 3.7 (Nonconforming Work).
K. Document management (Contractor for documents they produce/provide).
L. Control of records (Contractor for what they produce/supply).
M. Any mandatory documented procedures in addition to the foregoing.

At a minimum, document who does the work, what they do, and what evidence is generated that they
have done the work correctly in the foregoing procedures and flow charts.
Integrate the Departments quality assurance specifications, process, and durations into the
Construction Quality Management Plan.
Upload all Quality Documentation to the Department’s chosen document management software and
systems within 10 Working Days for access by the Department.
Integrate the Departments fabricator specifications, process, and duration into the Construction Quality
Management Plan.
3.7 Nonconforming Work

3.7.1 Nonconforming Work Process
The process for identification of Nonconforming Work, the initiation of a Nonconformance Report
(NCR), the identification and implementation of a Nonconforming Work remedy, and where applicable,
the issuance of a Corrective Action Request (CAR) and production and implementation of a
Preventative Action Report (PAR) are described below. The Contractor shall comply with the following
processes for Nonconforming Work:
A. Immediately cause an NCR to be initiated within the ECMS system in accordance with Section
3.7.2 (Initiation of NCR and Potential NCR). The Department and Department Authorized
Representatives shall also be entitled to initiate an NCR.
B. Detail the Nonconforming Work and the resulting NCR in the ECMS system along with a
corrective action plan and reason for the NCR in accordance with requirements to be provided
by the Department during Sub-Phase 1A.
C. The Department will review the NCR for compliance with the Agreement and the accepted PMP.
Where the Department does not certify its agreement with the NCR, the Contractor shall revise
and resubmit the NCR via the NCR system.
D. Following the Department’s acceptance of the NCR, the Contractor shall implement the
Nonconforming Work remedy accepted by the Department.
E. Following implementation of the accepted Nonconforming Work remedy the Contractor shall
notify the Department in order to verify implementation, document, and support NCR closeout.
F. An NCR shall be closed when it meets the requirements set forth in Section 3.7.4
(Nonconforming Work Remedy).
G. The Department may issue a CAR notice to the Contractor at any point during the
Nonconforming Work process as set out in Section 3.7.5 (Corrective Action Request). In the
event a CAR notice is issued, the Contractor shall submit a PAR in accordance with Section
3.7.6 (Corrective/Preventative Action Report).
3.7.2 Initiation of NCR and Potential NCR
The Department will initiate an NCR whenever the Department discovers from internal audits, external
audits, inspections, testing, or by notification from the Contractor that Nonconforming Work has
occurred. Whenever the Contractor becomes aware of Nonconforming Work, such party shall initiate an
NCR. No later than 24 hours after initiation of an NCR, the Contractor shall upload to the ECMS system

all information required by the Department. The Contractor shall rectify or otherwise address the
Nonconforming Work as described in the NCR, subject to the Department’s acceptance, in a manner
that allows each NCR to be closed within the period identified in the NCR, but in any event no later than
the Substantial Completion Deadline, or as otherwise stated in the PDBC Section 5.9 (Unauthorized
and Nonconforming Work).
Notwithstanding that Nonconforming Work has not yet occurred, a potential NCR shall be initiated
whenever any of the following apply:
A. An internal or external audit finding shows that a process or procedure in the PMP is not clearly
documented.
B. It has been discovered that the applicable reviews, testing, or inspections related to the Work
may not have been followed and the Project Documents or records are incomplete or
inconclusive.
C. Work of a similar nature or Work subject to similar processes has been discovered to be
Nonconforming Work and the root cause has not yet been established.
D. Work is in a state prior to reaching final completion condition such that modification would
require its destruction or otherwise require unplanned Work to occur to correct the condition to
make the Work conform to the requirements of the Agreement or to conform with other design
discipline elements. These fixed points include:
1. Upon transmittal of a Buildable Unit Submittal.
2. Any other point in time where Work has a distinct transition into a new and subsequent
stage, form, or time period. For example, substructure Construction Work is progressing,
and superstructure Release for Construction plans are submitted after substructure
Construction Work begins.
An NCR or potential NCR shall be initiated with respect to any of the following types of Work:
A. PMP, including conformance to stated process and procedures
B. Design Work at or after the Released for Construction Submittal, including associated Field
Design Change, Notice of Design Change, and Shop Drawings and their associated revisions
C. Construction Work including maintenance during construction
Wherever this Section 3.7 refers to Contractor actions and obligations with respect to each NCR, this
shall be deemed to include Contractor actions and obligations with respect to each potential NCR, and
the same processes and procedures specified herein for NCRs shall be followed for potential NCRs.
3.7.3 NCR System Requirements

The Contractor shall coordinate with the Department to establish NCR process, implementation, and
maintenance of the NCR system. The NCR system will identify, communicate, document, report, and
track (as required) all instances of Nonconforming Work and document actions to rectify or otherwise
address such Nonconforming Work. The Contractor shall maintain in the Department’s ECMS,
consistent with the workflow process of the ECMS system a complete history of each NCR from
initiation to Completion of the Contract.

3.7.4 Nonconforming Work Remedy

Where the Department accepts the disposition of an NCR as remove/replace (rework), repair, or accept
as-is:
A. Where the disposition of an NCR is to “repair” or “accept as-is”, the Engineers of Record
(EORs) who stamped or sealed the drawings for the Construction Work and the Contractor shall
evaluate the effect of the Nonconforming Work on the performance, safety, structural integrity,
visual quality, durability, and effect of the long-term maintenance of the Project and the Work
affected. The EOR shall issue an associated signed and sealed Notice of Design Change or
Field Design Change for the “repair” disposition.
B. For NCR disposition “rework”, “repair” or “accept as-is,” the provisions of the PDBC shall apply.
Where the disposition of an NCR is set to submit/re-submit for periodic or re-occurring Submittals, the
accepted remedy shall have been implemented prior to the next periodic Submittal or subsequent stage
of Submittal and in accordance with PDBC Section 5.9 (Unauthorized and Nonconforming Work) and
with PDBC Exhibit F (Noncompliance Points System).
Where the disposition of an NCR is set to “redesign” for a post-RFC Design Work Submittal and the
remedy requires the Design Work to be modified prior to construction beginning, the Contractor shall
issue the associated Field Design Change or Notice of Design Change.
3.7.5 Corrective Action Request

The Department is entitled to issue to the Contractor a CAR notice if any of the following circumstances
apply:
A. NCRs have occurred in similar work types more than four times in any calendar year.
B. More than two NCRs have occurred in similar work types in any 30-Day period that result from
inadequacies in either production processes or quality testing or inspections.
C. The Contractor has failed to timely submit the required information with respect to NCRs on
more than two occasions in a 30-Day period.
D. The Contractor has failed to act upon and implement an accepted Nonconforming Work remedy
on more than two occasions in a 30-Day period.
E. Nonconforming Work Remedies have failed to address the root cause of Nonconforming Work
on more than one occasion in any calendar year.
F. There is evidence that actions arising from Contractor quality audits are not being implemented.
G. Quality procedures are systemically not being carried out per the QMP or resolved in a timely
fashion.
H. When the Nonconforming Work relates to public health and safety, third-party property, or
Environmental elements.
3.7.6 Corrective/Preventative Action Report
Following the Department’s issuance of a CAR notice, the Contractor shall submit a PAR within 15
days of receipt unless otherwise agreed upon in writing. The PAR shall follow the processes and
procedures in the QMP including those described in this Section 3.7 (Nonconforming Work). The PAR

shall address whether the performance by personnel responsible for the relevant activities may be a
primary or contributing cause of the systemic Nonconforming Work. In such case, remedial action shall
include additional training, additional personnel, or the replacement of personnel or Subcontractors
from the activity or Project. Where the Department does not accept the PAR, the Contractor shall revise
and resubmit the PAR via the ECMS system. Upon the Department acceptance of a PAR, the CAR
shall be closed. The Contractor’s failure to provide or address the Department’s comments shall be
handled in accordance with PDBC Section 5.9 (Unauthorized and Nonconforming Work). The
Contractor’s failure to submit, implement, or comply with the accepted PAR shall result in the issuance
of a Noncompliance Event in accordance with PDBC Exhibit F (Noncompliance Points System).
3.8 Allocation of Quality Management Responsibilities

The Contractor will be responsible for the professional quality, technical accuracy, and adherence to
the Governing Regulations for all plan submittals required under the Contract Documents.
3.8.1 Contractor Responsibilities

The Contractor shall:
A. Perform all functions, including production necessary to meet the quality requirements of the
Contract Documents for Professional Services;
B. Have the authority and the obligation to stop any Work if requirements of the Contract
Documents are not being met;
C. Identify and recommend measures to prevent quality problems or to improve quality;
D. Provide 24-hour notice of and invite the Department to: over-the-shoulder reviews, and
interim/final design reviews;
E. Provide access to all facilities, offices, and locations on and off-site where Work occurs. To
facilitate access to sites where aerial access is necessary, make equipment available for the
directed use of the Department personnel;
F. Allow the Department to copy any books or records, or provide copies, as the Department
reasonably deems necessary for purposes of verifying compliance with the Contract
Documents;
G. Build into its Project Schedule sufficient time for reviews, approvals, quality assurance, and for
the Contractor’s subsequent revisions;
H. Stop Work when directed and correct conditions that are unsafe for Project personnel or the
public or to correct unacceptable design or construction practices;
I. Have no IDQF responsibilities;
J. Inspection, sampling and testing for Ohio Work required by C&MS 611 and SS840;
K. Provide 24-hour notice for required inspection, sampling and testing by the Department; and
L. Work collaboratively to integrate the Department’s construction engineering and inspection
functionality for testing, sampling, and inspection into the DBT’s Quality Management Plan.

3.8.2 DBT IDQF Responsibilities

The DBT IDQF shall:
A. Perform all quality assurance functions related to Design Documents ensuring that all Design
Work meets applicable requirements of the Contract Documents. Design work may be verified
by qualified individuals who are employees of or retained by manufacturers, vendors, or
Suppliers, if approved in writing by the Department;
B. Identify and recommend measures to prevent quality problems or to improve design quality;
C. In the event the IDQF determines that the Design Work does not meet the requirements of the
Contract Documents, promptly notify the DBT Manager with a copy of such Notice to the
Department;
D. Have the authority and requirement to stop any Design Work if requirements of the Contract
Documents are not being met;
E. Approve all design submittals (including Engineered Drawings) prior to delivery to the
Department. IDQF approval shall indicate that the IDQF believes the Contractor’s quality
process has been followed and that the submittal meets requirements of the Contract
Documents; and
F. Have no Contractor Quality Control responsibilities.
3.8.3 DBT Lead Independent Companion Bridge Engineer Responsibilities
The DBT Lead Independent Companion Bridge Engineer shall:
A. Review the Bridge Design Criteria Report and conduct design checks to ensure that the design
of the Companion Bridge meets the Bridge Design Criteria Report, including all performance
expectations and requirements for the Project and that such design is carried out according to
Good Industry Practice (see specific design assessment requirement below);
B. Undertake supplementary analyses (see specific analytical check requirements below) to
independently verify and confirm the design methodologies and assumptions used;
C. Use bridge analysis and design programs that are different from the bridge analysis and design
programs used by the design team. These bridge analysis and design programs shall meet the
Project requirements;
D. Identify deficiencies in the design and analyses, and notify the Contractor and the Department
of unresolved deficiencies; and
E. Assist the Contractor and the Department in resolving any deficiencies.
The independent design check requirement shall be separate from, and in addition to, the Contractor’s
required quality management procedures. The use of an Independent Bridge Engineer is not required
for report submittals unless noted otherwise elsewhere in the Contract Documents.
A. Design Assessment Requirements: Design assessment shall be the review of general
compliance with the requirements of Section 18 (Structures) taking into consideration the
proposed method of construction, and shall at a minimum cover the following areas:
1. Loads.
2. Applicable laws and standards.
3. Methods of analysis.

4. Computer software and its validation.

5. Maintenance requirements.
6. Materials and material properties.
7. Durability requirements.
8. Fatigue performance.
9. Redundancy requirements.
10. Requirements and conditions of Permits and other environmental commitments.
B. Analytical Check Requirements: Provide an independent design check that includes an
independent analytical check using separate calculations — and without reference to the
Designer's calculations — to establish the structural adequacy and integrity of all Structural
Elements. Include, at a minimum, the following in the check:
1. The structural geometry and modeling.
2. Material properties.
3. Member properties.
4. Loading intensities.
5. Structural boundary conditions.
3.8.4 Department Responsibilities
Department or Consultant Advisors acting on behalf of the Department will provide reviews of design
submittals per Section 2.3 (Design Submittals) and provide construction quality control, sampling, and
testing in accordance with the Department requirements.
3.9 Submittals
Submit submittals under this Section 3.9, a non-exhaustive list of which is set forth in Table 3-1 (Quality
Management Submittals Table), in electronic format in accordance with the schedule set forth below.
Acceptable electronic formats include PDF and current versions of Microsoft Word and Microsoft Excel,

Table 3-1: Quality Management Submittals Table

Reference
Section
Prior to the start of Work,
Quality Management but in no case later than
Approval N/A 1 3.2
System Plan 30 Working Days after
NTP
Prior to the start of Work,
Design Quality but in no case later than
Approval N/A 1 3.3
Management Plan 30 Working Days after
NTP
Independent Design
As per Design Quality
Check Certifications Submittal N/A 1 3.3
Management Plan
and Calculations
Not later than 30 Working
Construction Quality Days before first
Approval N/A 1 3.6
Management Plan Construction Work of
Permanent Work

4. CO-LOCATION FACILITIES FOR CONTRACTOR AND DEPARTMENT

FORCES
4.1 Project Management Office
The Contractor shall co-locate with Department and consultant advisor personnel for the
Preconstruction Phase (Sub-Phase 1A and Sub-Phase 1B) and Final Design and Construction Phase
(Phase 2) of the Project. The purpose of the PMO is to consolidate and co-locate the DBT’s key
management, design, construction, quality, and compliance functions and the Department’s
management, oversight, and compliance staff in order to facilitate the teamwork, communications, and
interaction called for by the Contract Documents. The Contractor shall provide ADA-compliant, Class C
PMO to accommodate co-located personnel meeting the requirements of this Section 4.1 and ODOT
Construction and Materials Specifications Item 619. The office space shall be located in Ohio and be
within 2 miles of the intersection of I-75 and the Ohio River or in a location acceptable to the
Department.
Although located in the same facility as the Contractor , Department staff and consultant advisor
personnel workspaces shall be adjacent to the extent possible. If the facility has multiple floors, the
Department and consultant advisor workspaces should be placed together on its own floor while
Contractor workspaces shall be located on a separate floor.
The PMO shall be established with a short-term lease (with a maximum initial term of one-year) with the
option to extend for the term of the Project on a month-to-month basis. If PDBC Section 21
(Termination for Convenience) is initiated by the Department the short-term lease shall be allowed to
expire or shall be terminated.
The following personnel, at a minimum, shall be in the PMO during the Preconstruction Work (Sub-
Phase 1A) for weekly progress meetings:
A. DBT Construction Manager
B. DBT Design QC Manager
C. IDQF Manager
D. Lead Structural Design Engineer
E. Lead Highway Design Engineer
F. Lead Independent Companion Bridge Engineer
G. DBT Diversity and Inclusion Manager
Although considered beneficial by the Department, it is left to the discretion of the Contractor as to
whether detailed design production activities of the Project are located at the PMO. If any portion of the
Design Work is not accomplished at the PMO, it is expected that the Key Personnel and design
discipline leads shall be responsible for all necessary coordination at the PMO.
It is required that all design reviews, Contractor’s design discipline (subject area) meetings called for by
the Contract Documents, and all coordination and other activities requiring Department’s consultation
be held in the PMO unless otherwise mutually agreed.

The following personnel, at a minimum, shall be co-located in the PMO for Preconstruction Work (Sub-
Phase 1B) per percentages/week listed below:
A. DBT Project Manager (100%)
B. DBT Design Manager (100%)
C. IDQF Manager (100%)
D. Lead Independent Companion Bridge Engineer (20%)
E. DBT Construction Manager (20%)
F. Lead Structural Design Engineer (20%)
G. Lead Highway Design Engineer (20%)
H. DBT Diversity and Inclusion Manager (20%)
I. DBT Design QC Manager (20%)
The following personnel, at a minimum, shall be co-located in the PMO for Final Design and
Construction Work (Phase 2) per percentages/week listed below:
A. DBT Project Manager (100%)
B. DBT Design Manager (100%)
C. DBT Construction Manager (100%)
D. DBT Utilities/Rail/City Coordinator (80%)
E. IDQF Manager (100%)
F. Public Information Point of Contact (60%)
G. Lead Bridge Superintendent (100%)
H. Lead Highway Superintendent (100%)
I. DBT Diversity and Inclusion Manager (60%)
J. Lead Independent Companion Bridge Engineer (60% until 100% of the Companion Bridge
Released for Construction Plans are accepted)
K. Lead Structural Design Engineer (20% until 80% of the structural Released for Construction
Plans are accepted)
L. Lead Highway Design Engineer (20% until 80% of the roadway Released for Construction Plans
are accepted)
M. DBT Design QC Manager (20% until 80% of the Released for Construction Plans are accepted)
The Contractor shall coordinate to ensure at a minimum one of the following Key Personnel is in the
PMO during the work week during Phase 2: DBT Project Manager, DBT Design Manager, and DBT
Construction Manager.
In Phase 2 of the Project, it is anticipated that construction field offices will be necessary in both Ohio
and Kentucky. The Ohio construction field office may be separate from or combined with the PMO.
Equipment and network requirements for the field office(s) will be coordinated prior to the Phase 2
Change Order.

After the Design Work of the Project is complete, the Contractor may elect to reduce the size of the
PMO provided sufficient office space remains for the required Contractor’s and Department’s
managerial, construction, and environmental compliance personnel.
In addition to the requirements of ODOT Construction and Materials Specifications Item 619, within two
weeks after NTP, the Contractor shall schedule a meeting with the Department to coordinate plans for
the interim and/or permanent PMO and possible construction field office(s), including integration,
accommodation, and incorporation of Department’s requirements. Contractor shall provide the following
items and features for the required office space and facilities for Department forces within 30 days after
Notice to Proceed.
The Contractor shall provide maintenance for all items provided by the Contractor. The Contractor is
responsible for determining office requirements to accommodate the Contractor’s staff.
A. New Office furniture for the entire office space:
1. Two copier, printer, and scanner systems per the specifications listed below. The Contractor
shall provide paper and printing supplies and maintenance for all specified equipment.
Contractor shall provide maintenance within 24 hours of Department notification of
equipment use disruption.
2. Contractor to provide telephone service for KYTC and Consultant Advisors as required for
the PMO to function as a typical design office with minimal delays in service or ability to
complete Work.
3. All rooms, cubicles, and conference rooms shall be capable of having network jacks
installed for use by the Department.
4. The Contractor will obtain and pay for two separate internet connections for Contractor,
KYTC, and Consultant Advisors, each with secure 1Gbps (“Gigabit internet”) broadband
internet service and wi-fi connectivity, capable of providing simultaneous service to at least
30 staff at a minimum. The Contractor will provide the necessary network equipment and
communication circuits to connect the PMO to the Department network. The DBT will install
network drops in the office cubicles, conference room, and public meeting room.
B. For Security purposes the Contractor will provide and maintain their own internet connectivity,
wired network and Wi-Fi network. The Contractor shall provide a second Wi-Fi network for
KYTC and Consultant Advisors.
C. The Contractor shall provide two licensed copies of Primavera (P6) for KYTC and the
appropriate contract management software compatible with the Department’s project document
management system.
D. Office space for the Department’s staff that has, at a minimum, the following:
1. 12 offices (100 square feet, each enclosed office space with individual locking door, one
desk, office chair, folding table, bookcase, and two side chairs);
2. 18 cubicles (80 square feet each) and an appropriate number of desks, chairs, and filing
cabinets;
3. An enclosed conference room (600 square feet) with doors, provided with:
a. A computer projector and minimum 7-foot-wide screen;
b. Folding Office Chairs (10);

c. 40 padded conference room chairs;

d. Conference room tables for 30 people with additional seating room for up to 10 people;
and
e. Large conference room high-quality wideband speaker phone with control panel and dial
pad and two wired expansion microphones.
4. Break room with sink (150 square feet, with 12 square feet of counter space, microwave
oven and a 20-cubic-foot refrigerator);
5. Lockable filing space (400 square feet) with six four-drawer filing cabinets;
6. Ten 3-by-5 foot dry-erase boards;
7. Two 4-by-8 foot dry-erase boards;
8. Multiple colored dry-erase markers and erasers (for the duration of the Project);
9. Two lockable closets (25 square feet each);
10. Hard surfaced (paved) parking, with one space per office and one space per cubicle, plus 10
visitor spaces. The parking area shall be well lit, secured, and maintained, with slopes not
exceeding 1 percent in any direction. Parking shall be at no cost to the Department. A
separate, fenced, lockable area shall be provided for 10 vehicles within the provided parking
area;
11. 30 wastepaper baskets; and
12. Include bottled water service, potable hot and cold water. Toilet/washroom facilities must be
appropriately sized for the size of office space per Ohio and/or Kentucky building code.
Furnish all lavatory and sanitary supplies. Provide daily janitorial service.
E. Public meeting space for meetings with public officials, key stakeholders, media, and others that
has at a minimum:
1. Separate entrance from main hallway or foyer so that Project staff is not disrupted by the
meetings;
2. 800 square feet of space;
3. Tables and folding chairs for seating up to 40. Contractor to include additional 20 padded
conference room chairs;
4. Six floor-standing easels for Project boards; and
5. Computer projector and minimum 7-foot-wide screen.
F. High-quality wideband speaker phone with control panel and dial pad and two wired expansion
microphones.
G. The Contractor shall provide security for the PMO, including protection of the building or space
within a building against theft 24 hours per day, and is responsible for loss of property of
Department, Consultant Advisors or personal property of employees of the Department housed
therein due to fire, theft, or related causes; however, the Contractor is not responsible for non-
job-related personal property. Protection shall include a continually monitored security and
alarm system.
H. In addition to the responsibility to maintain all internal PMO spaces and equipment, the
Contractor shall be responsible for regular exterior maintenance (either directly or through a
building manager depending on facility arrangements) of the immediate grounds, monthly trash

service dumpster (at least 5 cubic yards), landscaping, and the removal of snow and ice,
including the supply and application of de-icing or ice melting agents, from parking areas and
walks in a timely manner to ensure safe passage to and from the PMO.
4.2 Copier, Printer, and Scanning System Specifications

A. Automatic document feeder with 80-sheet ARF:
1. Equipped to handle paper up to and including 11-by-17 inch (originals and copies) including
mixed originals.
2. Reduction and enlargement features.
3. Unlimited duplexing for all size originals 8.5-by-11 inch through 11-by-17 inch.
4. Manual and selectable automatic exposure settings.
5. Operate on standard voltage with no special or dedicated lines.
6. Stapler/finisher support with the following features:
a. Paper size support for 5.5-by-8.5 inch to 11-by-17 inch/A6 to A3;
b. Paper Weight support from 16 to 42 lb. Bond/ 60 to 157g/m2;
c. Three staple positions (1 staple/2 positions; 2 staples/1 position); and
d. Staple capacity: 50 sheets (8.5-by-11 inch); 30 sheets (8.5-by-14 inch or larger).
7. 1 to 999 sort capacity.
8. Paper capacity: four trays of 500 sheets each; 50-sheet bypass tray.
9. Paper weight support: 20- to 28-pound Bond/64 to 105g/m2 (Trays 1,2,3, & 4) 16- to 44-
pound Bond/52 to 163g/m2 (bypass) 20- to 28-pound Bond/64 to 105g/m2 (duplex).
10. Energy Star compliant.
11. Network printer capability with 10BASET/100BASETx network card.
12. Printer speed 35 ppm.
13. Network protocol support for TCP/IP.
14. Network operating system for Windows 7 Professional (Confirm with the Department).
15. Client Print driver support for Windows 8 (Both PCL/PS drivers) (Confirm with the
Department).
16. Minimum print resolution of 600 x 600 dpi.
17. Secure printing with password or pin.
18. Network scanning that supports the following:
a. Scan speed: 52 ipm @200 dpi;
b. Scan area: up to 11-by-17 inch;
c. Grayscale: 256 levels (Color Required);
d. Scanning resolution: 600 dpi;
e. Scanning protocol support: TCP/IP, SMTP, SMB, FTP, POP3, NCP;
f. Scanning support for scan-to-email, HDD, folder, URL, and TWAIN;

g. File formats: Single-page TIFF, JPEG, PDF, multi-page TIFF, PDF;

h. Address book support for multiple items;
i. OCR software that supports TIFF, PDF, multi-page TIFF, and multi-page PDF; and
j. OCR software must support batch workflow processing of documents.
19. Minimum shared memory capacity for all options:
a. 384 MB.
20. Hard disk drive:
a. 40 GB drive for internal storage and network scanning.
21. Black & white and color capable.

5. DIVERSITY, INCLUSION, AND OUTREACH

The Contractor shall identify and employ a Diversity and Inclusion Manager who shall create and
actively manage a Department and FHWA approved, project-specific Diversity, Inclusion, and Outreach
Plan (DIOP). The Diversity and Inclusion Manager shall be responsible for all aspects of Project
outreach and compliance for DBE, EEO, prevailing wage, workforce development, On the Job Training
(OJT) activities, including coordination with the Contractor, Department’s staff, and Consultant
Advisors. The Diversity and Inclusion Manager shall provide regular updates to the Department on
implementation of the DIOP. The Diversity & Inclusion Committee and ODOT’s Division of Opportunity,
Diversity, & Inclusion (ODI) will serve as resources for the Contractor’s D&I efforts The Diversity &
Inclusion Manager shall attend, participate, and provide a written summary of activities in all Diversity &
Inclusion Outreach Committee meetings. The DBE and OJT participation goals for the Project are
defined within the PDBC for Preconstruction Phase (Phase 1 Work) and Final Design and Construction
Phase (Phase 2 Work).
The DIOP shall include as a minimum the following components:

A. DBE Performance Plan;
B. DBE Goal Attainment and Tracking Plan;
C. DBE Outreach Plan;
D. DBE Development Plan;
E. Compliance Plan;
F. OJT Performance Plan;
G. Workforce Development Plan; and
H. Community Engagement Plan.
5.1 DBE Performance Plan

The initial DBE Performance Plan as submitted with the Proposal in response to the ITO, is included in
PDBC Exhibit C (Proposal Commitments). An updated DBE Performance Plan shall be submitted by
the Contractor to the Department at the execution of the Contract (Sub-Phase 1A) and each Change
Order for Sub-Phase 1B, Early Work Packages, and Phase 2.
DBE firms can be added to the DBE Performance Plan at any time; however, the Contractor shall follow
the contract process for termination, reduction, and replacement of a DBE firm as set forth in PDBC
Section 8.5 (Substitution of Subcontractors) and Exhibit L (Disadvantaged Business Enterprise (DBE)
Performance Plan and Good Faith Efforts). This process requires pre-approval by the Department. The
DBE Performance Plan shall be updated on a rolling basis and submitted monthly to the Department for
approval. At a minimum, the following information shall be included in the monthly submittal to the
Department:
A. A comprehensive list of subcontract packages to be set aside or made available for DBE
participation. Each subcontract packages shall set forth the type of work available including
applicable NAICS codes for the Work, the timeframe the subcontract would be entered into, and
when the subcontract work would be performed. Subcontract packages shall be added or

subtracted from the DBE Performance Plan on a rolling basis, as opportunities are identified
and/or filled;
B. A list of DBEs committed on the Project including the following:
1. Names and addresses of certified DBE firms committed;
2. A description of the work that each DBE will perform. To count toward meeting a goal, each
DBE firm must be certified in a North American Industry Classification System (NAICS) code
applicable to the kind of work the firm would perform on the contract;
3. Whether the DBE firms being used to meet the goal will be utilized as a subcontractor, regular
dealer, manufacturer, consultant, or other capacity;
4. The dollar amount of the participation of each DBE firm used to meet the DBE goal;
5. Written documentation of the bidder/offeror’s commitment to use a DBE subcontractor
whose participation it submits to meet a contract goal; and
6. Written confirmation from each listed DBE firm that it is participating in the contract in the
kind and amount of work provided in the prime contractor’s commitment.
C. A list of the names, position, and qualifications of each individual on the Contractor’ team who
will be responsible for DBE utilization and commitments; and
D. A statement providing Contractor shall make good faith efforts throughout the life of the Project
to identify and carve out potential subcontracting packages for DBE participation.
The Contractor shall Submit an updated and revised DBE Performance Plan per PDBC Section 2
(Progressive Design-Build Approach) and PDBC Section 4 (Design Requirements and Submittals) with
the Sub-Phase 1B Proposal and Phase 2 Proposal.
5.2 DBE Goal Attainment and Tracking Plan

The DBE Goal Attainment and Tracking Plan shall explain the Contractor’s methodology for developing
and tracking its DBE Performance Plan. The Contractor shall address in its methodology how the
Contractor will determine DBE subcontract packages, the types of subcontract packages it plans to
consider for DBE participation, the type of tracking software it will utilize to track DBE commitments and
utilization, and how it will track communications to DBE firms on available DBE subcontracting
opportunities and commercially useful function (CUF).
The Contractor is responsible for ensuring the DBE goal is tracked in real time throughout the life of the
Project shall submit a monthly report to the Department outlining goal attainment and commitments to
date and maintain a project dashboard with daily updates. The Contractor is responsible for ensuring
the DBE firms committed to the Project are properly certified as a DBE in Ohio, Kentucky, or Indiana
pursuant to the relevant reciprocity agreements and have received the proper NAICS codes for the
work performed in order for the work to count toward meeting a goal.
The DBE Goal Attainment and Tracking Plan shall include, at a minimum, the following components:
A. Explanation of the Contractor’s methodology for tracking the Project DBE goal in real time. This
tracking should include:
1. Commitments and negotiations with each DBE firm along with a copy of the DBE’s quotation
for Work;

2. Payments as they are made to each DBE firm;

3. Percent completion of each individual DBE contract; and
4. Overall DBE goal attainment based on:
a. Payments made to the Contractor (to date).
b. CUF evaluation.
c. NAICs codes.
B. Identification of the type of software the Contractor will utilize to track DBE goal attainment on a
rolling basis and in real time;
C. Identification of the Contractor’s methodology to ensure each DBE firm committed to the Project
is properly certified and holds the necessary NAICS codes; and
D. A list of the names, position, qualifications of each individual on the Contractor who will be
responsible for DBE goal attainment and tracking.
The Contractor shall submit an updated and revised DBE Goal Attainment and Tracking Plan per
PDBC Section 2 (Progressive Design-Build Approach) and PDBC Section 4 (Design Requirements and
Submittals) with the Sub-Phase 1B Proposal and Phase 2 Proposal.
5.3 DBE Outreach Plan

The DBE Outreach Plan shall explain in detail the Contractor’s outreach and communication plan
regarding DBE participation on the Project. Examples of DBE outreach may include but are not limited
to networking events, informational events, newsletters, and social media. The DBE Outreach Plan
should identify early notification, early involvement, partnership, visible leadership, targeted outreach,
and measurable goals. If the Department elects to conduct any outreach and networking events, the
Contractor shall attend and participate.
The DBE Outreach Plan shall include creating and maintaining a database of all contacts, inquiries, and
identified potential DBE firms. This database shall contain, at a minimum, the company name, date of
initial inquiry, date of every inquiry after, how the inquiries were made (phone, email, etc.), nature of
potential viable work to be performed, efforts made by the Diversity and Inclusion Manager, contact
information, and whether the business is ultimately included in the Project. If a company is not being
considered for the Project, the reasons must be documented along with proof that the company was
notified of the decision including feedback so the firm can learn for future projects.
The DBE Outreach Plan shall set forth the names, position, and qualifications of each individual on the
Contractor who will be responsible for DBE outreach and communication.
The Contractor shall Submit an updated and revised DBE Outreach Plan per PDBC Section 2
5.4 DBE Development Plan

The Contractor shall create a DBE Development plan. The purpose of this plan is for the Contractor to
mentor, with the support of the Department, any utilized DBE firms to develop business practices which

will enable long term viability for future construction-related projects. A DBE Development Plan may
include but not limited to opportunities to assist DBE firms in overcoming challenges to participate on
the Project by utilizing small business assistance resources to help with bonding, insurance, loans,
access to capital, DBE certification, prequalification, etc, as approved by the Department. The DBE
Development Plan may also present strategies to mentor or create opportunities for mentorships with
DBE firms.
The DBE Development Plan shall include the Diversity and Inclusion Manager’s assistance in the
company’s ongoing understanding of contracting with the Department. The Contractor shall Submit
updated and revised DBE Development Plan per PDBC Section 2 (Progressive Design-Build Approach)
and PDBC Section 4 (Design Requirements and Submittals) with the Sub-Phase 1B Proposal and
Phase 2 Proposal.
5.5 Compliance Plan

The Contractor shall be responsible for adhering to all State and Federal requirements regarding
Prevailing Wage, Prompt Payment, EEO, and the DBE Program. Accordingly, the Contractor shall
include in its Compliance Plan how the Contractor will ensure compliance with these requirements. The
Compliance Plan shall address the following, at a minimum:
A. Commercially Useful Function (CUF):
1. The Contractor shall set forth its methodology for performing CUF reviews for each DBE
participating on the Project.
2. The Contractor shall provide a list of the names, position, and qualifications of each
individual on the Contractor’s team who will be performing CUF reviews.
3. The Contractor shall identify how it will track CUF on the Project, how the Contractor will
address CUF violations, and how the Contractor will monitor and track CUF for DBE trucking
firms.
B. Prevailing Wage:
1. The Contractor shall set forth its methodology to ensure the correct Prevailing Wages are
paid to all individuals on the Project.
individual on the Contractor’s team who will be monitoring or auditing payrolls for the
Project.
C. Equal Employment Opportunity (EEO):
1. The Contractor shall set forth its methodology to ensure EEO requirements are met on the
Project in accordance with all State and Federal requirements.
2. The Contractor shall also identify the process for addressing EEO violations, which may
include mediation, sanctions and withholding payments.
individual on the Contractor’s team who will be monitoring the EEO requirements on the
Project.

D. Prompt Payment:
1. The Contractor shall set forth its methodology for ensuring payment is promptly made to
each subcontractor working on the Project in accordance with all State and Federal
requirements.
2. As part of this methodology, the Contractor shall ensure each subcontractor affirms receipt
of payment when received.
3. The Contractor shall identify the method by which it will track and communicate payments
and receipt of payments to each subcontractor.
4. The Contractor shall also identify the process for addressing prompt payment violations,
which may include mediation, sanctions, and withholding payment.
individual on the Contractor’s team who will be monitoring prompt payment.
The DBT shall Submit updated and revised Compliance Plan per PDBC Section 2 (Progressive Design-
Build Approach) and PDBC Section 4 (Design Requirements and Submittals) with the Sub-Phase 1B
Proposal and Phase 2 Proposal.
5.6 On the Job Training Performance Plan

The DBT shall meet a Project specific OJT goal. As part of the Contractor’s OJT Performance Plan, the
Contractor shall include a plan to meet the requirements of PDBC Exhibits O (Notice of Requirement of
Affirmative Action to Ensure Equal Employment Opportunity and Workforce Diversity Requirements on
all ODOT Administered Federally Funded Projects) and P (On-the-Job Training Program). If a
significant change in workforce has occurred that will substantially affect goal attainment, the
Department will request, review, and approve an amended On the Job Training Performance Plan.
The Contractor shall provide a list of the names, position, and qualifications of each individual on the
Contractor’s team who will be assisting with the OJT Performance Plan.
The Contractor shall Submit updated and revised On the Job Training Performance Plan per PDBC
Section 2 (Progressive Design-Build Approach) and PDBC Section 4 (Design Requirements and
Submittals) with the Sub-Phase 1B Proposal and Phase 2 Proposal.
5.7 Workforce Development Plan

The Contractor shall create a Workforce Development Plan. The purpose of this plan is for the
Contractor, with the support of the Department, to assist candidates seeking employment in the
transportation industry or related infrastructure projects. A Workforce Development Plan may include
but should not be limited to opportunities to engage elementary, middle, and high school students in
STEM opportunities or the Project, apprenticeship programs, and veteran employment programs.
The Workforce Development Plan shall include the Diversity and Inclusion Manager’s assistance in
working on the Project. The Contractor shall Submit updated and revised Workforce Development Plan
per PDBC Section 2 (Progressive Design-Build Approach) and PDBC Section 4 (Design Requirements
and Submittals) with the Sub-Phase 1B Proposal and Phase 2 Proposal.

5.8 Community Engagement Plan

The Contractor shall provide a Community Engagement Plan that sets forth, in detail, how the
Contractor will engage and support to the local community affected by the Project, during the life of the
Project. At a minimum, the Community Engagement Plan shall include outreach events, community
benefits or investments, community ambassadors, newsletters social media, and coordination with the
Diversity and Inclusion Outreach Committee for disseminating information related to DBE and
workforce development opportunities.
The Contractor shall Submit updated and revised Community Engagement Plan per PDBC Section 2
5.9 Submittals
Submittals under this Section 5.9, a non-exhaustive list of, shall be submitted in electronic format in
accordance with the schedule set in Section 2.1.11 (PMP Submittal), Table 2-1 (DBT PMP Component
Management Plans). Acceptable electronic formats include PDF and current versions of Microsoft Word
and Microsoft Excel, unless otherwise indicated.

6. PUBLIC INFORMATION AND COMMUNICATIONS

Providing clear, consistent, and timely messaging is an essential element to successful Project delivery.
The public information role will include responding to public inquiries and complaints; coordination with
the media; preparing regular traffic updates, press releases, web updates and photo and video
documentation; and coordinating with local jurisdictions, transit providers, emergency service providers,
local neighborhoods, communities, and business groups. To support this effort, the Department will
share clear, concise, and timely information with the public, elected officials, community leaders,
businesses, and the news media.
The Department will be responsible for disseminating all public information and communications.
The Contractor shall work with the Department to achieve the following public information and
community relations goals:
A. Support the successful delivery of the Project by presenting the Project in a positive light to the
public.
B. Provide information to individuals and entities directly affected by construction in a proactive,
responsive, and complete manner.
C. Reinforce positive Department relationships with associated agencies, individuals, and
community and business groups.
The Contractor shall support the Department with public outreach and communication as requested.
This may include meeting attendance and development of reader-friendly graphics, presentations, or
summaries during Preconstruction (Phase 1) and Final Design and Construction (Phase 2).

7. ENVIRONMENTAL
An Environmental Assessment (EA) (EN-01, EN-02) was prepared for the BSB Corridor Project, and a
Finding of No Significant Impact (FONSI) (EN-03) was approved by FHWA on August 9, 2012. FHWA
approved reevaluations of the EA on February 11, 2015 (EN-04) and March 15, 2018 (EN-05). The
Department is currently developing a supplemental EA that assesses and documents revised impacts,
policy updates, project changes, and coordination that has occurred since the 2012 EA/FONSI. This
Section 7 describes the environmental commitments and requirements of the Project in accordance
with the 2012 EA/FONSI, reevaluations, and supplemental EA.
7.1 Environmental Commitments

Known environmental commitments – including compliance measures, documentation, timing, and
responsibilities - are described in EN-28 (Environmental Commitments). Additional commitments may
be identified during the development of the supplemental EA and will be added to the RIDs. The Parties
will collaborate during the Preconstruction Phase to assign responsibilities for each environmental
commitment. The Contractor shall be responsible for fulfilling environmental commitments assigned to
the Contractor and shall coordinate with the Department or other parties, as required, to incorporate
mitigation activities into the Project Schedule and OPC. The Contractor shall also incorporate plans,
details, specifications, notes, and special provisions into the Base Design Submittal, as appropriate, to
satisfy the environmental commitments.
7.2 Permitting
The Contractor shall coordinate with the Department to determine roles and responsibilities for
permitting. The Contractor shall update (add, remove, and refine) the information provided in PC-01
(Project Permitting Requirements) based on permitting needs as the Project progresses. The
Contractor shall prepare a Permitting Plan that identifies timelines, required information, and
approval/signature cycles for each permit.
The Permitting Plan shall include:

A. A spreadsheet summarizing the necessary permits to construct the Project and any permit-
specific plans that must be approved (e.g., Stormwater Pollution Prevention Plan is a
component of the National Pollutant Discharge Elimination System). The spreadsheet shall also
include the locations of impact areas covered by each permit;
B. Known mitigation related to permits, including roles and responsibilities and timeline for
implementation;
C. A summary of coordination activities required before permits are submitted, including roles and
responsibilities and timeline;
D. A permitting schedule outlining coordination activities, submittal dates, permit dependencies
(e.g., 408 approval required prior to some 404/401 permits), permit timeframes, permit reviews,
and signature dates;
E. Summary of submittal deadlines; and
F. Summary of signature deadlines.

Anticipated federal permits include U.S. Army Corps of Engineers (USACE) Section 408, USACE
Individual Section 404, USACE Section 10, U.S. Coast Guard (USCG) Section 9, and Federal
Emergency Management Agency (FEMA) Conditional Letter of Map Revision (CLOMR)/Letter of Map
Revision (LOMR). For the USCG Section 9 permit initial coordination, Contractor shall refer to PC-02
(USCG Coordination and Correspondence) and PC-03 (Brent Spence Bridge Section 9 Project
Initiation Request).
Anticipated state and local permits in both Ohio and Kentucky include Section 401 Water Quality,
Stream Construction Permit, Floodplain/Floodway, and National Pollutant Discharge Elimination
System (NPDES).
If permits other than those described above are required, the Contractor shall include them in the
Permitting Plan.
The Contractor shall initiate coordination with permitting agencies in accordance with the approved
Permitting Plan.
7.3 Mussel Relocation

The Contractor shall develop and implement a Mussel Relocation Plan in accordance with the Ohio
Mussel Survey Protocol. The Mussel Relocation Plan shall be coordinated through ODOT. The
Contractor shall be responsible for contracting with a qualified malacologist as described in the Ohio
Mussel Survey Protocol for the mussel relocation.
7.4 Regulated Materials

Once acquired and plans have advanced to the necessary detail to determine areas of construction and
utility disturbances, the Contractor shall complete a Phase II Environmental Site Assessment (ESA) at
666 West 3rd Street and 550 Pike Street in Covington, Kentucky as required by the Comprehensive,
Environmental Response, Compensation and Liability Act (1980) as amended by the Superfund
Amendments and Reauthorization Act (1986). Only areas of construction/utility disturbances of 3 feet or
greater in depth shall be assessed.
Regulated Materials or contaminated areas encountered during the Design and Construction Work are
the responsibility of the Contractor to identify and take the appropriate steps to coordinate with ODOT
and KYTC for disposal in accordance with all applicable laws and regulations. A summary of regulated
materials studies and commitments made for the Project is provided in EN-15. Prior Environmental Site
Assessment studies conducted for the Project are provided in EN-16 through EN-25.
The Contractor shall prepare a Regulated Materials Management Plan (RMMP) that provides specific
guidance for managing, handling, and disposing of regulated materials that may be encountered within
the Right-of-Way and for protecting the health and safety of all on-site personnel and the public in
accordance with all applicable local, state and federal regulations. The RMMP shall list specific sites
and define procedures for managing both known and unknown regulated materials encountered during
the design and construction of the Project.

Once properties are acquired and the plans have advanced to the necessary detail, the Contractor shall
perform a Regulated Materials inspection on buildings, bridges, and other structures to be demolished
by the Contractor. If asbestos containing materials are identified on any bridge or other structures that
are proposed to be demolished and/or renovated, the Contractor shall perform asbestos abatement.
The Contractor shall follow all applicable local, state, and federal requirements for handling and
disposing of Regulated Materials identified during inspections (i.e., lead paint, fluorescent lightbulbs,
etc.) The inspection/notification to regulatory agencies/abatement shall be conducted prior to demolition
and/or renovation activities.
7.5 Cultural Resources

7.5.1 History/Architecture
Once acquired, the Contractor shall record structures to be demolished within the Lewisburg Historic
District in accordance with the Lewisburg Historic District Memorandum of Agreement (MOA).
Once acquired, the Contractor shall coordinate with the Department and the property owner to
incorporate mitigation activities at Longworth Hall (EN-12, EN-13, EN-14) into the Project Schedule and
OPC.
When the construction plans are advanced to sufficient detail, the Contractor shall coordinate with
ODOT to provide the State Historic Preservation Officer and the Section 106 Consulting Parties in Ohio
the opportunity to review and comment on the plans.
7.5.2 Vibration Monitoring

The Contractor shall prepare and implement a Vibration Monitoring and Control Plan in consultation
with KYTC and in accordance with the Lewisburg Historic District Memorandum of Agreement (MOA).
The Contractor shall work though KYTC to coordinate requirements with the Kentucky Heritage
Council.
7.5.3 Archaeology
The Contractor shall have the pavement for the parking lots of the Kenton County Administration
Offices stripped, and the Department shall perform a Phase I Archaeology Survey.
A Contractor archaeologist or geoarchaeologist shall monitor and/or review soil and geotechnical
borings conducted in the Ohio River bottom area for evidence of buried archaeological deposits and/or
undisturbed original landforms. If either are determined to be present, the Contractor shall design and
implement an archaeological testing strategy for the horizontal and vertical footprint of the bridge
supports and construction work limits.
7.6 Noise
In accordance with the KYTC Noise Analysis and Abatement Policy, the Contractor shall hold A Noise
Abatement Public Meeting and conduct surveys with benefited receptors at each location where noise
barriers were identified in the supplemental EA.

7.7 Submittals
Submittals under this Section 7.7, a non-exhaustive list of which is set forth in Table 7-1 (Environmental
Submittals Table), shall be submitted in electronic format in accordance with the schedule set forth
below. Acceptable electronic formats include PDF and current versions of Microsoft Word and Microsoft
Excel, unless otherwise indicated.
The Contractor shall review the environmental commitments for the BSB Corridor Project and
incorporate additional studies/field work, mitigation, and measures in the Project Schedule.
Table 7-1: Environmental Submittals Table

Submittal Reference
Submittal Approval, or
Schedule Section
Environmental
Commitment Plans, With Base
Details, Notes, Submittal N/A 1 Design 7.1
Specifications, and Submittal
Special Provisions
With Base
Permitting Plan Submittal N/A 1 Design 7.2
Submittal
Mussel Relocation Plan Approval N/A 1 7.3
Phase II Environmental
Submittal N/A 1 7.4
Site Assessment
Regulated Materials
Submittal N/A 1 7.4
Management Plan
Historic Structures
Submittal N/A 1 7.5.1
Recordation
Vibration Monitoring and
Approval N/A 1 7.5.2
Control Plan
Phase I Archeology
Submittal N/A 1 7.5.3
Survey
Noise Abatement Public
Submittal N/A 1 7.6
Meeting

8. PROJECT DATUM, SURVEY CONTROL, AND MAPPING

The following provisions described in this Section 8 are in addition to Section 1.2 (Governing
Regulations).
8.1 General
Contractor shall provide surveying services for the duration of the Project to support all aspects of
design, permitting, mobilization, preconstruction, construction, inspection, commissioning, activation,
and closeout. This includes confirming the dimensions, orientations, and locations of property lines,
roadways, highways, ramps, bridges, sidewalks, landscaping, curb & gutter, buildings, structures,
utilities & infrastructure, interior features, exterior features, topography, paving, striping, signage, street
lighting, traffic signals & equipment. Contractor shall reference SU-01 (Project Monumentation Control),
SU-02 (KYTC Summary of Project Datum Conversions), SU-03 (KYTC Survey Aerial Triangulation),
SU-04 (Survey Report 2046-337 Preliminary), SU-05 (Control Notes), SU-06 (Control
Coordinates.xlsx), SU-07 (Control Coordinates), SU-08 (HAM-75-1.15_PID113361 Survey Report), and
SU-09 (HAM-75-0022 Centerline Resolution and Boundary Resolution), and SU-10(116649 Mapping
and Survey Quality Control Report) for prior survey information performed by the Department.
8.2 Surveying Responsibilities and Standards

A. Contractor shall be solely responsible for the performance and accuracy of all surveying
necessary to adequately perform site-investigations, design, permitting, preconstruction,
construction, commissioning, activation, and closeout, and prepare all associated
documentation and modelling in accordance with the Contract Documents.
B. Contractor shall provide all horizontal Latitude & Longitude and Northing & Easting coordinates
based on the North American Datum of 1983 (NAD83 (2011), epoch 2010.00) and Ellipsoid
GRS80. Contractor shall confirm this with the new mapping information, NAD83, Ohio State
Plane South. All information should be relative to the Primary and Secondary control points
provided in Reference Document SU-04 and SU-10.
C. Contractor shall provide all elevations based on the North American Vertical Datum of 1988
(NAVD88) and Geoid Model 18. All information should be relative to the Primary and Secondary
control points provided in Reference Document SU-04. Contractor shall confirm all river
elevation information provided by agencies is converted to NAVD88. The existing plans and
information for the Ohio river reference multiple datums.
D. All design surveying, including bathymetric surveys shall be performed by a Surveyor with a
current Ohio and/or Kentucky Land Surveyor License. All survey submittals shall be Signed and
Sealed by the Licensed Surveyor. Perform construction layout and staking activities under the
direction and supervision of a Professional Surveyor registered within the state in which work is
performed.
E. All surveying shall be performed and documented in accordance with ODOT Survey and
Mapping Specifications and the KYTC Survey Manuals. The Ohio State Plane Coordinate
System South Zone NAD83 (2011), Ellipsoid GRS80along with supplied scale factor from Grid
to Ground of 1.00007188. Mapping and project design in Ohio is to be projected with the project
scale factor. Mapping and design in Kentucky is to remain on the Ohio South Zone grid
coordinate system. The Contractor will is responsible for coordinating work between the two

systems.
8.3 Existing Survey Information

The Department previously collected survey for the Project. Mapping in Ohio has been projected to
ground using the project scale factor. Mapping Kentucky remains on the Ohio South Zone grid
coordinate system. Survey control information including elevations used to develop the aerial and
ground mapping used in the development of Concept I-W is available in SU-4 (KYTC Survey Report
dated March 2022). The original project datum was converted from KY Single Zone to the current
project datum the Ohio State Plane Coordinate System, South Zone NAD83 (2011, epoch 2010.00).
The Project datum conversion is available in SU-02 (KYTC Summary of Project Datum Conversions).
The aerial mapping accuracy evaluation for the latest (March 2022) survey is available in SU-03
(Survey Aerial Triangulation Report). Updated Ohio mapping has been completed. The mapping and
quality control report is provided in Reference Document SU-10.
Monuments located Ohio identified in Kentucky survey report (SU-04) will require scaling using the
project scale factor for ground projection. The monumentation information listed in SU-04 is Ohio South
Zone grid.
The Department will provide the Contractor with the following Survey-Related Data as part of the RIDs:
A. Survey Baseline Control Data;
B. Right-of-Way/Highway Boundary Geometry;
C. Survey/Photogrammetric Base Mapping Planimetrics;
D. Survey/ Photogrammetric Digital Terrain Model; and
E. Record Plans.
The Contractor shall document all forms of data verification. If the Contractor identifies any
discrepancy, the discrepancy shall be reported in writing to the Department for review. The Department
will respond to the discrepancy within 10 Working Days.
8.4 Design and Preconstruction Survey

The Contractor shall coordinate the design effort, to the extent necessary with adjacent projects. The
coordination shall not be limited and may include exchange of spatial and survey information,
coordination of code information and other aspects of the design that fulfills the interdependency needs
of the projects involved.
A. Contractor shall provide surveying services to support all aspects and stages of design,
permitting, mobilization, and preconstruction.
B. Contractor shall provide surveying services in support of subsurface utility investigations,
locating, mapping, modelling, etc. See Section 9 (Utilities).
C. Contractor shall provide surveying services to confirm the locations of all tie-in points between
existing including proposed utilities, structures, and surfaces.
D. Contractor shall prepare and provide to ODOT and KYTC a verification report with coordinates,
station and offset, elevations on all found survey monuments. Contractor shall note any

differences from provided survey reports.

E. If the Contractor disturbs monumentation, then it shall be replaced, in-kind by a Registered
Surveyor, with current registration recognized by the State Board of Registration for
Professional Engineers and Land Surveyors within the state of the damaged monument. Copies
of all monumentation changes shall be forwarded to the Department.
F. After construction, provide a verification report of all monuments (existing and proposed) within
the project limits. The report format is to follow ODOT CMS 623 and KYTC Highway Design
Manual.
8.5 Submittals
Submittals under this Section 8.5, a non-exhaustive list of which is set forth in Table 8-1 (Survey and
Mapping Submittals Table) below, shall be submitted in electronic format in accordance with the
schedule set forth below. Acceptable electronic formats include PDF and current versions of Microsoft
Word and Microsoft Excel, unless otherwise indicated.
Table 8-1: Survey and Mapping Submittals Table

Submittal Reference
Schedule Section
Topographical Survey
With Base
Verification Memorandum 8.3, 8.4.A,
Submittal N/A 1 Design
and Electronic Data (Per & 8.4.C
Submittal
CMS 623 in Ohio)
Subsurface Utility
With Base
Memorandum with Data
Submittal N/A 1 Design 8.4.B
and MicroStation CADD
Submittal
File
Post Construction With As-built

Submittal N/A 1 8.4.F
Verification Report plans

9. UTILITIES
The utilities requirements described in this Section 9 are in addition to requirements within Section 1.2
(Governing Regulations) and Section 153.64 of the Ohio Revised Code and incorporated Kentucky
requirements.
9.1 General Utilities

The Contractor shall coordinate with all Utility Owners affected by the Project. The resolution of any
conflicts between Utilities and the Construction Work shall be the responsibility of the Contractor. The
Contractor shall coordinate with the affected Railroad and Utility Owners for utility relocations over,
under, or in railroad Right-of-Way.
A. The Contractor is responsible for preparing all agreements with the Utility Owners impacted by
the Project. Some Utility Relocations may be performed by the Utility Owner with its own forces
and/or contractors and consultants (“Utility Owner-Managed”); all others shall be performed by
the Contractor with its own forces and/or Contractors, Subcontractors and Subconsultants
(subject to any approval rights required by the Utility Owner for those working on its facilities)
(“Contractor-managed”). The allocation of responsibility for the Utility Relocation Work between
the Contractor and the Utility Owners shall be specified by the Contractor in the updated utility
matrix. Contractor shall use the UT-04 (Concept I-W Utility Matrix) as a basis for utility relocation
coordination. KYTC Utility Agreements will include the allocation of responsibility for the Utility
Relocation Work as shown in the utility matrix. (The Department will provide an example of the
Memorandum of Understanding format during the Design Progress Meetings. KYTC may
choose to allow Utility Agreements to be executed between the Contractor and the Utility
Company.
B. The Department has initiated coordination efforts with Utility Owners having known conflicts and
Utilities desiring to construct new facilities within the Project Limits. UT-01 through UT-09 shall
be reviewed by the Contractor as a basis of utility coordination and relocation design. The
Contractor is responsible for coordination with the privately owned Utility Owners as described
within this Section 9.
C. Unless otherwise noted in the Contract Documents the Contractor is responsible for all
coordination and determining schedule risk for all Utility Relocations. The Contractor shall
address mitigation of schedule risk associated with Utility Relocations in the DBT PMP. The
Contractor shall clearly demonstrate in the Project Schedule how the Utility Relocation work is
to be accomplished consistent with the Project Schedule requirements in Section 2 (Project
Management).
D. The Contractor shall submit a listing of all Utility Relocation Work as part of the Base Design
submittal.
The Department will make all determinations of compensable rights related to utility facility design,
relocation, modification, and construction during Sub-Phase 1B.
Any Utility Relocation Work (including protection work) shall be consistent with the Utility’s reasonable,
written specifications, standards of practice, and construction methods, as well as any applicable
Department and City permit requirements. Details regarding the Contractor’s plan for utility coordination
and relocations shall be addressed in the PMP Utilities Plan prepared by the Contractor for the Project.

9.2 Administrative Requirements

9.2.1 Standards
The Contractor shall perform all utility activities in accordance with the Contract Requirements, the
applicable Standards, Codes, and Manuals in Section 1.2 (Governing Regulations) and the standards
required by various utility companies affected by the Work.
9.2.2 Utility Meetings

The Contractor shall initiate any utility meetings needed to ensure that the concerns are addressed on
the Plans involving Utilities. The Contractor shall notify the Department at least two Working Days in
advance of any utility meeting with a Utility Owner. A Department representative shall attend all utility
meetings. The Contractor shall participate in regularly scheduled meetings with the District Utility
Coordinators or designee as deemed appropriate by the Department to facilitate the progress on the
Project.
Contractor and Department shall meet with Duke Energy to review west end substation site and the
previous remediation work complete by Duke Energy (See UT-10 (Duke Energy West End Existing
Conditions)). Contractor shall anticipate separate utility meeting with Duke Energy for Sub-Phase 1A.
Contractor shall prepare utility meeting agendas and provide copies of the meeting minutes to the
Department for the Project files within one week following the respective meeting.
9.2.3 General Utility Coordination

The Contractor shall coordinate all existing Utilities with the Construction Work. The Contractor shall
coordinate with all public and private Utility Owners within the Project Limits, as identified in LD-04
(BSB Smart PDF), RW-01 (KYTC Right of Way Plans), and RW-02 (ODOT Final Right of Way
Tracings). Refer to PDBC Section 7.1 (Utilities) for the Contractor’s responsibility to mitigate impacts to
the Project Schedule that may arise from Utility Relocations. The Contractor shall copy the Department
on all correspondence or phone calls between the Contractor and each Utility. This shall include the
submittal of plans to each Utility.
The Contractor is responsible for maintaining and updating the Utilities Impacts Matrix to reflect the
project design and construction. The Utility Impact Matrix shall be updated by the Contractor as
necessary during the course of plan development. The Contractor shall make its updated matrix
available to affected utility owners and the Department.
A meeting at or near the time of the Base Design review shall be held between the Contractor, the
Department and the Utility Owners to determine if any significant Utility Relocations can be eliminated
or mitigated. Notify the Department five Working Days in advance of the meeting.
Only those Utilities immediately affected by the Construction Work shall be subject to Utility Relocation,
unless directed otherwise by the Department. If the Contractor desires the temporary or permanent
adjustment of any Utility for its sole benefit, the Contractor shall provide a Standards Deviation (See
Section 1.3 (Standards Deviation Submittal Requirements)) request itemizing differences from the
Utility Relocations identified in the Conceptual Design for Department review.

The Contractor should follow recommendations of the Duke Energy Allowable Utility Loading
requirements within the proposed Project Limits. The Contractor is directed to UT-05 (Duke Energy
Allowable Utility Loading Memo) for further information. The Contractor shall provide horizontal offsets
within the Design Submittals to define the allowable distance for equipment to be placed and
construction activities adjacent to Duke Energy. The Contractor shall maintain access to all Duke
Energy facilities for maintenance of operations.
9.3 Contractor Responsibilities in Ohio

This section shall apply to Work within Ohio’s Jurisdictional Design & Maintenance (JDM).
9.3.1 Utility Contacts

The Department, in concurrence with the registered Underground Utility Protection Service (OUPS), Oil
and Gas Producers Underground Protection Service (OGPUPS), and other Utility Owners that are
nonmembers of any Utility protection services, has established a contacts list of certain Utilities located
in the Project area, contacts are provided in UT-04 (Concept I-W Utility Matrix).
9.3.2 Ohio Utility Coordination

The following flowcharts in Figure 9-1 through Figure 9-3 provide guidance on Ohio new and relocated
utility facilities processes:

Figure 9-1: Utility Flowchart – New and Relocated Facilities

Figure 9-2: Utility Flowchart – New and Relocated Public Facilities

Figure 9-3: Utility Flowchart – New and Relocated Private Facilities

9.3.3 Utility Work Notification

According to ORC 153.64 and at least two Days prior to commencing construction operations in an
area that may affect underground Utilities, the Contractor shall notify the Department, the registered
utility protection service, and the Utility Owners that are not members of the registered utility protection
service.
9.3.4 Utility Owner’s Right to Inspect

The utility owner may perform inspections of construction of any utility work that is performed by the
Contractor on their facility. The Contractor shall notify the Department of any such inspections. The
Contractor shall provide the Department with written documentation of all utility comments and their
resolution. The Contractor shall provide safe access and any necessary traffic control for any utility
work inspections performed by the utility owner.
9.3.5 Utility Betterments

If the Utility Owner proposes to include enhancements, all costs associated with the betterment are the
responsibility of the Utility Owner and shall not be included in the Project cost. If the Utility Owner
requests the Contractor to design and/or construct a Betterment, see PDBC Section 7.2 (Utility
Betterments).
9.3.6 Abandonment and Removal

Existing utility facilities to be abandoned, including but not limited to service connections for buildings to
be demolished as part of the project, must be disconnected and removed or abandoned to ground
(abandoned in place). Utility conduits 10 inches in diameter or larger which are being abandoned in
place must be filled with C&MS Item 613 (Low Strength Mortar Backfill) so that, after settlement, at
least 90 percent of the cross-sectional area of the conduit, for the entire length is filled. Wooden poles
shall be removed in their entirety. Utility removal trenches shall be backfilled within pavement limits,
with the exception of underdrains. Trenches shall be backfilled to the top of the trench or bottom of
subgrade, whichever is lower with low strength mortar backfill. Use of fly ash, spent foundry sand or
core sand is strictly prohibited. All trenches in pavement areas shall be backfilled by the Contractor to
the intended travel surface using temporary pavements and/or permanent pavements. Temporary
pavements are only permitted in areas that will be replaced with full depth pavement or resurfaced by
the Contractor with this project after the trench is opened. The depth of temporary pavement in
resurfacing areas shall be limited to 3 inches below the existing surface. Pavement below this depth
shall conform to the requirements for permanent pavements.
9.3.7 Utility Design

9.3.7.1 Utility Relocation Plans Prepared by Contractor
The plans developed by the Contractor for the design of the Utility Relocation Work shall show at the
minimum the following information: existing topography, Right-of-Way, lanes of travel, and the three-
dimensional location of the Utilities. When the Contractor develops Utility Relocation Plans, these plans
shall be subject to review by the Department, the Cities, and the involved utility, as applicable. The
utility owner will review and approve/reject the design prepared by the Contractor no later than 20
Working Days after its submission to the utility owner, unless a different time-period is agreed to by

both parties. If a utility owner rejects any design work, the Contractor shall immediately notify the
Department, in writing, of the grounds for rejection and suggestions for correcting the problem. The
Contractor shall correct the design and resubmit to the utility owner for review. This compliance review
shall take no more than 10 Working Days. The Contractor shall be responsible for discovering and
addressing additional utility conflicts that arise as a result of chosen substructure unit locations;
retaining wall construction; building demolition; roadway and pavement construction; excavation and
embankment limits; Contractor selected construction means and methods; and other construction.
9.3.7.2 Utility Relocation Plans Prepared by the Utility Owner
When the utility owner prepares a utility facility relocation plan, the Department and the Contractor will
review the design and/or permit application to ensure that the relocation does not interfere with other
proposed construction activities, including relocations of other utility facilities. This review shall be
completed no later than 10 Working Days after its submission, unless a different time-period is
expressly agreed to by both parties. The Contractor shall compile and provide written review comments
to the Department and the utility owner. The Contractor shall be responsible for coordination with the
Utility Owner to ensure that all Department comments to the Utility Owner are adequately addressed in
the design and construction of the Project, including, any modification, re-approval by the Utility Owner
and re-submittal to the Department as necessary to obtain approval.
9.3.7.3 Design Documents
Each proposed Utility Relocation shall be shown in the Base Design Documents, regardless of whether
the Utility Relocation plans are prepared by the Contractor or by the Utility Owner. Contractor shall
provide casing as specified in accordance with the Ohio Real Estate Manual on the Project, where
applicable. Contractor shall review Utility relocation plans meet the casing requirement.
9.3.7.4 Certain Requirements for Underground Utilities
9.3.7.4.1 Duke Energy Work
A. Work in vicinity of Duke Energy buried gas lines for Parcel 2 (RW-02 denotes the parcel as 2),
for locations refer to UT-05 (Duke Energy Allowable Utility Loading Memo).
B. Gas Regulating Station:
1. Stay-in-Place deck forms shall be used to construct the bridge deck in this area.
2. All temporary personnel walkways to access the construction area shall have a solid face
using:
a. Plywood.
b. Portable Concrete Barrier (PCB) shall be placed around the above ground facility.
c. Bottom of all new bridge beams shall be at least 6 feet above the top of the existing gas
structure.
d. Drilled foundations and/or shoring shall be used on Ramp A (northbound CD Road to
northbound 71) around the existing gas facility and gas main.
C. Temporary or permanent fill not allowed in the vicinity of Duke Energy buried gas and electric
lines for Parcel 2 and Parcel 4. Contractor to refer to RW-02 (ODOT Final Right-of-Way
Tracings) for parcel locations.

D. Work in vicinity of Duke Energy buried gas lines located in Parcel 2, maximum allowable
construction loads shall be based on American Petroleum Institute 1102 Steel Pipelines
Crossing Railroads and Highways. Duke Energy will not allow stresses from loading to exceed
60% Specified Minimum Yield Strength (SMYS) of the steel pipe. The Contractor will need to
coordinate equipment loading and crossing locations with Duke Energy. Based on loading
calculations, mitigation strategies such as timber matting or air bridging may be required.
E. Work in vicinity of Duke Energy buried 138k transmission Parcel 4, maximum allowable
construction loads shall be based on API 1102 Steel Pipelines Crossing and Highways. Duke
Energy will not allow stresses from loading to exceed 60% Specified Minimum Yield Strength
(SMYS) of the steel pipe. The Contractor will need to coordinate equipment loading and
crossing locations with Duke Energy. Based on loading calculations, mitigation strategies such
as timber matting or air bridging may be required.
F. The minimum offset of construction and vehicle loads from the precast vault structure on August
St. shall be in accordance with the following:
1. Live loads and construction loads on or immediately adjacent to the vault are not to exceed
HS20.
2. For construction loads exceeding HS20, the 1V:1H zone of influence method shall be used
to determine allowable placement. Based on this method, construction and live loads
exceeding HS20 shall be restricted to a minimum of 10-feet-8-inches from the outer limits of
the precast vault structure.
9.3.8 Changes to the Utility Work
Once Utility Relocation Work has begun, the Contractor shall not make any changes to the Project
design, which would necessitate an additional Utility Relocation. Contractor shall refer to PDBC Section
7 (Utilities and Railroads).
9.3.9 Continuity of Utility Service

The Contractor shall ensure that all utilities remain operational during all phases of Project construction
to the greatest extent practicable. Necessary interruptions of service, including proposals for shutdowns
and temporary diversions of affected utilities, shall be approved by the involved utility. The Contractor is
directed to UT-01 (Alternative I Utility Impacts), UT-02 (Alternative I Utility Tracking), UT-03 (Ohio
SUE), UT-04 (Concept I-W Utility Matrix) for notification requirements of disruptions in service.
Where the Contractor is responsible for the performance of utility work, in order to maintain the service
continuity of the Utility Owner’s facilities to the extent practicable during that performance of work, the
Contractor, at its cost, shall:
A. Keep the Utility Owner fully informed of schedules, including coordinating with the Utility Owner
regarding their design, construction and inspection of utility work performed by the Contractor;
B. Keep the Utility Owner fully informed of changes that affect their facilities; and
C. Keep the Utility Owner involved in making the decisions that affect their facilities, so the Utility
Owner can provide uninterrupted service to its customers or be subject to the least interruption
practicable.
All the Utility Owner’s facilities shall remain fully operational during all phases of Project construction,
except as specifically allowed and approved by the Utility Owner. The Contractor is responsible for

maintaining public utility facilities throughout construction, which includes all necessary temporary
bypass provisions.
to the greatest extent practicable.
9.4 Contractor Responsibilities in Kentucky

This section shall apply to Work within Kentucky’s JDM.
9.4.1 Utility Owner’s Right to Inspect

The Utility Owner has the right to inspect the Utility Relocation Work that is performed by a third party
(such as the Contractor) on the Utility Owner’s facilities. The Contractor shall comply with the inspection
and notification requirements included in each Utility Agreement.
9.4.2 Utility Betterments

If the Utility Owner proposes to include enhancements, all costs associated with the betterment are the
responsibility of the Utility Owner and shall not be included in the Project cost. If the Utility Owner
requests the Contractor to design and/or construct a Betterment, see PDBC Section 7.2 (Utility
Betterments).
9.4.3 Abandonment and Removal

As applicable, the Contractor shall make all arrangements and perform all work necessary to complete
each abandonment or removal (and disposal) of a Utility in accordance with the approved Utility
Agreement. The Contractor shall obtain Government Approvals and consent from the affected Utility
Owner and any affected landowner(s) or shall confirm that the Utility Owner has completed these tasks.
9.4.4 Utility Design

9.4.4.1 Utility Relocation Plans Prepared by Contractor
The plans developed by the Contractor for the design of the Utility Relocation Work shall show at the
minimum the following information: existing topography, Right-of-Way, lanes of travel, and the three-
dimensional location of the Utilities. When the Contractor develops Utility Relocation Plans, these plans
shall be subject to review by the Department, the Cities, and the involved utility, as applicable. The
Contractor shall be responsible for discovering and addressing additional utility conflicts that arise as a
result of chosen substructure unit locations; retaining wall construction; building demolition; roadway
and pavement construction; excavation and embankment limits; Contractor selected construction
means and methods; and other construction.
9.4.4.2 Utility Relocation Plans Prepared by the Utility Owner
For all Utility Relocation Plans to be furnished by a Utility Owner, the Contractor shall coordinate with
the Utility Owner as necessary to confirm compliance with the Project plans, including possible changes
being proposed by the Contractor. Those Utility Relocation Plans shall be attached to the applicable
Utility Agreement and estimate, which shall serve as the appropriate Encroachment Permit for KYTC
approval. The Contractor shall be responsible for coordination with the Utility Owner to ensure that all

KYTC comments to the Utility Owner are adequately addressed in the design and construction of the
Project, including, any modification, re-approval by the Utility Owner and re-submittal to KYTC as
necessary to obtain approval.
9.4.4.3 Design Documents
Each proposed Utility Relocation shall be shown in the Base Design Documents, regardless of whether
the Utility Relocation plans are prepared by the Contractor or by the Utility Owner. Contractor shall
provide casing as specified in accordance with the KYTC Utilities and Rails Guidance Manual on the
Project, where applicable. Contractor shall review Utility relocation plans meet the casing requirement.
9.4.4.4 Kentucky Utility Agreement Submittals
Each Utility Relocation shall be addressed in a Utility Agreement prepared jointly by KYTC and
Contractor and the Utility Owner. The Utility Agreement will be developed per KYTC Utility coordination
process. The Contractor shall coordinate with the Utility Owner to prepare all components of each Utility
Agreement. Completion of the review and approval process for the applicable Utility Agreement, as well
as issuance of any required KYTC approvals, shall be required before the start of construction for the
affected Utility Relocation Work.
The Department has the authority to approve the placement of Utilities within Project Right-of-Way. As
detailed in the Report, Utility Relocation concepts consistent with Utility Owner and Project Goals and
objectives for the Project have been explored. Further, it has been determined that each respective
Utility Relocation can be accommodated in an acceptable manner to said companies and agencies. It
shall be the responsibility of the Contractor to work with the Utility Owner to prepare all required
documentation to be included with each subsequent Utility Agreement submittal.
The Contractor’s obligations regarding reimbursement to Utility Owners in Kentucky for all costs of
Utility Relocation Work shall be as set forth in the Utility Agreements prepared for the Project by the
Contractor and in conformance with KYTC’s Utility Guidance Manual and Kentucky State Statutes.
The Contractor shall arrange for the Utility Owner to execute each Utility Agreement and subsequent
encroachment permit required to do the work on the Project. All Utility Relocations covered by the same
initial Utility Agreement may be addressed in a single Encroachment Permit. Please refer to the KYTC
Encroachment Permit Manual for additional information. In general, the Utility Agreement package
required for each Utility Relocation shall include:
A. Encroachment Permit Application (KYTC, and/or local government agency);
B. Utility Agreement (executed between the Contractor or Department and the Utility Owner);
C. Utility Relocation Plans and Specifications as referenced in the Utility Agreement;
D. Roadway Plans and Profile and/or Structure Plans and cross-sections clearly indicating existing
and proposed Utility location. For Utilities deemed acceptable to remain in place by the Utility
Owner and the Contractor, the location of the Utility, both horizontally and vertically, along with
any special construction requirements or protection needed to prevent damage to the facility
during construction of the Project, must be clearly defined;
E. Utility Relocation cost estimate as defined in the Utility Agreement including definition and
separation of any betterment proposed; and

F. Complete Utility Agreement packages as described herein or as directed by KYTC. Once review
and comment is complete, copies shall be returned to the Contractor and Utility Owner for their
use. The number of Utility Agreement packages will be defined by the Utility Coordination
process.
9.4.4.5 Certain Requirements for Underground Utilities
9.4.5 Changes to the Utility Work
Once Utility Relocation Work has begun, the Contractor shall not make any changes to the Project
design, which would necessitate an additional Utility Relocation. Contractor shall refer to PDBC Section
7 (Utilities and Railroads).
9.4.6 Continuity of Utility Service

to the greatest extent practicable. Necessary interruptions of service, including proposals for shutdowns
and temporary diversions of affected utilities, shall be approved by the involved utility. The Contractor is
directed to UT-01 (Alternative I Utility Impacts), UT-02 (Alternative I Utility Tracking), UT-04 (Concept I-
W Utility Matrix), UT-06 (KYTC SUE) for notification requirements of disruptions in service.
Where the Contractor is responsible for the performance of utility work, in order to maintain the service
continuity of the Utility Owner’s facilities to the extent practicable during that performance of work, the
Contractor, at its cost, shall:
A. Keep the Utility Owner fully informed of schedules, including coordinating with the Utility Owner
regarding their design, construction and inspection of utility work performed by the Contractor;
B. Keep the Utility Owner fully informed of changes that affect their facilities; and
C. Keep the Utility Owner involved in making the decisions that affect their facilities, so the Utility
Owner can provide uninterrupted service to its customers or be subject to the least interruption
practicable.
All the Utility Owner’s facilities shall remain fully operational during all phases of Project construction,
except as specifically allowed and approved by the Utility Owner. The Contractor is responsible for
maintaining public utility facilities throughout construction, which includes all necessary temporary
bypass provisions.
to the greatest extent practicable.
9.5 Utility Adjustment and Relocation Team

The Contractor shall provide a Utility adjustment and relocation team with appropriate qualifications and
experience for the Utility Relocation Work required for this Project. The Contractor shall provide the
names and contact details, titles, job roles, and specific experience of the team members. Specifically,
the Contractor shall provide a Utility Manager (UM) and a Utility Design Coordinator (UDC) as
described in Section 2.1.2 (Key Personnel).

9.6 Protection of Utilities

The Contractor shall coordinate Construction Work with Utility Relocations and take all necessary
precautions to prevent disturbance to Utilities.
The Contractor shall perform work in a manner that will cause the least reasonable inconvenience to
the Utility Owner and those being served by the Utility Owner. Existing, adjusted, or new utility facilities
that are to remain within the Right-of-Way of the Project shall be properly protected by the Contractor to
prevent disturbance or damage resulting from Project construction operations. If the Contractor
encounters a previously unknown utility that requires adjustment, they shall not interfere with the utility
but shall take the proper precautions to protect the facility or take appropriate actions, per the PDBC, to
coordinate the adjustment of the facilities.
9.6.1 Existing Utility Facilities that Cannot Be Impacted by the Proposed Work
Several existing utility facilities have been identified by their respective owners as unable to be
relocated or modified in any fashion as a result of the proposed construction. Currently known facilities
falling into this category are identified in UT-04 (Concept I-W Utility Matrix).
9.7 Acquisition of Replacement Utility Property Interests

9.7.1 Ohio Requirements
This section shall apply to Work within Ohio’s Jurisdictional Design & Maintenance (JDM). In Ohio, the
utilities should be able to relocate in the Project permanent and temporary Right-of-Way limits shown in
RW-02 (ODOT final Right-of-Way Tracings). Any privately owned utility or Contractor utility
adjustments/relocations performed outside of the proposed permanent and temporary Right-of-Way
limits shown in RW-02 will need a permit from the City of Cincinnati.
9.7.2 Kentucky Requirements

In Kentucky, the Contractor shall be responsible for working with each Utility Owner for acquiring any
Replacement Utility Property Interests that are necessary for its Utility Relocations. The Contractor shall
have the following responsibilities for each acquisition:
A. The Contractor shall coordinate with and provide all Project information needed to each Utility
Owner as necessary for the Utility Owner to identify any Replacement Utility Property Interests
required for its Utility Relocations.
B. If the Contractor and/or Contractor subcontractors assists a Utility Owner in acquiring a
Replacement Utility Property Interest, the Contractor shall ensure that the following
requirements are met:
1. The files and records must be kept separate and apart from all acquisition files and records
for the Project Right-of-Way; and
2. The items used in acquisition of Replacement Utility Property Interests (e.g., appraisals,
written evaluations, and owner contact reports) must be separate from the purchase of the
Project Right-of-Way.

9.8 Submittals
Submittals under this Section 9.8, a non-exhaustive list of which is set forth in Table 9-1 (Utilities
Excel, unless otherwise indicated.
Table 9-1: Utilities Submittals Table
For Number of Copies
Acceptance, Reference
Submittal Submittal Schedule
Approval, or Section
Utility Plans – Relocations, As Defined in the DBT

Submittal As needed 1 9.2.5
Adjustments, Protections Design Submittal Plan
As Defined in the DBT

Kentucky Utility Agreement
Design Submittal Plan
Submittals per Utility Submittal 1 9.5
and Utility Coordination
Owner
Meetings

10. RAILROADS
This Section 10 defines the criteria required for the Project to accommodate Railroads crossing the
Project Right-of-Way. Contractor is responsible for coordination with all Railroads that may be impacted
by the Work. The following provisions described in this Section 10 are in addition to the Section 1.2
(Governing Regulations) of this document.
CSX Transportation, Inc. (CSXT) owns the existing tracks that cross the Project Right-of-Way under I-
71/I-75 between West 3rd Street and West Pete Rose Way. Where the Project crosses or affects
Railroad Right-of-Way, operations, or facilities, the Contractor shall coordinate the Work with the
Railroad, and Department, as appropriate. The Department will provide railroad contact information to
Contractor.
ODOT is acquiring the abandoned railroad track property from the Central Railroad Company of
Indiana that cross the Project Right-of Way under I-71/I-75 between West 3rd Street and West Pete
Rose Way. A Railroad agreement is not anticipated to be required with the acquisition of the property.
Details regarding the Contractor’s plan for railroad coordination shall be addressed in a Railroad
Coordination and Management Plan prepared by the Contractor for the Project. The plan shall include
plan submittal requirements, Contractor approach to meeting the Railroad agreement requirements,
railroad communication plan, and reporting procedures.
10.1 Railroad Design Standards

Details regarding the Contractor’s plan for railroad coordination shall be addressed in the Railroad
Coordination and Management Plan prepared by the Contractor for the Project. At a minimum the
Railroad Coordination and Management Plan shall address how the Contractor understands and is
organized to manage railroad coordination, comply with their requirements, anticipated right of entry
needs, and the tools that will be implemented to provide seamless interaction with the various
stakeholders for the construction of a quality Project.
Contractor shall design the Work affecting Railroads following Good Industry Practice, such as FHWA
Railroad-Highway Grade Crossing Handbook, AREMA, and MUTCD, and incorporating the usual and
customary design standards and operating requirements of Railroad(s) that has an agreement with the
Department. However, for purposes of this Section, wherever a conflict arises between any details in
the design standards and operating requirements, the criteria as required by the Railroad shall govern.
Construction details and specifications shall conform to the Standard Specifications and the rules,
regulations, and requirements of the Railroads, including those related to safety, fall protection, and
protective equipment. Contractor will develop Unique Special Provisions for the Protection of Railway
Interest. Contractor shall coordinate with Railroads to finalize the Unique Special Provisions and
comply with the finalized special provisions.
10.2 Railroad Agreement

The Department has initiated railroad coordination efforts (see RR-01 BSB Railroad Coordination
Summary) impacted by the Project and has executed the RR-02 Railroad PE Agreement. Contractor

shall comply with all requirements contained in the Railroad PE Agreement, which compliance is
included as part of the Work. Contractor shall coordinate with ODOT, Railroads, and develop Base
Design to finalize the Railroad Construction Agreement prior to Early Work and Phase 2 Work.
Contractor shall include railroad coordination and railroad construction agreement as activities within
the project schedule. See PDBC Exhibit T (Critical Path Method Progress Schedule).
10.3 Design Criteria in Railroad Right-of-Way

A. The design of all Railroad facilities shall conform to the requirements of the Railroad
specifications and the provisions set forth by the Railroad PE Agreement.
B. All Railroad tracks and other Railroad Right-of-Way shall be protected from damage during the
Work.
C. During construction, all bridges over Railroad facilities shall at least maintain existing minimum
vertical clearance over Railroad facilities. Contractor shall verify the existing minimum vertical
clearance over the Railroad facilities prior to commencing Work.
D. All horizontal clearances shall conform to the Railroad specifications. Crash walls shall be
provided as required by the Railroad specifications. Contractor shall measure the existing
minimum horizontal clearances for all Railroad facilities prior to commencing work. The
measurements shall be provided to the Department.
E. All substructure elements within 25 feet of the centerline of tracks shall be designed and
constructed with a crash wall per AREMA requirements, unless otherwise specified by the
relevant Railroad Agreement, other approvals, or other Railroad specifications.
F. Provide track monitoring plan for all foundation construction processes.
G. Construction equipment or material shall not be stored within the Railroad Right-of-Way.
H. If excavation for pier foundations impact the live load influence line, sheeting and shoring will be
required. Theoretical live load influence zones shall be detailed on the final Plans.
I. All drainage from the bridge and roadway crossing over any Railroad Right-of-Way shall be
collected and directed away from the Railroad Right-of-Way and shall be detailed on the final
Plans.
J. Detail existing culverts located adjacent to the Railroad tracks in the final Plans and indicate
directional flow.
K. Indicate on final Plans the distance from the intersection of centerline of roadway and centerline
of track to the nearest Railroad milepost.
10.3.1 Design and Construction CSXT Requirements
The Contractor shall adhere to CSXT requirements for design and construction at the time of contract
execution including Submittals:
A. CSXT Public Project Manual – The Contractor should be aware the sections on Construction
Submittal Criteria, Drainage Criteria, and various safety requirements are all requirements
during construction of this Project;
B. CSXT Design and Construction Standard Specifications for Pipeline Occupancies – This
document is referenced in the CSXT Drainage Criteria in the CSXT Public Project Manual and
includes design requirements for pipe materials for any proposed under track drainage;

C. CSXT Standard Clearance Matrix and CSXT Clearance Diagram – This document includes
clearance considerations for the temporary platform and any other proposed temporary
features; and
D. Specification Section 34 11 26.13 – Ballast - Ballast used for track owned or operated by CSXT
shall be provided from an approved CSXT ballast supplier and meet CSXT ballast material
requirements.
10.3.2 CSXT Coordination Requirement
The Coordination requirements for working with CSXT are as follows:
A. It is anticipated that more complex submittals and those requiring coordination or input from
CSXT field staff will require multiple weeks of review. CSXT and their representatives will make
every effort to work with the Contractor to meet the proposed schedule. The Contractor shall
develop a submittal schedule for CSXT review and approval per Section 10.4.2 (Railroad
Project Schedule) to assist in planning for and accommodating this Project’s schedule.
B. The Contractor shall prepare site-specific work plans for review and approval by CSXT before
commencing work when any part of the equipment used in conducting the work is within 25 feet
of the live tracks.
C. The Contractor shall submit site-specific work plans covering all work that is within 25 feet of
any track or work that has the potential to foul the track. The potential to foul is as any work
having the possibility of impacting CSXT property or operations and defined as one or more of
the following:
1. Any activity where access onto CSXT property is required.
2. Any activity where work is being performed on CSXT Right-of-Way.
3. Any excavation work adjacent to tracks or facilities, within the Theoretical Railroad Live
Load Influence Zone, or where the active earth pressure zone extends within the railroad
operational right-of-way.
4. The use of any equipment where, if tipped and laid flat in any direction (360 degrees) about
its center pin, can encroach within 25 feet of the nearest track centerline. This is based upon
the proposed location of the equipment during use and may be a function of the equipment
boom length. Hoisting equipment with the potential to foul the track must satisfy the 150
percent factor of safety requirement for lifting capacities.
5. Any work where the scatter of debris, or other materials has the potential to encroach within
25 feet of the nearest track centerline.
6. Any work where significant vibration forces may be induced upon the track structure or
existing structures located under, over, or adjacent to the track structure.
7. Any other work which poses the potential to disrupt rail operations, threaten the safety of
railroad employees, or otherwise negatively impact the railroad operational right-of-way, as
determined by CSXT.
D. Railroad Flagging
1. It is anticipated the cost of the Railroad Flagging provided by CSXT will be included in a
separate agreement between CSXT and the Department.
2. Contractor shall arrange with the Railroad for railroad flagging as required in accordance
with the Railroad Agreement and PDBC. Contractor shall provide at a minimum monthly

report to Department on usage of a railroad flagman and field construction inspectors (FCI).
3. It should be anticipated that Railroad Flaggers will not be available between November 15th
to January 15th of any calendar year.
E. Contractor shall perform ongoing coordination of their design and construction with the railroad
throughout the Project. The Contractor shall provide a current schedule on a monthly basis
including anticipated dates of the following items:
1. Construction Submittals requiring railroad review and approval prior to beginning
construction (per the Railroad PE and Construction Agreements).
2. Construction start and end dates for work that may create an impact to the rail
facility/operations.
3. Anticipated dates and duration for flaggers.
4. Anticipated dates and duration for potential outage request.
5. Any other milestones that may impact railroad facilities or operations.
10.4 Coordinating Design and Project Work Affecting Railroad Operations

Contractor shall coordinate the Project design with the Railroad. This coordination shall include
meetings, Plan submittals, Contractor means and methods submittals, resolution of pertinent
commentary provided by the Railroad, and any other obligation under the relevant Railroad Agreement.
Contractor will develop the Base Design Submittal to support the Railroad Agreement.
The Contractor shall initiate any railroad coordination meetings needed to ensure that the technical
design and physical construction concerns are addressed on plans involving the railroad(s). The
Contractor shall notify the Department at least two Working Days in advance of any meeting with the
railroad(s). A Department representative will attempt to attend all railroad coordination meetings. The
Contractor shall maintain railroad meeting notes and promptly distribute to all meeting attendees, the
Department’s Project Engineer, and the State and/or District Railroad Coordinator. The Contractor shall
proactively keep the Department’s Project Engineer and the State and/or District Railroad Coordinator
aware of all railroad coordination information and/or issues through regular status reports.
Contractor shall complete Final Plans for the Railroad protection. The Plans shall contain points
labelling the location of the minimum horizontal and vertical clearance between the bridge and the
adjacent Railroad tracks. The Plans shall also include details providing the bottom of footing and top of
rail elevation and distance from centerline of track to nearest footing.
10.4.1 Design Costs

During design coordination, Contractor shall provide Department with an estimate of all anticipated
costs for Work related to Railroads at Department’s request.
10.4.2 Railroad Project Schedule

Contractor shall be responsible for obtaining Department approvals and other approvals required for
any Railroad or any Railroad-related Work. Contractor shall be responsible for including and
incorporating all Railroad-related items into the Project Schedule. Contractor shall include 60 working
days for railroad review duration in the Project Schedule. This review duration anticipates coordination

time to address comments with the railroad. Railroad agreement will indicate railroad review time is 30
days.
Contractor to Submit a detailed separate railroad construction schedule lookahead schedule for the
duration of the Project clearly indicating the time periods while Contractor will be working on and
around CSX right-of-way. As the work progresses, this schedule shall be updated monthly and
resubmitted as necessary to reflect changes in work sequence, duration, and method.
10.4.3 Railroad Site Specific Workplan Submittals

The Contractor shall develop a detailed submission indicating the progression of work with specific
times when tasks will be performed for work activities that are on or in the vicinity of the CSXT property.
This submission may require a walkthrough at which time CSXT and/or the representative will be
present. Work will not be permitted to commence until the Contractor has provided CSXT with a
satisfactory plan that the Project will be undertaken without scheduling, performance, or safety related
issues. Provide a listing of the anticipated equipment to be used, the location of all equipment to be
used and ensure a contingency plan of action is in place should a primary piece of equipment
malfunction. All work in the vicinity of CSXT property that has the potential of affecting CSXT train
operations must be submitted and approved by CSXT prior to work being performed. This submission
will also include a detailed narrative discussing the coordination of project safety issues between
Contractor, CSXT and the representative. The narrative shall address project level coordination and
day to day, specific work operations including crane and equipment operations, erection plans and
temporary works.
10.4.4 Records during Design and Construction

Contractor shall maintain records of all coordination during Design development with the Railroad.
Copies of these records shall be provided to Department as they are completed. Specific documents
required include correspondence, meeting minutes, negotiations, force account estimates from the
Railroad for its Work, design comments, and agreements.
10.5 Submittals
Submittals under this Section 10.5, a non-exhaustive list of which is set forth in Table 10-1 (Railroads
Submittals Table) below, shall be submitted in electronic format in accordance with the schedule set
forth below. Acceptable electronic formats include PDF and current versions of Microsoft Word and
Microsoft Excel, unless otherwise indicated.

Table 10-1: Railroads Submittals Table

Reference
Section
With Base Design
Track Monitoring Plan Approval 1 10.3
Submittal
With Early Work
and/or Sub-Phase 1B
Flagging Plan Approval 1 Design Submittal and 10.3
Phase 2 Proposal
Submittal
Railroad Base Design With Base Design
Approval 1 10.4
Submittal Submittal
With Base Design
Submittal, Sub-Phase
Estimate Submittal 1 1B Design Submittal, 10.4.1
and Phase 2 Proposal
Submittal
Records during
Submittal 1 As completed 10.4.3
Railroad Coordination

11. RIGHT-OF-WAY
11.1 General Right-of-Way
The Department will acquire all temporary and permanent Project Right-of-Way to encompass the
proposed Project Limits shown in RW-01 (KYTC Right of Way Plans) and RW-02 (ODOT Final Right-
of-Way Plan Tracings). RW-01 and RW-02 indicates the existing Project Right-of-Way lines and any
permanent and/or temporary easements being acquired by ODOT and KYTC for the Project.

Right of possession of all Department, CSXT, Central Indiana Railroad Right-of-Way and improvements
made thereon by the Contractor shall remain at all times with the Department. The Contractor’s right to
entry and use of this Right-of-Way arises solely from permission granted by the Department and CSXT.
All permanent infrastructure and drainage features shall be located within the proposed permanent
Right-of-Way or other permanent easement and not within the temporary Right-of-Way. Temporary or
permanent use of properties outside the Right-of-Way is prohibited except with the approval of the
Department and property owner.
The Right-of-Way access date is indicated in RW-06 (Right-of-Way Availability Table), which the
Contractor shall include in the Progress Schedule. The Department will provide written notification to
the Contractor when each required parcel is available and of any applicable access restrictions. The
Contractor shall not access any parcel until such written notification is provided.
Through the right-of-way acquisition process, the Department has or intends to make site specific
commitments to property owners. A draft of these commitments and Contractor requirements are
included in GN-03 (Project Commitments). GN-03 commitment includes requirement for the Contractor
to prepare Right-of-Way plans for the final location of the bridge piers on parcel 9.
If the Contractor determines during the Preconstruction Phase (Phase 1) that additional Right-of-Way is
required in order to deliver the Project, the Contractor shall prepare Preliminary and Final Right-of-Way
plans for use by the Department to acquire any necessary additional property (see Section 11.2
(Additional Property Request Requirements) herein).
Temporary easements being acquired by the Department for the Project are to be used in project
construction activities, as described in RW-02 (ODOT Final Right-of-Way Plan Tracings). Contractor
will be provided access to each temporary easement for a 36-month duration, beginning on the date on
which physical Work commences within the temporary easement site. Physical Work does not include
survey or soil boring activities. All Work that necessitates the use of the temporary easements shall be
completed within the temporary easement access duration. The Contractor will not be granted access
to the temporary easement sites after the temporary easement access duration. Under no
circumstances are temporary easements to be used for storage of material or equipment by the
Contractor unless otherwise noted.


All permanent infrastructure and drainage features shall be located within the proposed permanent
Right-of-Way or other permanent easement and not within the temporary Right-of-Way. Temporary or
permanent use of properties outside the Right-of-Way is prohibited except with the approval of the
Department and property owner.
The Contractor will be provided access to each parcel identified in RW-05 (KYTC Acquisition Status
Report) as the parcel title is cleared. The access date is indicated in RW-06 (Right-of-Way Availability
Table), which the Contractor shall include in the Progress Schedule. The Department will provide
written notification to the Contractor when each required parcel is available and of any applicable
access restrictions. The Contractor shall not access any parcel until such written notification is
provided.
The Department will acquire all Right-of-Way and easements as shown on the KYTC Final Right-of-
Way Plans (RW-01) by the dates shown in RW-05 (Right-of-Way Acquisition Status Report). The
Project has sufficient Right-of-Way to perpetually maintain the permanent features of the Project as
shown on the Final Right-of-Way Plans. See Section 13 (Building Demolition and Reconstruction) for
additional information. The Department will provide commitments to property owners that must be
incorporated in design and construction. Contractor requirements will be included in RW-07
(Communicating All Promises Report (CAP)).
Availability will be dependent on Department Right-of-Way Certification and Clearance.
If the Contractor determines additional Right-of-Way is required during Phase I (Preconstruction), the
Contractor shall prepare Preliminary and Final Right-of-Way plans for use by the Department to acquire
any necessary property.
11.2 Additional Property Request Requirements

The following sections outline the Contractors responsibilities if the need for additional Right-of-Way is
identified during the Preconstruction Phase.

This section shall apply to Work within Ohio’s JDM.
The Contractor shall follow ODOT’s Real Estate Manual. Contractor to prepare Preliminary and Final
Right-of-Way Plans for Department approval prior to Acquisition beginning. The Final Right-of-Way
Plans will include legal descriptions, closure calculations, and Final Right of Way plans. ODOT will
provide acquisition services and provide acquisition status reports to the Contractor. After ODOT
approval of the Final Right-of- Way Plans, the Department and Contractor shall coordinate and agree
upon clearance dates listed in RW-03 (ODOT Right-of-Way Action Plan) and RW-06 (Right-of-Way
Availability Table).


The Contractor shall follow KYTC Highway Design and Right-of-Way Manual requirements to prepare
Preliminary and Final Right-of-Way Plans for Department approval prior to acquisition beginning. The
Final Right-of-Way Plans shall include plan sheets, profiles, cross sections, Right-of-Way Summary,
Strip Map, and legal descriptions. KYTC will provide acquisition services and provide acquisition status
reports to the Contractor. After KYTC approval of the Final Right-of- Way Plans, the Department and
Contractor shall coordinate and agree upon clearance dates listed in RW-05 (KYTC Acquisition Status
Report) and RW-06 (Right-of-Way Availability Table).
11.3 ODOT Software Requirements for Right-of-Way by the Contractor

Contractor to follow general standards listed in Section 1.2 (Governing Regulations) this document.
11.4 KYTC Software Requirements for Right-of-Way by the Contractor

Contractor to follow general standards listed in Section 1.2 (Governing Regulations) this document.
11.5 Submittals
Submittals under this Section 11.5, a non-exhaustive list of which is set forth in Table 11-1 (Right of
Way Submittals Table) below, shall be submitted in electronic format. Acceptable electronic formats
include PDF, current versions of Microsoft Work, or Microsoft Excel files, unless otherwise indicated. At
a minimum, the Contractor shall submit the following to the Department:
Table 11-1: Right of Way Submittals Table

Reference
Section
Preliminary Right-of- Ten Working Days prior 11.2.1 &

Submittal 0 1
Way Plans to Review Meeting 11.2.2
Final Right of Way Ten Working Days prior 11.2.1 &
Submittal 0 1
Plans to Review Meeting 11.2.2
Existing and Proposed
Ten Working Days prior 11.2.1 &
Deed / Legal Submittal 0 1
to Review Meeting 11.2.2
Descriptions
Ten Working Days prior 11.2.1 &
Closure Calculations Submittal 0 1
to Review Meeting 11.2.2
Temporary Easement Ten Working Days prior 11.2.1 &
Submittal 0 1
Exhibits to Review Meeting 11.2.2

12. GEOTECHNICAL
12.1 General
This Section 12 describes the requirements for geotechnical investigations, analysis, and design.
Significant geotechnical data exists within the project limits. Incorporate the existing geotechnical
information into the development of final geotechnical studies for Sub-Phase 1A and Sub-Phase 1B
development. In some instances, the existing borehole and laboratory testing information may be
sufficient to complete design activities. The Department and Contractor will work cooperatively to utilize
existing information as much as practical.
Draft geotechnical reports are to be submitted as part of the Sub-Phase 1A development. The
Department will review the reports and provide comments as part of the Sub-Phase 1A review.

12.2.1 Mandatory Standards
Provide design in accordance with AASHTO Load Resistance Factor Design (LRFD) Bridge Design
Specifications, edition as defined in Section 1.2 (Governing Regulations), except where overridden by
state design standards below. Use LRFD methods (for both permanent and temporary work) except
where such methods are not provided for in the AASHTO design manual, or these requirements.
Where state standards recommend Allowable Stress Design (ASD) design methods, equivalent LRFD
methods shall be used. Specific approval to use non-LRFD methods is required prior to starting design
activities.
Notify the Department in the event of a conflict between the standards set forth in Section 1.2
(Governing Regulations) relating to geotechnical analysis and design. Provide the reason for the
conflict and recommend for Department approval which standard should govern and why per Section
1.3 (Standards Deviation Submittal Requirements).
12.2.1.1 Ohio Standards
Complete and submit all geotechnical design and geotechnical explorations performed by the
Contractor to Department in accordance with the LRFD method.
Prepare Geotechnical Exploration Reports, including foundation reports, as defined in the ODOT Bridge
Design Manual (BDM) and the ODOT Specifications for Geotechnical Exploration (SGE) for each
structure. Perform geotechnical design methodology as outlined in the Geotechnical Design Manual.
Geotechnical reports must include all engineering analyses and design recommendations for each
structure, wall, or roadway as appropriate.
12.2.1.2 Kentucky Standards

Complete and submit all geotechnical design and geotechnical explorations performed by the
Contractor to Department in accordance with the KYTC Geotechnical Guidance Manual and current
Transmittal Memoranda.
Produce and submit a Foundation Analysis and Design Report for each structure and Roadway
Geotechnical Report(s) that include all engineering analyses and design recommendations.
12.2.2 Meetings
Schedule and facilitate meetings related to geotechnical Project Work prior to commencement of field
exploration activities. The following meetings are required:
A. Geotechnical investigation plan review meeting: Schedule and facilitate a meeting with
Department to review the Contractor’s proposed subsurface investigation plan for geotechnical
borings.. Schedule this meeting after reviewing the geotechnical information provided, but at
least one week prior to Contractor requesting approval to commence with geotechnical
exploration operations. These meetings may be held for various sections of the Project. A
meeting may be waived with prior approval of the Department but at a minimum the Contractor’s
proposed subsurface investigation plan for supplemental geotechnical data must be submitted
for review and approval. Comments must be resolved one week prior to Contractor requesting
approval to commence with geotechnical exploration operations.
B. River crossing foundation concepts meeting: Schedule and facilitate a meeting with the
Department to review the Contractor’s proposed river bridge foundation design and proposed
pre-design load testing (if used). Discuss potential or intended means and methods for
foundation construction and their impact on the foundation design.
C. Meeting to discuss the subsurface investigation plan submittal schedule and expectations.
12.2.3 Permits/Authorizations Related to Geotechnical Investigation and
Materials
Obtain all necessary permits and/or authorizations required to perform geotechnical site investigations
or other geotechnical services for the Project, including Utility clearance, property access, and roadway
safety and traffic control.
Perform necessary notifications and obtain all necessary approvals and Deviations needed for
installation of environmental wells as defined by the Standards.
For other permit requirements, refer to Section 7 (Environmental).
12.2.4 Lead DBT’s Geotechnical Engineer

Employ a full time Lead DBT Geotechnical Engineer responsible for performing all required
geotechnical engineering for the Project. The Contractor may elect to employ multiple engineers or
engineering firms; however, the Contractor shall clearly designate which engineer or engineering firm is
responsible for implementing the geotechnical design requirements for a particular section or structure.
The DBT’s geotechnical personnel responsible for the installation and monitoring of instrumentation
such as inclinometers, piezometers, settlement indicating devices, standard penetration testing, etc.
must have a minimum of two years of experience with the specific type of instrumentation they will be
operating.

12.2.4.1 Approval
Replace any Geotechnical Engineer that does not meet the qualification or registration requirements in
Section 2.1.2.3 (Other DBT Lead Personnel Requirements).
12.3 Design Requirements

12.3.1 General
Provide geotechnical analysis and concept design for all structures and improvements, including
bridges, retaining walls, subgrades, embankments, reinforced soil slopes, noise walls, sign structures,
lighting structures, culverts, ground improvement systems, temporary shoring, protection of existing
utilities and ponds.
Information provided below takes precedence over similar design requirements in AASHTO LRFD.
Where no information is provided, refer to the ODOT and KYTC geotechnical guidelines, KYTC special
notes, and then to AASHTO LRFD.
Project development timelines may place obtaining geotechnical information on the critical path for plan
development. Thus, to aid in expeditated geotechnical delivery, develop detailed design memos for
each wall, bridge, noise wall and roadway as appropriate in a Buildable Unit rather than developing one
large geotechnical report.
12.3.2 Subsurface Investigations

Prior subsurface exploration data is provided for this Project and is located in GE-01 (Kentucky
Retaining Wall Justification Study Draft Report ). Additionally, there are previous subsurface
investigations for other historical projects that are available for reference in GE-02 (Ohio Alternative I
Retaining Wall Justification Study), GE-03 (Existing Boring Matrix), and GE-04 (Existing Boring
Locations). This information provided is not thorough and complete for the purposes of the Contractor.
The Contractor is responsible for reviewing available information and geotechnical reports. Contractor
may perform subsurface explorations to properly design and construct the work in accordance with the
requirements this Section 12. Department may perform subsurface explorations during Sub-Phase 1A
in coordination with the Contractor. Department will provide subsurface investigations to Contractor.
Contractor shall perform geotechnical laboratory testing and analysis for the subsurface explorations.
Selectively locate subsurface explorations on the basis of field observations, and design
considerations. Location of explorations shall be as topography, site conditions, soil conditions, and
design factors dictate.
Thoroughly review all available existing geotechnical information prior to developing the subsurface
exploration program for the Project or portion of the Project. Provide test borings, laboratory testing and
geotechnical analyses as necessary to supplement the archive geotechnical data for the new proposed
work to meet the requirements of the ODOT Specifications for Geotechnical Exploration, the ODOT
Geotechnical Design Manual, all ODOT Geotechnical Bulletins as well as the Kentucky Geotechnical
Guidance Manual and current Transmittal Memoranda. Incorporate archive geotechnical borings as
well as newly obtained geotechnical information available into the final design, individual geotechnical
reports, and geotechnical drawing submittals. Obtain Department acceptance of the boring and

laboratory program prior to commencement of each. Contractor to convert archive boring locations to
current project stationing.
During planning of the geotechnical program, provide the Department a subsurface investigation plan in
PDF and KML format, complying with ODOT and/or KYTC requirements as appropriate. Illustrate
archive borings on the proposed subsurface investigation plans in addition to the proposed borings.
Field work can begin following Department acceptance of the boring program. The boring program can
be specific to a portion of the Project.
12.3.3 Existing Materials

Recommendations presented in previous reports are specific to the structure locations and types
proposed at the time of the report. All exploration information is representative of site conditions at the
time and location of the exploration. Contractor shall perform geotechnical subsurface exploration work
by prequalified firms from the state’s list of approved geotechnical drilling consultants or Department
can provide subsurface exploration services, upon Contractor request. The Contractor’s geotechnical
engineer shall make appropriate recommendations for the Work as proposed by the Contractor.
Soil and groundwater conditions are only known at the exploration locations at the time of the
explorations.
It is the responsibility of the Contractor to perform soil surveys, soil borings, geotechnical investigations,
and appropriate analysis, including global stability, to produce a feasible concept for the Project.
12.3.4 Geotechnical Instrumentation and Construction Vibration Monitoring Plan

The Contractor shall develop, implement, and maintain a geotechnical instrumentation and construction
vibration monitoring plan to monitor vibrations, accelerations, vertical settlement, and lateral movement
of temporary support structures and adjacent ground, and existing structures, and infrastructure during
construction including the existing bridge, the new Companion bridge, ancillary structures, and
infrastructure within the zone of influence of construction in accordance with Section 7 (Environmental)
and as required and defined by the Department in Sub-Phase 1A and prior to the Early Work Change
Order and/or Phase 2 Change Order.
Wherever vibration-producing activities could affect a structure, building, sewer, or utility, the Contractor
shall prepare a Vibration Monitoring and Control Plan to address the potential impacts to nearby
receptors due to construction or demolition activities associated with this Project. The term “receptor”
includes buildings, structures, utilities, utility service connections, occupants, and sensitive
operations/processes for which construction impacts or Work above recommended vibration limits may
be detrimental. The plan shall include ground vibration threshold limits.
The monitoring plan shall address how the Contractor intends to complete vibration-related activities
and meet the following minimum requirements:
A. Develop a list of all anticipated vibration producing activities and where and when they are
expected to occur;
B. Develop a list of all potentially impacted receptors from these activities;
C. Provide a vibration susceptibility analysis for each identified receptor, and establish a vibration

control limit to preclude damage, including threshold damage, to each of the identified receptors
and include in a susceptibility study;
D. Provide a plan for notifying the public of potential vibration impacts, responsible Project
personnel, receptors requiring precondition surveys, and vibration monitoring activities;
E. Monitor construction related ground movement and vibrations at the nearest and most critical
receptor(s), and notify Department in writing through the ECMS system immediately if
established vibration limits are exceeded;
F. Provide instrumentation locations, monitoring procedures, and a description of the monitoring
devices and/or manufacturers’ brochures in the submitted Sub-Phase 1A and Sub-Phase 1B
plan set;
G. Access any sensitive community or business operations that may be affected by ground
movements and vibrations per Section 7 (Environmental);
H. Provide recommendations for vibration-limiting methods to meet the established maximum safe
vibration levels;
I. Develop Sewer Condition Reports;
J. Develop Structures and Pavement Reports; and
K. Develop Building Condition Reports.
List of receptors shall include:
A. Existing Bridge foundation elements
B. Utilities, including storm and sanitary sewers
C. Storage tanks
D. Buildings
E. Newly constructed elements
F. Existing structures within zone of influence of vibration producing activities
The Contractor construction monitoring plan shall detail the proposed program of instrumentation and
monitoring, set monitoring frequency, assess the impacts to existing structures and utilities, establish
threshold values of the monitored parameters, and describe the response plan that will be implemented
when threshold parameters are exceeded. Construction monitoring of the Bridge shall include vertical,
horizontal, and tilt movements and vibration of bridge piers in sufficient locations as to determine
adequate performance and safety of the Bridge and its foundations during construction.
The Contractor shall ensure that the instrumentation can be read remotely, and that data shall be
uploaded to a website provided by the Contractor, and which shall be accessible remotely by both the
Contractor and the Department. Remote-access functionality shall include the ability to extract data and
to isolate an individual monitoring point or multiple points. The presentation system shall include the
functionality to modify the extents and scale of data plotting such that arbitrary views are available.
The Contractor shall provide weekly construction instrumentation monitoring reports to the Department.
Monitoring reports shall be interpretive in nature, and shall enumerate any corrections applied to the
data including, but not limited to any notification measures taken regarding data. The weekly reports
shall include clear and explicit statements of exceedances of any pre-determined threshold values. The

Contractor shall maintain the instrumentation and monitor the measurements during and after
construction up to Completion of the Contract.
12.3.4.1 Vibration Susceptibility Study
Contractor shall prepare a Susceptibility Study to assess each building, structure, Utility, Utility Service
Line, and other receptors with sensitive operations/processes and occupants in the survey area defined
below and determine its susceptibility to disruption by vibration-producing Work. “Disruption” includes
both cosmetic cracking (threshold damage) and impacts on sensitive equipment and its operation.
Categorize the susceptibility of each building to cracking during Work as high, moderate, or low as
defined below. Susceptibility to cracking is the threshold of cosmetic cracking, which is:
A. Threshold damage (e.g., opening of old cracks and formation of new plaster cracks, dislodging
of loose structural particles such as loose bricks from chimneys)
B. Architectural or minor damage that is superficial and does not affect the strength of the structure
(e.g., broken windows, loose or fallen plaster, hairline cracks in masonry)
The categories of building susceptibility to vibration are:

A. High susceptibility: An identified receptor has high susceptibility if it has already experienced a
significant amount of degradation of its primary structural or non-structural system, and
additional vibrations may further degrade these elements and possibly result in injuries to
persons in the building. Identified receptors with loose or unstable elements (such as loose
bricks or structurally cracked terra-cotta cornices) are in this category.
B. Moderate susceptibility: An identified receptor has moderate susceptibility if, although some
building deterioration has occurred prior to construction activities, it has not yet experienced a
significant degradation of its primary structure or its non-structural systems that would lead to
further building degradation due to construction vibrations. This category includes identified
receptors with bricks that may be loose (as determined by visual inspection) and identified
receptors with small to moderate quantities of fragile, potentially unstable contents that may be
damaged by construction vibrations.
C. Low susceptibility: An identified receptor has low susceptibility if it is not expected to experience
cosmetic cracking when subject to moderate levels of vibrations (such as those permitted by the
U.S. Bureau of Mines, Office of Surface Mining (OSM) vibration criteria) and if its contents will
not be damaged by moderate vibration levels.
As part of the Susceptibility Study, determine whether there are sensitive operations or equipment
nearby, such as hospitals, computerized industries or banks, and industrial machinery. Include a list of
buildings with sensitive equipment or procedures in the Susceptibility Study. The Susceptibility Study
will include the three items listed below, which will be provided to Department as part of the Vibration
Monitoring and Control Plan.
12.3.4.1.1 Anticipated Vibration-producing Activities
Identify locations where moderate to heavy construction activities will occur that are capable of
producing vibrations that may cause damage, interference, or annoyance to receptors. Heavy activities
include operations such as blasting, pile-driving, dynamic compaction, and percussive demolition.
Moderate construction activities include operations such as vibratory compaction and heavy equipment

operation. Present locations on a plan sheet or map that shows in-place topography, including nearby
structures and buildings.
12.3.4.2 Potentially Impacted Receptors
Produce a map that includes the potential receptors established. Identify receptors by type of
construction, size, material, address (if applicable), and owner. Identify all receptors in the survey area
and categorize them as high, medium, or low susceptibility. The survey area is defined as the area
including:
A. All buildings and structures within a distance at which vibrations of 0.1 inch per second or
greater will occur from construction activities and/or contributing structures within historic
districts or individually listed properties listed in or eligible for the National Register of Historic
Places within 140 feet of proposed construction work.
B. Any building that has sensitive operations or Utility that may be affected by vibration-producing
activities.
12.3.4.3 Establish Vibration Limits
Establish safe vibration levels that preclude damage to structures. Use these safe vibration levels as
vibration limits for the Contract. Set separate levels for each receptor, if desired, but the limits may not
be less stringent than those set forth in the OSM Alternative Blasting Level Criteria (Modified from
Figure B1, RI 8507U.S. Bureau of Mines). Express the vibration criteria in peak particle velocity (PPV)
with units of inches per second (ips).
12.3.5 Condition Surveys

12.3.5.1 Pre-Construction Condition Survey
The Contractor shall conduct a pre-construction inspection and survey of the existing condition of all
structures and properties for the purposes of generating photographic and video documentation of
existing damage, leaks, and cracks of each receptor defined in accordance with Section 12.3.4
(Geotechnical Instrumentation and Construction Vibration Monitoring Plan) prior to beginning any Work
that produces perceptible ground vibrations. The pre-construction condition survey shall form the basis
against which all new cracks, existing progressive cracks, or damage will be measured. The spatial
extent of the pre-construction survey shall encompass the Project Limits plus certain areas beyond the
Project Limits, as detailed herein. The Contractor and Department will further coordinate receptor
locations prior to the Early Work Change Order and/or Phase 2 Change Order.
The Contractor will coordinate with the Department to notify each household, institutional operator,
Utility Owner, structure owners, and business establishment identified as receptors in accordance with
Section 12.3.4 (Geotechnical Instrumentation and Construction Vibration Monitoring Plan). Notify each
contact via a registered letter at least three weeks prior to the survey. Obtain confirmation of receipt of
notification letter. Include the following at a minimum in the letter:
A. Explanation of the potential for producing vibrations;
B. Steps the Contractor will take to avoid potential damage from those vibrations;
C. Name and telephone number of a contact person to respond to any questions or concerns;
D. Description of the pre-construction survey, including probable dates that the survey will be
conducted. Provide at least two dates;

E. Description of Vibration Monitoring Plan; and

F. Meeting Invitation to receptors to educate about the pre-construction survey process prior to
commencing surveys.
The full spatial extent of the Contractor pre-construction condition survey necessarily depends upon the
Contractor’s design and proposed means and methods of construction. In its preparation for the pre-
construction survey, the Contractor shall be responsible for predicting anticipated vibration and
settlement effects at various offset distances from the Project Limits, and for ensuring that the pre-
construction condition survey encompasses at a minimum all properties within areas that are identified
by the Contractor to be potentially prone to: (i) ground vibration levels, expressed as resultant peak
particle velocity, in excess of 0.10 inches per second or greater; and (ii) predicted ground settlements of
greater than 0.25 inches. In addition, the spatial extent of the pre-construction condition survey shall be
integrated with the Contractor’s implementation of its strategy for conformance with the Environmental
Commitments related to the protection of cultural resources (see Section 7 (Environmental)). This
strategy shall include properties within designated historic districts.
The Contractor shall submit to the Department the records and photographic and video documentation
of the pre-construction condition survey, which shall be signed and stamped by a Professional
Engineers registered in the State of Ohio and Commonwealth of Kentucky. Submit the records prior to
commencement of construction with the affected area.
12.3.5.2 Post-Construction Condition Survey
The Contractor shall conduct a post-construction condition survey of the zone and properties covered
by the pre-construction conditions survey (see Section 12.3.5.1 (Pre-Construction Condition Survey)
herein). The post-construction condition survey shall be performed by the Contractor at Substantial
Completion, and it shall compare the post-construction conditions with the conditions recorded in the
pre-construction condition survey. The location and scope of the post-construction condition survey
shall match those of the pre-construction condition survey. The survey shall provide information on
whether the specific receptors have been damaged due to Construction Work and shall detail the
extent of damage to each impacted receptor.
The complete documentation of the post-construction survey, describing the comparison with the
preconstruction conditions and signed by a Professional Engineer registered in the State of Ohio and
Commonwealth of Kentucky, shall be submitted to the Department.
Damage identified in the Post-Construction Condition Survey that was not present in the Pre-
Construction Survey shall be repaired by the Contractor to a condition approved by the Department.
12.3.6 Ohio Design Requirements

The following sections shall apply to Work within Ohio’s JDM.
12.3.6.1 Subsurface Exploration and Existing Information
Per Ohio Revised Code 163.03, the Contractor will be able to obtain soil borings prior to a parcel being
available for construction. Prepare property owner letter(s) (which will require the Department’s
signature and letterhead). Notice (said letter) of such proposed entry shall be given to the owner or the

person in possession by such means as are reasonably available not less than 48 hours or more than
30 Days prior to the date of such entry.
Provide final boring plans in electronic format for incorporation into the ODOT Geotechnical Data
Management System (GeoMS). All new boring data obtained for the project is to be compliant with the
Data Interchange for Geotechnical and Geoenvironmental Specialists (DIGGS) standard as outlined in
Section 701 of the Specifications for Geotechnical Exploration.
12.3.6.2 Geotechnical Exploration Reports
All geotechnical design and explorations performed by the Contractor shall be completed and submitted
to ODOT in a Geotechnical Exploration Report(s) following the guidelines of Section 700 of the SGE.
The Contractor shall combine all new geotechnical exploration and historical information in accordance
with the SGE. In lieu of one large report for the project, geotechnical reports can be submitted per
structure (wall or bridge) or Buildable Unit.
12.3.6.3 Subgrade Stabilization
Use the geotechnical information gathered by the Contractor, and applicable existing geotechnical
information provided to design and construct subgrades below pavements per the Standards.
12.3.6.4 Soil Slope Stabilization
information provided to design and construct embankments and slope stabilizations per the ODOT
Standards.
12.3.7 Kentucky Design Requirements

The following sections shall apply to Work within Kentucky’s JDM.
12.3.7.1 Subsurface Exploration and Existing Information
The Contractor shall provide all subsurface exploration plans and explorations to KYTC in accordance
with the KYTC Geotechnical Manual and Transmittal Memoranda.
Provide conventional drilling, laboratory testing, or engineering analyses conducted by a firm

prequalified in the applicable category in Kentucky to conduct the work. Specialty work not covered in
the KYTC Prequalification’s for Geotechnical Drilling, Engineering Laboratory Testing, or Geotechnical
Engineering may be conducted by a firm not pre-qualified in Kentucky; however, that work shall be
under the supervision of a prequalified Geotechnical firm.
Perform all subsurface explorations, including sampling and laboratory testing, in accordance with the
latest KYTC Geotechnical Manual and Transmittal Memoranda, AASHTO standards, and ASTM
standards. Perform all laboratory testing at a KYTC pre-qualified geotechnical testing laboratory per
KYTC methods.
For all subsurface explorations performed by the Contractor, the Contractor shall secure an access
permit from the appropriate agency, if required, which may require the preparation of an equipment
access plan, description of equipment types, a plan of the test locations, etc. The Contractor shall

adhere to all traffic control requirements when taking samples on existing roadways. A traffic control
plan may be required. The Contractor shall not enter any private property without permission from the
private property owner. The selected Contractor may enter any State of Kentucky property in the
Project Limits at any time, however, parcels not yet purchased by the State of Kentucky or Contractor
for this Project may not be accessible without specific permission from the property owner.
12.3.7.2 Geotechnical Exploration Reports
Submit a Geotechnical Report (or reports), prepared by the DBT's Geotechnical Engineer of Record,
presenting the results of all investigations, design recommendations and analyses calculations. The
DBT's Geotechnical Engineer of Record shall review the applicability of the available geotechnical
information provided by the Department to the Contractor's design. The review shall be documented in
the Geotechnical Report(s). Subsurface explorations refer to geotechnical borings, cone penetration
tests, geophysical methods, and other in-situ testing methods; and laboratory tests conducted to
support the analysis and design of subgrades, embankments, fills, bridges, walls, and culverts.
12.3.7.3 Subgrade Stabilization
information provided to design and construct subgrades below pavements per the Standards and
directives provided by KYTC during the Sub-Phase 1A design development.
12.3.7.4 Soil Slope Stabilization
information provided to design and construct embankments and slope stabilizations per the KYTC
Standards.
The Contractor is responsible for analysis and design of soil slopes. Reinforce slopes steeper than two
to one (2:1). Slopes two to one (2H:1V) or flatter may require stabilization improvements such as rock
embankment, shear keys, reinforcement, or other measures depending on soil conditions and shall
follow KYTC manuals, standard specifications, and special notes.
12.3.8 Rock Cut Slopes

Use the geotechnical information gathered by the Contractor and any applicable existing geotechnical
information provided, to design and construct rock cut slopes per the Standards.
The Contractor is responsible for analysis and design of cut slopes. A rockfall analysis along with
assumed parameters may be required for review by the Department, depending on conditions. If
required, the analysis shall follow KYTC manuals, Standard Specifications, and Special Notes.
12.4 Submittals
Submit submittals under this Section 12.4, a non-exhaustive list of which is set forth in Table 12-1
(Geotechnical Submittals Table), in electronic format in accordance with the schedule set forth below.
Acceptable electronic formats include PDF and current versions of Microsoft Word and Microsoft Excel,

Table 12-1: Geotechnical Submittals Table

Reference
Section
Geotechnical
Instrumentation and As Defined in the DBT
Construction Submittal N/A 1 Design Submittal Plan and 12.3.4
Vibration Monitoring Base Design Submittal
Plan
Vibration
Submittal N/A 1 Design Submittal Plan and 12.3.4.1
Susceptibility Study
Base Design Submittal
Submit each report in
Geotechnical accordance to discussions
Exploration Submittal N/A 1 at the Submittal Meeting 12.3.6.2
Report(s) - Ohio per Section 12.2.2
(Meetings)
Submit each report in
accordance to discussions
Geotechnical
Submittal N/A 1 at the Submittal Meeting 12.3.7.2
Report(s) - Kentucky
per Section 12.2.2
(Meetings)

13. BUILDING DEMOLITION AND RECONSTRUCTION

When designated, the Contractor shall demolish and remove the existing buildings, ancillary structures,
and temporary structures and facilities within the Project Limits and established Right-of-Way as
indicated in RW-01(KYTC Right of Way Plans), RW-02 (ODOT Final Right-of-Way Tracings), and RW-
09 (Building Demolition Matrix) in a safe and environmentally acceptable manner. Construction,
demolition, and/or asbestos abatement operations shall comply with all the applicable codes, rules, and
regulations governing these activities in Cincinnati, Covington, State of Ohio, and Commonwealth of
Kentucky, including, and not limited to provisions of the City and State Fire Codes. Contractor shall
follow 40 CFR 61 Subpart M demolition regulations (NESHAP), KYTC – Division of Right of Way &
Utilities Specification for Removal of Improvements (TC 62-16), and for ODOT follow demolition
requirements in ODOT Construction and Material Specifications 202, except as modified in this Section
13.
All existing features encountered on the building removal parcels within permanent and temporary
easement limits not otherwise designated in the Contract Documents as to remain for salvage or for
reuse shall be removed and disposed of, except as directed by the Department, including but not
limited to pavements, sidewalks, driveways, minor structures and obstructions, fencing, pipes, drainage
structures, railing steps, debris, vehicles, Regulated Materials, and underground storage tanks. The
Contractor shall ensure that all improvements associated with each demolished building/property are
removed including all abandoned personal property found within or outside the building, and that only a
bare grass lot remains, unless otherwise specified in the Contract Documents. The burning of
buildings/building material is forbidden. The use of explosives is forbidden.
Backfill all cavities created from building demolition with structural backfill conforming to ODOT and/or
KYTC standards.
13.1 Building Demolition and Removal Plan

The Contractor shall develop Building Demolition and Removal Plans for buildings to be demolished as
identified in RW-01 (KYTC Right of Way Plans), RW-02 (ODOT Final Right-of-Way Tracings), and RW-
09 (Building Demolition Matrix) for Department review. Building Demolition and Removal Plans shall
include additional information as specified in Section 13.2 (Demolition Requirements) and will be used
by the Contractor to develop an OPC during Sub-Phase 1A and be incorporated into the Base Design
Submittal.
Building Demolition and Removal Plans shall be signed by a Professional Engineer registered in the
State of Ohio or Commonwealth of Kentucky and submitted to the Department for review and written
comment.
13.2 Demolition Requirements

The Contractor shall review the Conceptual Design and develop demolition approach to the existing
buildings.

13.2.1 ARTIMIS
The Contractor shall demolish the existing ARTIMIS building following relocation and connection of all
ITS infrastructure in accordance with Section 20.5 (Intelligent Transportation System (ITS)). In addition
to requirements within this Section 13, the Contractor shall remove all pavement and fencing on the
property.
13.2.2 Extent of Demolition

Buildings shall be demolished to 2 feet below final grade and all slabs including basement slabs that
are below 2 feet shall be broken. Below grade areas that are not filled with new bridge foundations shall
be backfilled with structural backfill conforming to ODOT and/or KYTC standards. Additional demolition
shall be required for construction and new substructure at the location of the existing buildings.
13.2.3 Regulated Materials

The Contractor may need to perform regulated materials inspections of buildings to be removed. See
Section 7 (Environmental) for testing requirements.
13.2.4 Asbestos Compliance

See Section 7 (Environmental) and RIDs for prior Department Asbestos inspection and laboratory
results.
13.2.5 Protection of Materials and Structures

Contractor shall design demolition to protect materials that are to remain in place, or that are to remain
the property of the Department. This includes property on adjoining parcels.
13.2.6 Environmental Protection

The Contractor shall prepare a soil erosion and sediment control plan during Sub-Phase 1A for use in
developing an OPC. Contractor performing demolition is anticipated to prepare separate stormwater
pollution prevention plan (SWPPP) Submittals for individual sites for Department and/or KYTC
approval.
13.2.7 Public Safety

The Contractor shall secure the Project Site with fencing during demolition activities.
13.2.8 Demolition Staging

Contractor shall include demolition staging within the Building Demolition and Removal Plans as will be
further detailed and agreed between the Parties as part of the Sub-Phase 1A Project Scope.
13.2.9 Utilities
Building Demolition and Removal Plans shall address any service utility connections that will be
required to be capped or removed due to demolition. The discontinued and capped utilities shall be in
accordance with the requirements of the utility companies or the Department. The Contractor shall

coordinate the removal of all utility services and pay all utility disconnect fees. For additional
information, see Section 9 (Utilities).
13.3 Longworth Hall Demolition and Reconstruction

The Contractor shall prepare plans and perform the demolition and reconstruction of Longworth Hall,
identified as Parcel 1 in RW-02 (ODOT Final Right-of-Way Tracings). The limits of demolition will
generally be in accordance with the RW-10 (Longworth Hall Impact Analysis Report: Concept Plans).
The reconstruction by the Contractor will be in accordance with RW-10 and consist of structural shell,
necessary interior supporting structures, and all exterior work. In addition, construction shall include all
work necessary to maintain occupancy of the building during and after completion of the Contractor’s
work. This will include maintaining, relocating and/or constructing interior life-safety features.
13.3.1 Environmental Mitigation

Restoration of the east wall, to an approximation of its original appearance, will include material
salvaged during the demolition in accordance with the Secretary of the Interior’s Standards.
A. Plans will be developed for review and comment by the building owner, Cincinnati Preservation
Association, and Ohio State Historic Preservation Officer.
B. Windows, removed to accommodate the new roadway construction, will be restored and used in
the east wall reconstruction.
C. Windows, removed and not used in the east wall reconstruction, will be restored and returned to
the owner.
D. A cornerstone, commemorating the date of construction (1904) on one side, and the date of
renovation on the other side, will be included in the east wall reconstruction design.
E. The Secretary of the Interior's Standards for the Treatment of Historic Properties:
Reconstruction as a Treatment and Standards for Reconstruction
https://www.nps.gov/articles/000/treatment-standards-reconstruction.htm
F. The Secretary of the Interior's Standards for the Treatment of Historic Properties
https://www.nps.gov/orgs/1739/secretary-standards-treatment-historic-properties.htm
13.3.2 Historic Façade Modifications

The Work entails demolition of approximately 200 feet of the east end of the building while salvaging
the historic masonry and reinstalling it on a newly configured east-facing exterior wall. The newly
reconfigured wall should occur at a pilaster like the west end of the building so that the detailing and
corner pilaster can be recreated.
The critical historic elements that should be salvaged and recreated on the newly reconfigured east
façade, include the historic brick, coping stones, limestone window sills, limestone and brick pilaster
elements and rusticated blocks. Key decorative architectural elements such as the brick pilasters,
pilaster capitals, arches and roof-line corbelling, window eyebrows and limestone pilaster bases should
be documented, catalogued, and carefully salvaged and cleaned for reinstallation on the reconfigured
façade. Façade elements should be stored in a manner to prevent exposure to the weather and
extreme temperature.

The original brick coursing is a running bond with interlocking header courses which should be
recreated. The new wall should be laid up as a monolithic fully parged masonry wall like the original
and not be installed as a brick veneer. If possible, the backup masonry should be the same or similar in
density and size to the original to maintain the historic structural and thermal/moisture behavior of the
existing wall. Some areas of the existing walls to remain near the new wall on the south and north sides
will need to be rebuilt in order to fully integrate the new masonry wall.
Based on the age of the structure, the mortar is likely lime-based mortar with no portland cement. The
new mortar should be as close to the original as possible in make up with no portland cement. The
existing historic mortar should be tested per ASTM C1324 Standard Test Method for Examination and
Analysis of Hardened Masonry Mortar to assist in the selection of replacement and pointing mortar for
the sections of the wall to remain.
Chemical analysis of the historic mortar should be performed to determine the mortar make up of lime
aggregate and sand. The goal is to recreate the structural strength and vapor permeability of the
original wall to prevent freeze-thaw damage.
13.3.3 Architect, Engineer, and Contractor Qualifications

Design professionals and contractors experienced in historic repair and preservation shall prepare the
Design Documents and perform the Work. When used with an entity or individual, "experienced"
unless otherwise further described means having successfully completed a minimum of five previous
projects similar in nature, size, and extent to this specific Work; being familiar with special requirements
indicated; and having complied with requirements of authorities having jurisdiction.
A. Professional architects and engineers shall have experience in the following areas of work
related to this building type:
1. temporary bracing and shoring of masonry structures
2. sequential and partial demolition of structure
3. removal and preparation / restoration of materials to be re-used on the project including
brick masonry, window systems and historic ceiling systems
4. adaptive reuse of materials to be used on the project in a function other than their current
usage
B. A professional engineer who is legally qualified to practice in jurisdiction where Project is
located and who is experienced in providing engineering services of the kind indicated.
Engineering services are defined as those performed for installations of the system, assembly,
or product that are similar in material, design, and extent to those indicated for this Project.
C. Contractor's Statement of Responsibility: When required by authorities having jurisdiction,
submit copy of written statement of responsibility submitted to authorities having jurisdiction
before starting work on the following systems:
1. Seismic-force-resisting system, designated seismic system, or component listed in the
Statement of Special Inspections.
2. Main wind-force-resisting system or a wind-resisting component listed in the Statement of
Special Inspections.

The Contractor shall utilize the resources available through the Ohio State Historic Preservation Office
(SHPO) website https://www.ohiohistory.org/preserving-ohio/state-historic-preservation-office/services-
fees/ that provides listings of companies which have met federal professional qualification requirements
and the following services:
A. Archaeology Consultants List
B. History / Architecture Consultants List
C. Choosing an Archaeology Consultant
D. Choosing a History / Architecture Consultant
13.3.4 Additional Qualifications
In completion of the Work, the Contractor shall meet the following requirements unless authorities
having jurisdiction supersede requirements of specialists:
A. Manufacturer Qualifications: A firm experienced in manufacturing products or systems similar to
those indicated for this Work and with a record of successful in-service performance, as well as
sufficient production capacity to produce required units. As applicable, procure products from
manufacturers able to meet qualification requirements, warranty requirements, and technical or
factory-authorized service representative requirements.
B. Fabricator Qualifications: A firm experienced in producing products similar to those indicated for
this Work and with a record of successful in-service performance, as well as sufficient
production capacity to produce required units.
C. Installer Qualifications: A firm or individual experienced in installing, erecting, applying, or
assembling work similar in material, design, and extent to that indicated for this Work, whose
work has resulted in construction with a record of successful in-service performance.
D. Specialists: Certain Specification Sections require that specific construction activities be
performed by entities who are recognized experts in those operations. Specialists will satisfy
qualification requirements indicated and engage in the activities indicated.
13.3.5 Design Development
The Contractor shall perform a detailed field investigation of the exterior and interior of the building in
coordination with the owner and prepare a report summarizing the findings which will be used as a
basis of design.
As part of Sub-Phase 1A, the Contractor will develop drawings to 50% completion, develop necessary
specifications, and estimate costs to complete the work as part the Project’s Opinion of Probable Costs.
During Sub-Phase 1B, the Contractor will develop final plans to 100% completion, prepare a list of
necessary permits to be obtained, and include costs as part of the development of the GMP.
Phase 2 work will include the necessary permitting, demolition, and reconstruction work required.
13.4 Submittals
Submittals under this Section 13.4, a non-exhaustive list of which is set forth in Table 13-1 (Building
Demolition and Reconstruction Submittals Table), shall be submitted in both hardcopy and electronic

format in accordance with the schedule set forth below. Acceptable electronic formats include PDF and
current versions of Microsoft Word and Microsoft Excel, unless otherwise indicated. At a minimum, the
Contractor shall submit the following to the Department:
Table 13-1: Building Demolition and Reconstruction Submittals Table
For Number of Copies
Acceptance, Reference
Submittal Submittal Schedule
Approval, or Hardcopy Electronic Section
Submittal
Building As Defined in the DBT
Demolition and Submittal N/A 1 Design Submittal Plan and 13.1
Removal Plan Base Design Submittal
Longworth Hall As Defined in the DBT

Field Investigation Submittal 4 1 Design Submittal Plan and 13.3.5
Report Base Design Submittal
Longworth Hall
50% Design
Submittal 4 1 Design Submittal Plan and 13.3.5
Drawings and
Base Design Submittal
Specifications
Longworth Hall
100% Design
Approval 4 1 Design Submittal Plan and 13.3.5
Drawings and
Sub-Phase 1B Submittal
Permitting List

14. PAVEMENTS
The Contractor shall construct, maintain, and rehabilitate roadway pavements within the Project Limits
in accordance with Section 1.2 (Governing Regulations) and using Good Industry Practices.
Additional Project specific design criteria and pavement types will be coordinated and communicated
during the Sub-Phase 1A Scope Meeting per Section 2 (Project Management).
14.1 Ohio Pavement Requirements

Ohio has completed the subsurface exploration and has designed the pavements including subgrade
treatment. Completed final pavement designs are shown in the RIDs PA-01 (Ohio Pavement Type
Selection), PA-02 (Ohio Pavement Section), and PA-03 (Ohio Pavement Requirements). Contractor
shall follow PA-01 (Ohio Pavement Type Selection), PA-02 (Ohio Pavement Section), and PA-03 (Ohio
Pavement Requirements). The Department will not accept modifications to the Ohio pavement type
selection.
Requirements for smoothness and temporary pavement design can be found in Section 1.2 (Governing
Regulations).
14.2 Kentucky Pavement Requirements

KYTC, prior to contract award, will provide base pavement designs for both asphalt and concrete
pavements based on an assumed CBR.
During the Proof-of-Concept Phase, the Contractor shall validate the assumed soil conditions and
coordinate with the Department on any adjustments needed to the base pavement designs including
subgrade treatments. The Contractor may also submit modified equivalent pavement designs to KYTC
for consideration. Modified equivalent pavement designs shall be in accordance with Section 1.2
(Governing Regulations) and supported by documentation of cost and/or time savings. All interstate
and ramp shoulders shall match the mainline driving lane thickness for any modified equivalent
pavement design proposed by the Contractor. The determination of final pavement design(s) will be at
the sole discretion of the Department. Once the Department directs the final pavement designs, the
Contractor shall prepare a Pavement Design Memorandum for KYTC documenting this decision.
Pavement smoothness requirements are per KYTC Standard Specification Section 410 (Asphalt
Pavement Ride Quality Category A) and Section 501 (Portland Cement Concrete Pavement Category
A). Pavement smoothness requirements shall apply to all pavement structure transition areas between
asphalt, concrete, approach slabs and structures for this project.
Special pavement performance aspects or appropriate treatments for reaches of the Project may be
required as part of the environmental commitments for the project or identified through ATC
development.

14.3 Private Parking Areas and Driveways

The Contractor shall replace any private parking areas or driveways damaged during construction in
like kind. New driveways shall be in accordance with Section 1.2 (Governing Regulations).

15. ROADWAY
The Contractor shall design and construct all roadways and associated roadway items including
earthwork, pavements, curbs, pedestrian facilities, driveways, barriers, fence, incidentals, and other
roadside items in accordance with Section 1.2 (Governing Regulations), Table 1-2 (Design Designation,
Design Criteria and Maintaining Agencies), and Design Year forecasted certified traffic volumes which
will be provided by the Department, and requirements within this Section 15.
The Contractor shall develop a Base Design that meets the intent of Concept I-W provided in LD-07
(Concept I-W Corridor Exhibit). The Department has coordinated with local communities and provided
many new active transportation connections in the project limits, many of which cross at or near ramp
terminals. The Contractor shall implement traffic calming measures at locations where drivers are
transitioning from a free flow facility to the local street network, with increased emphasis at active
transportation facility crossings. Additional geometric modifications that meet Project Goals can be
evaluated during Sub-Phase 1A. Additional information is provided for the Contractor to establish Base
Design Plans:
A. LD-01 (Concept I-W_Final Design Summary Report)
B. LD-02 (Kentucky_PAVR Alternative I)
C. LD-03 (Ohio_PAVR Alternative I
D. LD-04 (BSB Smart PDF)
E. LD-05 (BSB IMS)
F. LD-06 (BSB Addendum)
G. LD-07 (Concept I-W Corridor Exhibit)
H. LD-08 (Concept I-W Multimodal Exhibit)
I. LD-09 (Concept I-W Design and Legal Speeds Exhibit (from 12th Street to north end of Project))
J. LD-10 (Draft Design Exceptions)
K. LD-11 (BSB IMS Addendum 2 (Concept I-W) – to be provided
The Department is currently coordinating several design exceptions that will be provided to the
Contractor once approved. Draft design exceptions are provided in LD-10. If additional design
exceptions are identified during Preconstruction Phase (Sub-Phase 1A and/or Sub-Phase 1B) and Final
Design and Construction Phase 2, the Contractor shall prepare the design exceptions for the
Department review. The Department will coordinate and obtain any approvals necessary from FHWA.
Contractor shall include local street repair plans based on the local detours and haul routes coordinated
with Department and local agencies to be further detailed and agreed between the Parties as part of
the Sub-Phase 1A Project Scope. Additional Project specific design criteria will be coordinated and
established during the Post Award Scope Meeting per Section 2 (Project Management).

15.1 Submittals
The Contractor shall submit detailed Base Design plans per ODOT and KYTC requirements and
supporting calculations for review. See Section 2 (Project Management) for Base Design submittal
requirements.

16. DRAINAGE
16.1 General
The Contractor shall conduct all work necessary to design and document design criteria for the
stormwater management facilities for the Project. Elements of work shall include the following:
A. Prepare a Hydraulic Report for the Project in accordance with the Section 1.2 (Governing
Regulations).
B. Pavement drainage systems for both the permanent Project facilities and the temporary
construction conditions. This includes existing detention facilities.
C. Temporary sedimentation and erosion control measures.
D. Runoff treatment and or detention facilities as required to meet Section 1.2 (Governing
Regulations) and the permit commitments for the Project.
E. Maintenance of existing off-site flows that pass through the Project area.
F. New Subsurface drainage systems or Underdrains shall be designed, and design coordinated
with the storm sewer design.
G. Hold meetings and coordinate the design as required with the ODOT and KYTC hydraulics,
maintenance, and environmental staff, the Cincinnati Metropolitan Sewer District (MSD),
Sanitary District No. 1 (SD1), and local public agency (LPA) staff.
H. Compliance with local drainage ordinances.
16.2 Performance Requirements

16.2.1 General
The stormwater drainage system (consisting of runoff collection systems, conveyance systems, flow
control facilities, runoff treatment facilities, and outfalls for the Project) shall meet the requirements of
this Section 16, Section 1.2 (Governing Regulations), and the Project permits. The Contractor shall
maintain and provide facilities for handling other runoff from flows originating from off-site and cross-
drainage as required.
16.2.2 Preliminary Hydraulics

There are several RIDs that provide conceptual stormwater management information for the Project.
See DR-01 through DR-05.
The stormwater system along the interstate in Ohio will be completely replaced with this Project. ODOT
has committed that the new stormwater system will be removed from the existing MSD combined sewer
system. See Section 17 (Sanitary and Combined Sewers) for additional technical requirements and
information.
The existing stormwater system along the interstate in Kentucky utilizes the Willow Run Combined
Sanitary/Stormwater system through Covington. KYTC has committed that the new stormwater system
will be removed from the existing Willow Run system with the new construction and create an

independent system and outfall. See Section 17 (Sanitary and Combined Sewers) for additional
technical requirements for the Willow Run Combined Sanitary/ Sewer System.

16.3.1 Stormwater Design Criteria
The Contractor shall use Section 1.2 (Governing Regulations), Conceptual Design Documents in LD-01
through LD-11 Environmental RIDs EN-01 through EN-27, Project Permit requirements, the
environmental commitments described in EN-28 (Environmental Commitments), and the design criteria
described in this Section 16 to develop the design of the Project.
The design of drainage systems shall include reconfiguration of the existing drainage systems within
the Project Limits, and design of new and reconfigured storm drainage systems as required by the
performance requirements as defined in this Section 16. The existing storm sewer systems will be
completely replaced unless approved by the Department based on condition assessment completed by
the Contractor. Contractor shall prepare existing asset condition surveys for stormwater, culverts, and
cross drains as part of the Sub-Phase 1A Work. If Contractor, proposes to re-use existing storm sewer
systems and additional fill is placed, the Contractor shall prepare storm drain joint deflection
calculations and evaluation of safety using Section 12 (Geotechnical), “Buried Structures and Tunnel
Liners” of the AASTO LRFD Bridge Design Specifications for Department review. Contractor shall
design in accordance with ODOT SS 837 and SS 899 for Pipe Liner and KYTC Specification 701.03.
The Contractor shall provide facilities compatible with existing drainage systems and all applicable
municipal drainage plans or systems in adjacent properties. The Contractor shall preserve existing
drainage patterns wherever possible, other than the separation of the interstate stormwater and Willow
Run Sanitary as stated above.
The Contractor shall coordinate this work with Utility and Railroad Owners to design and construct
drainage conveyance utility crossings to meet the respective requirements.
16.3.2 Cincinnati Metropolitan Sewer District (MSD)

Cincinnati Stormwater Utility in cooperation with MSD is the local stormwater authority for the Project
within the City of Cincinnati. MSD owns and maintains an extensive network of storm and combined
sewer systems within the Project. The Contractor shall not increase stormwater runoff to the individual
existing MSD sewer inlets or pipes that currently receive stormwater from the roadways as a result of
the work on the Project. The Contractor needs to be aware that MSD has an old system of conduits and
are concerned with increased flows as well as the structural integrity of their system if additional fill, live
load, or static load will be added in the vicinity of their pipes. The Contractor shall be required to
adequately demonstrate minimization of any impacts to existing system to MSD and ODOT for
approval. If the Contractor’s design adequately addresses this provision, it is not anticipated that any
further analysis of MSD’s combined sewer network will be required. However, if the Contractor’s design
does increase stormwater runoff to an inlet or pipe or increases live load or static load or if the
Contractor wishes to make a new connection to MSD’s storm sewer or combined sewer network, the
Contractor shall be responsible for addressing any necessary analysis requirements and upgrades to

the system needed to meet hydraulic capacity requirements per MSD and ODOT Governing
Regulations.
16.3.3 Kentucky Stormwater Management

Sanitary District No. 1 (SD1) is the local stormwater authority for the Project within Kentucky except
within the city limits of Covington. The City of Covington is responsible for stormwater management
within their city limits. SD1 and the City of Covington owns and maintains an extensive network of storm
and combined sewer systems within the Project. As stated above, the new interstate stormwater will be
separated from the existing system. See Section 17 (Sanitary and Combined Sewers) for further
information.
16.4 Culverts
The Contractor shall be responsible for video inspecting all culverts and cross-drain pipes within the
limits of the Project. The Contractor shall note within the Base Design plans to retain, modify, protect
ends with headwalls, or abandon the existing cross-drains and culverts as required to match revised
roadway sections.
All proposed modifications to cross-drains and culverts in the Project area shall be checked and/or
sized for capacity, and the results shall be included in the Contractor’s design calculations in the Base
Design Submittal. All culvert designs and capacity checks shall be performed in accordance with the
Section 1.2 (Governing Regulations).
16.5 Detention Facilities

If detention facilities are necessary, the Contractor shall coordinate with the Department, MSD, SD1
and City of Covington as appropriate to develop existing flow rates and applicable design storm
sizing/release requirements for specific outfall points. All detention facilities, if required, shall be located
within the proposed permanent Right-of-Way. Detention facilities shall be designed to avoid conflicts
with other underground utilities. The facility layout, methodology and physical properties of the facility
including type of system, materials, outlet structure and access points shall be approved by the
Department, MSD, SD1, and other stakeholders prior to ordering and installation. Mechanically
operated detention facilities shall not be permitted.
16.6 Ohio General BMP Requirements

As stated in L&D Volume 2, Sections 1112 and 1115, post-construction BMPs are not required if all
runoff is collected in a combined sewer provided design flow to the combined sewer meet the
requirements of maintaining agency. Drainage areas contributory to combined sewers shall not be
credited toward Project treatment percentages for quantity or quality.
The ODOT drainage will require Quality BMP. The Contractor will need to maximize the vegetated BMP
(biofilter and filter stripes) and then offsite mitigation will be required. Contractor will need to coordinate
with OEPA. Coordination has already started with OEPA to get preapproval.

16.7 Kentucky General BMP Requirements

For Kentucky side of the Project BMP design requirements will follow the Section 1.2 (Governing
Regulations), unless directed by KYTC where special considerations may be needed.
16.8 Utilities
The stormwater design must accommodate existing utilities.
16.9 Temporary Erosion and Sediment Control

Temporary erosion and sediment control is required and the Contractor will be required to prepare any
necessary plans in accordance with the Section 1.2 (Governing Regulations). The Contractor will be
required to submit necessary plans for each permitting agency. The Contractor will also be required to
use SWPPP Track in accordance with ODOT SS832 to handle the inspection and tracking of temporary
erosion and sediment controls per their Storm Water Pollution Prevention Plan.

Cincinnati MSD is the local stormwater authority for Ohio with responsibility for managing and
implementing the local erosion control protection and sediment control ordinance and floodplain
ordinance.

SD1 is the local stormwater authority for temporary erosion control measures shall be in accordance
with KYTC Drainage Manual, Project permits, and applicable Specifications.
16.10 Abandonment and Removal of Existing Drainage Structures

Abandonment and/or removal of existing drainage structures and pipes shall be in accordance with
Section 1.2 (Governing Regulations). Any existing pipe or other structure that shall be abandoned and
remain under any traffic pavement shall be filled using methods and materials that assure the pipe or
structure is completely filled in a supported, non-void condition. Prior to filling or plugging structures,
video inspection shall be performed to ensure unknown connections are not impacted. The Contractor
shall include the abandonment details, including any abandon-in-place filling methods and materials
with the drainage structure and pipe drawings.
16.11 Bridge Deck Drainage

Runoff from bridge decks shall be collected and conveyed in a closed system down substructure units
into an open or closed storm sewer system unless drains can be located outside of travelled ways. In
the case that runoff can be discharged outside of travelled ways, discharge shall be allowed to freefall

from through deck drains or bridge scuppers. The roadway drainage design shall include the bridge
approach drains to intercept gutter flow at each end of the bridge. Stormwater flowing toward the bridge
shall be intercepted upstream from the approach slab. Bridge drainage shall be collected at the gutter
lines (toe of parapet) by scuppers. Over-the-side drainage is not permitted. The Contractor will be
required to perform all necessary hydraulic calculations per Section 1.2 (Governing Regulations).
16.11.1 Existing Brent Spence Bridge

The existing BSB shall be reconfigured as proposed in the Conceptual Design Documents LD-01
(Concept I-W Final Design Summary Report), LD-04 (BSB Smart PDF), LD-07 (Concept I-W Corridor
Exhibit), LD-08 (Concept I-W Multimodal Exhibit). The existing BSB deck shall also be replaced. The
Contractor shall provide new grate deck drains, scuppers, and downspouts, and the design shall be per
the KYTC Drainage Manual. Water intercepted by grate deck drains may be dropped vertically through
the deck into the Ohio River as approved by the Department. The Contractor shall design stormwater
conveyance systems into a storm sewer system for the deck drainage areas outside the approved free
fall sections as indicated in the above. Additional requirements are provided in Section 18 (Structures).
16.12 Flood Protection Systems

The existing Covington downtown area is protected from flooding by a flood protection system
consisting of an existing levee. It is not anticipated that the existing levee will need to be altered or
disturbed other than improvements to existing pump stations (see Section 17 (Sanitary and Combined
Sewers)). Also, other flood protection systems that may be impacted by the Project shall be addressed
by the Contractor such that the current flood protection systems\flood walls in place are not
compromised and the same level of performance is maintained. Contractor shall provide flood
protection design and criteria and as required in Section 7.2 (Permitting) and per Section 1.2
(Governing Regulations).
16.13 Drainage Areas

The Project drainage area is defined as follows: All area within the construction limits and any
additional area draining to the construction limits of the Project as determined by the Contractor’s work
and agreed to by the Department. This includes areas outside the Project Right-of-Way, including local
streets.
16.14 Downstream Analysis

The Contractor shall perform downstream analysis for individual storm water facilities with the
exception of MSD facilities as set out in MSD section above. This analysis shall include a review of the
regional (city or county) storm water pipes receiving runoff. The Contractor shall include this information
in the highway runoff design. Project improvements shall not increase the potential for flooding
downstream of the Project.
16.15 Maintenance Access

All new storm water structures shall be situated and/or provided with separate access such that routine
maintenance and inspections can be easily achieved. Catch basins, inlets, and manholes for storm

drains shall be located at the outer edges of shoulders, or in medians or gore areas. Culverts and
cross- drains isolated from convenient maintenance and inspection access shall be provided with
achievable maintenance and inspection access at one end of the pipe.
Maintenance access adjacent to the sedimentation pools of ponds and vaults shall include a working
area suitable for the loading and maneuvering of sediment disposal equipment and trucks.
Maintenance access roads shall be designed to be compatible with maintenance equipment.
16.16 Bridge Hydraulics

Hydraulic reports will need to be prepared for the new double decker Companion Bridge. The
preliminary report shall evaluate the 100-year flood water surface elevations, and 100-year and 500-
year theoretical scour depths caused by the proposed bridge geometry.
The United States Army Corps of Engineers (ACOE) HEC-RAS Water Surface Profile Program should
be used for performing the hydraulic analyses for the river crossing bridge. Hydraulic and scour
analyses shall also be required. Scour analysis shall be completed for both the existing Brent Spence
Bridge and the new Ohio River bridge.
Hydraulic analysis shall be required for temporary construction conditions creating a scenario worse
than the model developed for permitting. Scour analysis shall also be completed for the temporary
construction condition.
The Cincinnati Metropolitan Sewer District and the Kentucky Sanitary District No. 1 have both identified
the potential need for the development of a Conditional Letter of Map Revision (CLOMR) and Letter of
Map Revision (LOMR). The Contractor will be responsible for performing the CLOMR and LOMR as
part of the permitting process (See Section 7.2 (Permitting)).
16.17 Drainage Report

The Contractor shall prepare Base Drainage Reports and plans to address all applicable items in
Section 1.2 (Governing Regulations), including all applicable storm sewer, BMPs, and other drainage
items and requirements of the Cities, MSD, and SD1 At a minimum the reports shall include:
A. Separate map/drawing for each drainage area, clearly showing the details within each drainage
area;
B. Maps showing the local water collection system to identify drainage boundaries, longest flow
path, and point of inlet. Separate maps shall be provided for existing and proposed conditions;
C. Location of all detention facilities, if required, including points of inlet and outlet for these;
D. Detailed drainage computations supporting net decreases in flow to existing combined sewers
in the Project areas; and
E. Detailed drainage computations supporting attainment of water quality and water quantity
requirements for all outlets to existing storm sewers.

16.18 Drainage Submittals

Submittals under this Section 16.18, a non-exhaustive list of which is set forth in Table 16-1 (Drainage
Excel, unless otherwise indicated. For drainage computations, submit electronically in their source
format such as HY-8, ODOT CDSS, HEC-HMS, HEC-15, KTDID, or Drainage Program approved by
the Department. The Drainage Folder organization shall follow the Department standards Section 1.2
(Governing Regulations). The Contractor shall provide updated drainage computations with each
submittal cited in Section 2 (Project Management). At a minimum, the Contractor shall submit the
following to the Department:
Table 16-1: Drainage Submittals Table

Submittal Reference
Schedule Section
As part of the
Ohio Base Design
Acceptance 0 1 Base Design 16.17
Drainage Report
Submittal
Kentucky Base As part of the
Design Drainage Acceptance 0 1 Base Design 16.17
Report Submittal

17. SANITARY AND COMBINED SEWERS

17.1 Sanitary & Combined Sewers
Cincinnati Metropolitan Sewer District (MSD), Sanitary District No. 1 (SD1) and the City of Covington
has significant sewer and combined sewer facilities in the Project Limits. The Contractor shall
coordinate with the owner to obtain pre-condition CCTV inspection of all sewers within the Project
Limits. The Contractor will work with MSD and SD1 to determine the pre-existing condition of the
sewers to the satisfaction of MSD and SD1 prior to beginning any construction in the area. Several
MSD and SD1 sewers and combined sewers are in the limits of the Project and may need to be
relocated. Contractor will develop during Base Design for the relocation of sewers and combined
sewers in accordance with ODOT, KYTC, MSD, SD1 and City of Covington design standards and
construction specifications, as applicable. See Section 1.2 (Governing Regulations).
Contractor shall develop the Base Design plans for separation of sanitary and storm sewers within the
Project Limits to develop an OPC.
17.2 Willow Run Combined Sanitary/Storm Sewer

Interstate 71/75 between the Kyles Lanes Interchange and the Ohio River traverses the Willow Run
Watershed. This watershed is served by a combined sanitary/stormwater system with low flow
diversions to treatment plant(s). During storm events the combined system bypasses the low flow
diversions and empties directly into the Ohio River just west of the Companion Bridge. Just upstream of
the outfall is a pump station that is designed to operate when the Ohio River is at flood stage. KYTC
has committed to SD1 and the City of Covington to separate all interstate runoff and additional areas as
depicted in SS-04 (Willow Run Storm Water Separation Study). KYTC has further committed to upsize
this separate system downstream of potential future projects the City of Covington may take on to
redirect stormwater runoff in this watershed to this new system. During Sub-Phase 1A, the Contractor
will need to develop a layout of this separate system and continue coordination with KYTC and the City
of Covington to understand any future projects in the area to incorporate into the design. This new
system may tie into the existing pump station downstream of the last low flow diversion.
Interstate 71/75 currently crosses a portion of this existing combined sanitary/stormwater sewer
between 9th Street and 4th Street in Covington. The Contractor may design to avoid relocation of this
system in this area as was done with the original interstate construction and subsequent highway
improvements. During Sub-Phase 1A, the Contractor will however need to evaluate whether it is more
cost effective to relocate through this area. A potential concept to relocate is shown in SS-04 (Willow
Run Storm Water Separation Study).
KYTC has further committed to SD1 and the City of Covington to reconstruct and upsize the existing
sanitary/combined sewer system to 120 inches between St. Anthony Elizabeth Hospital and 9th Street.
17.3 Base Design

As part of the Base Design, the Contractor shall prepare a drainage design report and calculations
showing the reduction of flow to the combined sewers outfall locations in Ohio and Kentucky, layout

plans, and details for coordination with ODOT, KYTC, MSD, and SD1. The drainage design report shall
contain the drainage design criteria for the Project. The proposed drainage systems shall not introduce
new connections to the existing combined sewer pipes nor increase the flow to the existing CSO
drainage networks. Where drainage patterns will or must be changed from existing patterns, the
Contractor shall be responsible for coordinating existing drainage patterns with the sewer districts
during Sub-Phase 1A.
17.4 KYTC Pump Station

Contractor’s Base Design will include pump station rehabilitation plans for the existing pump station in
Kentucky. SS-01 (Willow Run Detail Sheets) contains information on existing pump station. The
Kentucky pump station will need to be resized due to the impacts of the existing ponding areas in
Goebel Park (see SS-02 Flood Protection Covington) and any increased discharge to the pump station.
Contractor will work with ACOE to determine sizing requirements. Pump Station As built plans are
provided in SS-01 (Willow Run Detail Sheets). The Contractor shall improve the entire pump station.
Every discipline has major improvements including process mechanical, HVAC mechanical, plumbing
mechanical, electrical, I&C, architectural, structural, and site/civil. Improvements include but are not
limited to the following:
A. Replace existing gates, valves, and actuators;
B. Replace increaser pipes with welded steel pipe and flow meters;
C. Replace electrical equipment in the pump station; and
D. Replace I&C equipment including new pump health monitoring system and revised control room
space.
Design requirements for the proposed pump station shall be coordinated with ACOE and SD1 and will
need included in the 408 permit. The Contractor shall obtain approval for final design from these two
agencies along with Department concurrence.
17.5 Submittals
Submittals under this Section 17.5, a non-exhaustive list of which is set forth in Table 17-1 (Sanitary
and Combined Sewers Submittals Table), shall be submitted in electronic format in accordance with the
schedule set forth below. Acceptable electronic formats include PDF and current versions of Microsoft
Word and Microsoft Excel, unless otherwise indicated.

Table 17-1: Sanitary and Combined Sewers Submittals Table

Submittal Reference
Schedule Section
As Defined in the
Ohio Drainage Design
Submittal 3 1 DBT Design 17.3
Report
Submittal Plan
As Defined in the
Kentucky Drainage
Submittal 3 1 DBT Design 17.3
Design Report
Submittal Plan
Kentucky Pump As Defined in the
Station Rehabilitation Submittal 3 1 DBT Design 17.4
Plan Submittal Plan

18. STRUCTURES
18.1 General
This Section 18 describes overall requirements for temporary and permanent Structures required of this
Project. Applicable requirements for each individual Structure shall be determined and implemented
based on whether the Structure is:
A. Owned or will be owned by KYTC;
B. Owned or will be owned by ODOT; or
C. A specific structure as described in this Section 18, including the Companion Bridge and the
existing Brent Spence Bridge.
The Contractor shall provide structural analysis and design, and develop and produce structural plans,
calculations, specifications, and Submittals for each Structure in accordance with and to a level of
completion required by this Section 18, government regulations, and the Contract Documents.
The Contractor shall coordinate with the Department on providing a Structural Health Monitoring
System on the Companion Bridge. The system design, supply, and installation Work will be further
coordinated with the Department in Sub-Phase 1A.

18.2.1 Standards
For all Structures, provide design and analysis in accordance with the requirements stated in Section
1.3 (Standards Deviation Submittal Requirements) and Section 2 (Project Management).
For structural components not addressed by the standards listed in Section 1.2 (Governing
Regulations), submit for Department Approval other guidelines or specifications that reflect currently
accepted industry practice prior to use.
18.2.2 Meetings
Schedule and facilitate meetings related to structural Project Work. The following meetings are
required:
18.2.2.1 Structure Type Study Base Design Concept Meetings
Group and combine Structures into Buildable Units as acceptable to the Department. Schedule and
facilitate a minimum of one meeting per Buildable Unit with the Department to discuss proposed
structure type design concepts for each Structure in the package. Discuss alternatives reviewed by the
Contractor (Refer to Section 2.3.1.2 (Base Design Submittal)), Contractor preferred alternative, and
reasons for preferred alternative. See Section 18.3.2 (Structure Type Base Design Submittal) for
additional structure type Base Design requirements.
Lead Independent Companion Bridge Engineer and the ICBE designated staff shall be invited to
participate in all meetings discussing the Companion Bridge.

18.2.2.2 Structure Type Study Base Design Meetings

Upon Structure Type Study Base Design Concept Package Approval, schedule and facilitate recurring
bi-weekly Base Design meetings with the Department to discuss Contractor’s Work and status for each
Structure in the Base Design Submittal.
18.2.3 Permits/Authorizations Related Site Investigations

Obtain all necessary permits and authorizations required to perform site investigations including
property access and traffic control. Site investigations include Regulated Materials assessment and
investigations, data collecting, photograph and survey collection. Refer to Section 7 (Environmental) for
other environmental permitting requirements. See Section 18.3.2 (Structure Type Base Design
Submittal) for additional Structure Type Base Design Submittal.

18.3.1 General
Provide structural analysis and design, calculations, specifications, and plan development for each
temporary and permanent Structure. In addition, for the Companion bridge provide a technical memo
signed and sealed from Lead Independent Companion Bridge Engineer (ICBE) registered Professional
Engineer in both OH and KY attesting to the adequacy of design as presented in the Contract
documents.
Provide the following Structure Type Study Base Design information:

A. Structure type:
1. Superstructure type
2. Substructure type
3. Foundation type
4. Pile type
5. Wall type (retaining walls and noise walls)
6. Major component materials
7. Other (lighting, sidewalks, special use paths, railings)
B. Structure geometry:
1. Lengths
2. Widths
C. Location:
1. Vertical alignment
2. Horizontal alignment
3. Skew
4. Minimum vertical clearance(s)
5. Minimum lateral clearances

D. Hydraulic information:
1. Design flood years and stage elevations
2. Minimum freeboard at applicable flood stages
3. Backwater at applicable flood stages
4. Relevant flood insurance studies
5. Other agency requirements including DNR, Coast Guard, Corps of Engineers as applicable
E. Risk:
1. Risk items
2. Risk level
3. Risk mitigation strategies
F. ROW/easements:
1. Existing ROW and easements
2. ROW needs
3. Temporary easement needs
4. Permanent easement needs
G. Design and construction costs
H. Bridge Phasing Plan and Maintenance of traffic/traffic control
I. Existing structures:
1. Status during construction staging (full or partial demolition)
2. Anticipated demolition methods
18.3.2 Structure Type Base Design Submittal
Complete Structure Type Base Design for all structures to a minimum level defined in the Sub-Phase
1A Scope Meeting and Sub-Phase 1A Work.
18.3.3 Bridge Structure Type and Limitations - Ohio

This Section 18.3.3 applies to all Structures owned by Ohio or located in the State of Ohio and shall
apply to Work within Ohio’s JDM except the Companion Bridge. See Section 18.3.5 (Companion Bridge
Requirements) for Companion Bridge Requirements.
18.3.3.1 General – All Bridges
A. Metal stay-in-place deck forms are only permitted over span that contains the railroad line,
except as noted in Section 18.3.5.15 (Use of Stay-in-Place Deck Forms). Traditional forming is
to be used elsewhere.
B. Precast approach slabs shall not be permitted.
C. Concrete barrier shall include empty conduit with junction boxes.
D. Any post tensioning shall follow the post tensioning SS 855.

E. For all steel splices, 50 percent of the splice bolts need to be installed prior to unhooking girder
from crane unless designed by the EOR for less and included in the plans.
F. Straddle Bents:
1. Minimum of three independent steel girder I-Beams;
2. Shall be redundant;
3. Post-tensioning is not preferred;
4. Each steel girder to be supported on pier with a bearing; and
5. Annual/bi-annual in-service condition inspection access shall be considered in design. See
Section 18.3.3.1.N (General – All Bridges).
G. Concrete Deck and Vertical Concrete Bridge Railing Reinforcement:
1. Mainline interstate bridges and system to system ramp bridges:
a. Stainless Steel.
b. Chromium Type CS.
2. Local street bridges:
a. Galvanized.
H. Concrete Substructure Reinforcement:
1. Concrete straddle bents:
a. Chromium Type CS.
b. Stainless Steel.
2. Other:
a. Galvanized.
I. Concrete mix design (refer to ST-07 and ST-08):
1. Include macro-synthetic fibers (1-inch minimum to 2.5-inch maximum) at a dosage rate of 4-
pounds per cubic yard.
2. Approved corrosion inhibitor.
J. A minimum vertical clearance as published by the affected railroads shall be maintained over
railroad lines at all times.
K. Bridge mounted PCB attached to new bridge decks is not preferred.
L. Holes will not be permitted to be drilled into the face of the substructure units to support the
structure during jacking operations.
M. All concrete sealing shall be epoxy-urethane and limits shall be per the BDM sections 306.1.2
and 309.2.1.
N. Annual/bi-annual in-service condition inspection access shall be accommodated, and a plan for
inspection shall be provided for each structure by the Contractor.
O. Bridge Load Ratings for each structure shall be per BDM section 900.
P. Provide lifting locations to accommodate jacking and temporary support at all bearing locations.

Q. Design all superstructures to accommodate a future deck replacement while maintaining traffic
for the number of lanes agreed upon during Sub-Phase 1A.
R. Elastomeric troughs are to be placed under all bridge deck expansion joints.
18.3.3.2 Structure Type Limitations
A. Fracture Critical Elements in the substructure and/or superstructure shall not be allowed in their
final condition.
B. Prestressed concrete box beams are not permitted.
C. Post tensioned I-beams are not permitted.
D. Segmental construction is not preferred.
E. Prestressed concrete girders shall be ODOT standards (Std Dwg PSID-1-19) or have a
minimum web thickness of 8 inches.
F. Truss type bridges are not permitted.
G. Non-redundant designs are not permitted in the final configuration.
H. 3-Sided structures used as tunnels traffic conduits for traffic purposes are not allowed.
18.3.3.3 Local Bridge Commitments
Contractor shall refer to Section 19 (Aesthetics and Enhancements), AE-01 (Aesthetic Design
Guidelines), AE-04 (Draft Aesthetic Design Checklist PID 116649) and ST-06 (BSB Local Street Bridge
Cross Sections).
Form Liner shall be used on both sides of the bridge railings when sidewalks and/or shared use path is
adjacent to the bridge railing.
18.3.3.4 Existing Structure Identification
The following existing bridges shown in Table 18-1 (Existing Ohio Bridges) are located within the
anticipated project limits. These structures may or may not require modification or replacement as part
of the Work, depending upon the requirements of the Base Design as developed by the Contractor. All
dimensions are approximate. Contractor is responsible for field measuring critical bridge dimensions.
Existing plans are available.
Table 18-1: Existing Ohio Bridges
Facility Carried by Year Structure Deck
SFN Feature Intersected
Structure Built Length Width
3107787 IR 71 OHIO RIVER BRENT SPENCE 1963 1736.5 94
3105946 SB IR 71 USR 42 1963 2683 40.1
3105970 NB IR 71 3RR; USR 27; IR 75; USR 42 1963 3042.8 47.8
3103269 3RD ST. TO S.B.71 USR 42 2000 823.5 37.6
3106020 2ND STREET CENTRAL AVENUE 2001 823 61.3
3108791 SB IR 75 THIRD STREET; CSRR 1963 428.3 56


Structure Built Length Width
3108805 NB IR 75 2RR; TH ST E; US42D; US50E 1963 1187 36
3108872 IR75 RAMP TO SR264 USR50EB; US50EB TO 2ND ST 1998 264.6 32.8
3103234 US 50 RAMP B USR 42 2000 643.8 44.3
3108821 IR75 off Rmp CLOSD CLOSED-CENTRAL AVENUE 2000 161.3 32.8
3111679 SR 264 I75N;RAMP=I75N-US50W 1963 171 44
3111644 SR 264 I75S;USR-IR RAMP;US50E 1963 516.3 41.8
3111733 RMP-US50W-I75N RMP=US50W,FI ST W-I75N 1963 204 42.4
3103188 US50 EB I75S 1963 182 42.9
3108945 SEVENTH STREET I75&RAMPS 1963 630 63
3103153 US50 WB I75;RAMP=I75S-US50E 1963 524 81
3109003 NINTH ST RAMP I75;RAMP=US50W-I75N 1963 283 33.2
3109038 NINTH ST GEST STREET;I75&RAMPS 1963 535 42.1
3109062 I-75 7TH ST. GEST ST WITHIN IR R/W 1963 245 35.2
3103293 U.S. 50 US 42 2000 916.9 44.7
3103226 US 50 RAMP F US 42 1999 758.3 34.3
3111709 SR 264 US50W;I75N RAMP 1963 192 75.5

18.3.3.5 Proposed Structure Identification

The proposed bridges in Table 18-2 (Proposed Ohio Bridges) have been preliminarily identified (See
ST-02 Concept I-W Structure List Plan).
Table 18-2: Proposed Ohio Bridges

18.3.3.6 Temporary Structures

Temporary structure shall meet the requirements of BDM Section 500.
18.3.3.7 Retaining Walls-Ohio
This Section 18.3.3.7 applies to all retaining walls owned by Ohio or located in the State of Ohio and
Work within Ohio’s JDM.
18.3.3.7.1 General Retaining Walls Criteria
In addition to the retaining wall types outlined in the BDM, Section 204.6, the Department will consider
the following wall types. The design of each wall type shall be performed per AASHTO LRFD
guidelines.
The Department will consider precast concrete cantilevered retaining walls supported on cast-in-place
or deep foundations as appropriate, for this Project. The structural thickness of any precast concrete
retaining wall stems shall be a minimum of 10 inches. The reinforcement clearance on all precast
elements utilized in cantilevered retaining walls shall be 2 inches to each face of the element. The
minimum reinforcement clearance does not include the aesthetic treatment thickness.
All retaining walls, whether temporary or permanent, shall be designed to limit the top of wall deflection
to be less than 1 percent of the exposed wall height, excepted as noted further in these Technical
Requirements. Walls supporting structures, utilities, and pavement, shall be designed to limit top of wall
movement as to prevent damage to the adjacent structure or pavement (applies to both the permanent
and temporary condition). The Contractor will be responsible for repairs to adjacent facilities that occurs
due to excess wall deflection.
Prefabricated modular retaining walls (gravity or reinforced) may be utilized on local streets but cannot
be incorporated on the ODOT interstate mainline or ramps. Local street segmental walls shall use wet-
cast retaining wall blocks. The Contractor shall coordinate the pattern and color of the blocks
comprising any segmental wall with the City of Cincinnati prior to selection of the wall. Design and
construction of all segmental block walls shall follow the most current version Supplemental
Specification 870. Prequalification of the proposed modular block system(s) as outlined in SS870 is a
contract requirement for use on the project.
Retaining walls have been identified as required in several locations for project geometry. Refer to ST-
04 (Concept I-W Retaining Wall List Plan). All retaining walls shall receive aesthetic treatment. See
Section 19 (Aesthetics and Enhancements). In addition, the top of all walls shall receive a smooth
coping in the same manner as that outlined in SS 840 for MSE walls. The coping shall extend beyond
the aesthetic surface treatment a minimum of 1 inch. The aesthetic treatment shall include a relief of at
least 1.5 inches beyond the structural thickness.
Retaining walls supporting bridge abutments are considered retaining walls and shall receive the same
aesthetic treatment as walls away from the bridge structures. Wing walls for bridges and culverts shall
also receive aesthetic treatment. Walls adjacent to each other but of different type (i.e., CIP next to
MSE) shall use the same coping thickness and aesthetic treatment such that the walls visually appear
to be the same type. The use of self-consolidating concrete will be considered by the Department.

Provide aesthetic treatment for the retaining walls with a minimum relief of 1.5 inches beyond the
required structural thickness of the wall. The environmental commitments for the project will determine
the general aesthetic pattern to be incorporated. A single aesthetic pattern (same form liner
manufacturer and product specification) shall be utilized for all walls on the project, regardless of the
wall type. Mixing of form liner patterns, while still providing the same general appearance, is prohibited.
This does not apply to prefabricated modular block walls.
Provide permanent graffiti protection for permanent retaining walls. Epoxy seal all walls from 1 foot
below the permanent ground line in front of the wall, the entire wall facing and 6 inches below the
coping/cap on the back side of the retaining wall. Seal the wall with 17778 Light Neutral sealer, unless
otherwise noted in the environmental commitments. Apply permanent graffiti protection from 1 foot
below the groundline in front of the wall to the top of the wall coping/cap.
Retaining walls shall be designed so that no additional loading from the wall is applied to existing storm
or sanitary conduits crossing.
18.3.3.7.2 Soldier Pile and Lagging Walls (cantilevered and anchored)
Design of cantilevered solider pile and lagging retaining walls shall follow the guidelines outlined in
Specification for Design of Cantilever Soldier Pile Walls as provided by on the Office of Geotechnical
Engineering web site. The wall design shall be analysed using a p-y method (L-pile) of analyses.
Provide the design calculations, along with all appropriate models, in the geotechnical report.
All retaining wall components (including ground anchors, reinforcing straps, porous backfill, etc.) shall
remain within the permanent public R/W or permanent underground easement. All ground anchors and
reinforcing straps shall be a minimum of 5 feet below subgrade.
Design, construct, and test temporary and permanent ground anchors per Supplemental Specification
866. Provide double corrosion protection for all permanent ground anchors.
Perform at least two extended creep tests for each design factored design load (FDL) and at each wall
location utilizing permanent ground anchors. Performance test the first production anchor at each wall
location. Additional performance testing is required for each FDL and wall location. All anchor testing
shall utilize a load cell in conjunction with hydraulic jack, hydraulic pump and pressure gauges needed
to accurately. Provide all testing equipment per SS 866.
Incorporate a permanent cast-in-place facing for any permanent soldier pile and lagging (SPL) wall.
The structural thickness of the cast-in-place facing thickness shall be at least 10 inches. Include the
fractured fin aesthetic treatment on the cast-in-place facing as well as a coping. Horizontal construction
joints are prohibited for all cast-in-place facings.
Temporary hardwood lagging for all soldier pile walls shall be installed in a top-down manner such that
no more than 3 feet of unsupported exposed at any given time. Excavation for placement of the
temporary wood lagging shall be performed in such a manner that the lagging has full-contact with the
excavated face. Any voids behind the lagging shall be backfilled with No. 57 crushed carbonate stone
as directed by the Engineer. Reduce the unsupported height of the excavation as necessary to prevent

caving and sloughing of the soil between the soldier piles. Provide a 0.25 to 0.875 inch horizontal gap
between adjacent lagging boards to permit drainage.
Cover the entire surface of the hardwood lagging with geocomposite drainage board. The
geocomposite drainage board shall meet the requirements of Item 518 Prefabricated Geocomposite
Drain.
Incorporate a permanent cast-in-place facing for any permanent soldier pile and lagging (SPL) wall.
The structural thickness of the cast-in-place facing thickness shall be at least 10 inches. Include the
fractured fin aesthetic treatment on the cast-in-place facing as well as a coping. Horizontal construction
joints are prohibited for all cast-in-place facings.
Soldier piles can be installed using continuous flight auger methods. The Department will consider
construction of the drilled shafts for the installation of the soldier piles utilizing continuous flight auger
(CFA) methods. Use of CFA methods is considered an alternative to Item 524 - Drilled Shafts, for
soldier pile installation. The Contractor shall submit the CFA installation plan in lieu of the drilled shaft
installation. The CFA installation plan shall include the provisions outlined in Item 524. With the use of
CFA methods, the entire drilled shaft excavation from the design tip elevation to the ground elevation at
the time if drilling is to be backfilled with LSM/grout. The continuous flight augers must be hollow, and
continuous to induce placement of the LSM/grout under pressure at the bottom of the drilled
excavation. Once the design shaft tip elevation is reached, place the LSM/grout to the elevations shown
in the project plans by pumping. A minimum 10 feet of pressure head must be maintained during
casting of the shaft. Provide a calibrated, automated inline monitoring system to document the quantity
of grout/LSM placed in the drilled excavation. Submit the flowmeter documentation for each drilled shaft
to the Engineer the day after shaft casting. Immediately re-drill any shaft (do not place soldier beam) in
which the amount of LSM utilized is less than the theoretical volume.
Provide proof of inline flowmeter calibration with the CFA installation plan. The inline flow meter must
have been calibrated by an independent third party within 12 months of the CFA construction date. The
cost of the inline monitoring system is incidental to the cost of the drilled shaft. No additional
compensation will be permitted for shafts re-drilled when the inline flowmeter indicates the initial LSM
volume was less than the theoretical volume.
When utilizing a CFA installation method, provide testing of the LSM/grout mix samples by an
independent testing lab. Quality control cubes or 3-by-6-inch (or larger) cylinders are acceptable. The
Department will obtain 3-by-6-inch cylinders for every fifth set of cubes or cylinders as quality
assurance samples. The cost for providing cube samples and testing is incidental to the drilled shaft
cost.
The Contractor proposing to utilize CFA methods of drilled shaft installation must be ODOT prequalified
and have demonstrated five previous projects in which continuous flight augers were successfully
utilized for soldier pile installation. Include the previous project information, location, year, and
reference contact with the CFA installation plan.

18.3.3.7.3 MSE Walls

In addition to the requirements of SS 840 and the Bridge Design Manual, design, and construction of
any MSE wall shall include the following:
A. MSE walls with upper surfaces sloping towards the top of the MSE shall include a paved gutter
at the top of the wall to collect drainage. Utilize a standard paved gutter meeting the
requirements of SCD.
B. Utilities, including but not limited to water lines, sewer lines, storm drainage conduits, electric
lines, and fiber optic lines, shall be routed a distance of at least 5 feet from the MSE wall select
granular backfill zone and wall face. Existing utility lines shall be relocated to meet these
guidelines. The Department may consider the placement of a utility line below a MSE wall on a
case-by-case basis. The Contractor shall provide steel casing of any utility permitted to remain
in the MSE wall reinforced zone. The casing shall have a minimum wall thickness of 0.75 inches
and shall extend at least 10 feet beyond the MSE wall facing or select granular backfill zone.
The casing diameter shall be at least 6 inches greater than the utility diameter or as required by
the Utility Owner, whichever is greater.
C. If a settlement waiting period is incorporated at bridge abutments supported by MSE walls, the
waiting period cannot begin until the area above the MSE has been brought to the design
subgrade elevation. The Contractor must incorporate a temporary surcharge from the design
bottom of bridge footing grade to the design roadway subgrade elevation to permit full soil load
application during the settlement waiting period. The temporary surcharge is to be applied over
the area of the bridge footing in addition to the approach area.
D. Backfill from the bottom of the bridge footing to the subgrade elevation of the approach slab
shall consist of Granular Material Type B. The granular material Type B shall meet the material
requirements outlined in SS 840 if the reinforcing straps for the bridge wing walls will extend into
the granular material, Type B.
18.3.3.7.4 Temporary Retaining Walls
Temporary retaining walls, including but not limited to phase line sheet pile walls, soldier pile walls and
temporary MSE wire walls, shall be designed with the requirement that during wall service, the top of
wall deflection will be the lesser of 1 percent of the wall height or 2 inches. The maximum wall
deflection applies to both service and strength limit state loading conditions. All temporary wall designs
shall be reviewed by the Geotechnical Engineer of Record and shall be designed per the latest LRFD
guidelines. Submit all design calculations, with concurrence by the Geotechnical Engineer of Record, to
the Department as outlined in CMS 501.05 with the Buildable Unit in which the wall is to be
constructed.
During construction and operation of all temporary retaining walls, the Contractor shall install
monuments on maximum 25-foot intervals along the length of the wall. Each wall shall have minimum
of three monitoring points regardless of length. The monitoring points shall be evenly spaced along the
length of each wall. The Contractor is to survey the top of wall at least weekly during operation. The
survey monitoring shall include the station, offset and elevation of each monitoring point as well as the
coordinates (latitude, longitude) of each point. Provide the Engineer a weekly summary spreadsheet of
the monitoring data and indicate the differences between individual readings as well as the total
movement from the baseline reading. Damage to adjacent pavement, structures, utilities, etc. as well as

voids created by wall movement shall be repaired by the Contractor at no additional cost to the
Department.
Temporary MSE walls shall not be utilized at angles less than 45 degrees to the supporting phase line.
18.3.3.8 Noise Barrier – Ohio
This Section 18.3.3.8 is not used. No Noise Barriers are within the State of Ohio limits.
18.3.4 Structure Type and Limitations – Kentucky

This Section 18.3.4 applies to all Structures owned by Kentucky or located in the State of Kentucky and
Work within Kentucky’s JDM except the Companion Bridge. See Section 18.3.5 (Companion Bridge
Requirements) for Companion Bridge requirements.
18.3.4.1 General – All Bridges
A. Select and design structures that are redundant.
B. Fracture critical members are not permitted.
C. When using structural steel, the material shall be painted or hot-dip galvanized (HDG) with
Department approved systems.
D. Prestressed concrete beams are permitted.
E. Load rate all structures. Meet all load rating requirements per KYTC. Contractor to coordinate
with Division of Maintenance, Bridge Maintenance Branch for latest load rating vehicle
configurations, load rating requirements, and required file types for submittal.
F. Coordinate with the geotechnical department to determine if approach slabs are necessary in
areas of high settlement.
G. Seal with Silany concrete sealer per KYTC standards over any portion of concrete exposed to
salts and chlorides.
H. Where median barriers are required, the 56-inch single slope barrier shall be used.
I. Barrier located along bridge fascia shall be 40-inch single slope barrier.
J. The use of bridge barriers or bridge sidewalks for cross sectional structural capacity is not
permitted.
K. Post-tensioning is not permitted.
L. Side-by-side precast, prestressed box beams are not permitted.
M. Three-sided structures used as tunnels or traffic conduits for traffic purposes are not permitted.
N. Design all superstructures to accommodate a future deck replacement while maintaining traffic
for the number of lanes agreed upon during Sub-Phase 1A.
18.3.4.2 Decks
A. Full depth cast-in-place concrete with an 8-inch minimum thickness and a 0.5-inch integral
wearing surface shall be used.
B. Contractor to perform cost analysis on the following deck reinforcement alternates for each
structure. Final determination of deck reinforcement materials shall be made by KYTC based on
this analysis:

1. Epoxy.
2. Stainless.
3. Hot dip galvanized.
4. Continuous galvanized.
5. Chromium Type CS in the top mat with chromium Type CM in the bottom mat.
C. Lightweight concrete is not permitted except as otherwise noted in this scope.
D. Bituminous type wearing surfaces are not permitted.
18.3.4.3 Superstructures
A. A minimum of four girder/beam lines for girder/beam bridges shall be required. Three
girders/beams are permitted for single lane ramps and for bridges under part-width construction
but shall be designed for additional future wearing surface load as directed per KYTC.
B. Joints shall be sealed from bridge deck surface drainage. Drainage troughs shall be provided for
open-type joints that accept bridge deck drainage, such as finger joints.
C. Stay-in-place (SIP) deck forms are permitted, when needed. Design shall be adjusted for the
additional load from material in the troughs of the SIP forms.
D. The number of joints shall be minimized, and necessary joints shall be located at end
substructures.
E. Superstructures shall lend preference toward integral end bents, then semi-integral end bents.
F. Bridge design shall include conduit for the full barrier length, junction boxes at 200-foot
maximum spacing along bridge barriers, and junction box Type A at the ends of bridge.
18.3.4.4 Substructures
A. Substructures shall use reinforced concrete designs.
B. Internal forms shall be removed for hollow piers and where bottom of voids for hollow piers do
not extend below the groundline.
C. Straddle bents shall be permitted where necessary with a minimum of three independent steel
beams. Straddle bents shall not contain fracture critical members or requiring post-tensioning.
D. Substructures that rest directly on soil behind MSE walls shall not be permitted.
E. Substructures that utilize spread footings on soil shall not be permitted.
18.3.4.5 Foundations
Select and design bridge foundations that are deep foundations or spread footings founded on
competent bedrock. See Section 12 (Geotechnical) for additional requirements and information. Deep
foundations are required for bridge abutments located within MSE walls.
18.3.4.6 Existing Structure Identification
The existing bridges in Table 18-3 (Existing Kentucky Bridges) are located within the anticipated project
limits. These structures may or may not be receiving work based upon the specified scope and the
extents of the Contractor’s design plans. All dimensions are approximate. Contractor is responsible for
field measuring critical bridge dimensions. Existing plans are available.

Table 18-3: Existing Kentucky Bridges

Structure Built Length (ft) Width (ft)
059B00099N US 25 I-75 1999 199.5 72.0
059B00100L I-75 ORCHARD ROAD 1999 151.9 99.3
059B00100R I-75 ORCHARD ROAD 1999 151.9 76.1
059B00043L I-75 RIVARD DRIVE 1960 159.1 78.1
059B00043R I-75 RIVARD DRIVE 1960 159.1 66.9
059B00047N KYLES LANE I-75 1960 254.0 86.0
059B00044L I-75 11TH-12TH-LEWIS IN COVINGTON 1960 684.0 86.0
059B00044R I-75 US25, KY1120, (11TH, 12th, LEWIS) 1960 684.1 54.0
059B00087N I-75 RAMP PIKE ST-ON RMP TO I-75N 1993 85.0 26.0
059B00090N I-75 RAMP 9TH ST-COVINGTON 1993 160.1 25.9
059B00038L I-75 NINTH ST IN COVINGTON 1960 159.0 88.0
059B00038R I-75 NINTH ST IN COVINGTON 1960 159.0 55.0
059B00089N I-75 RAMP 9TH ST (COV) 1993 159.0 25.9
059B00088N I-75 RAMP 9TH ST (I-75NB) RAMP 'G' 1993 159.0 25.9
059B00039N 5TH ST/SB I75 RAMP 4TH ST RAMP TO SB I-75 1963 62.0 62.0
059B00041N PED. OP AT 5TH ST NB I75 EXT RMP TO 5TH STREET 1968 149.0 0.0
059B00040N I-75 NC 3RD-4TH-5TH STS COVINGTON 1963 3132.8 30.0
059B00046N I-75 OHIO RIVER 1963 1736.5 91.6
18.3.4.7 Proposed Structure Identification

The following proposed bridges in Table 18-4 (Proposed Kentucky Bridges) have been preliminarily
identified. Refer to ST-02 (Concept I-W Structure List Plan).

Table 18-4 Proposed Kentucky Bridges
18.3.4.8 Temporary Structures

All temporary structures shall be designed for a minimum HL93 loading.
18.3.4.9 Rehabilitated Structures
For any potential widening or reuse of existing structures within the project corridor, design structure
rehabilitations to meet the following criteria:
A. Coordinate designs with the KYTC Division of Structural Design;
B. Consider the need for upgrading to current crash wall standards;
C. Coordinated with the KYTC Geotechnical Division for foundation requirements;
D. Utilize lightweight fill per geotechnical requirements over existing culverts, if necessary;
E. Incorporate the same beam material as the existing structure;
F. Load rating of rehabilitated structure shall meet or exceed the existing structure rating; and
G. Lightweight concrete shall not be permitted unless determined to be necessary to meet load
rating requirements. In this case, use of lightweight concrete shall be coordinated with the KYTC
Division of Structural Design.
18.3.4.10 Retaining Walls – Kentucky
Contractor shall refer to special notes and guidance provided online under Geotechnical Resources on
the Structural Design website. The Contractor shall contact the KYTC Geotechnical Support and
Review Branch for the most recent guidance on retaining walls and guidance specific to site conditions.
Retaining walls have been identified as required in several locations for project geometry. Contractor
shall refer to ST-04 Concept I-W Retaining Wall List Plan.
18.3.4.11 Noise Barrier - Kentucky
Contractor shall design and construct noise wall systems where required by KYTC noise policy to
protect residences adjacent to the project. Noise barriers shall be considered roadside hazards and
may be located adjacent to the roadway shoulders, the top of cut slopes, on top of or immediately
behind retaining walls, and on bridges. Preliminary studies have indicated that noise abatement is

anticipated. See Section 7 (Environmental) Appendix EN-08 (Ohio Noise Analysis Report), EN-26 (KY
Traffic Noise Impact Analysis North), and EN-27(KY Traffic Noise Assessment South).
18.3.5 Companion Bridge Requirements

18.3.5.1 Prestressing Strand Type
Strand type for both Cable Stayed and Arch type structures shall be greased and sheathed strands as
per PTI 6th Edition 13.4.1.2.1 As an alternative, if the Arch type of structure is the selected option,
single strand, multiple wire, zinc coated Bridge Strand Hangers conforming to the requirements of
ASTM A 586, modified to require all wires be furnished with class C zinc coating throughout and
prestressed may be used.
18.3.5.2 Cable / Hanger Replacement
The bridge shall be designed so that stay cables / hangers can be replaced one at a time while
maintaining two lanes of traffic. The active lanes shall be shifted at least the shoulder width and one
lane of live load away from the cable/hanger under exchange. Fatigue stress consideration need not be
applied for this condition. A cable replacement plan shall be included in the Companion Bridge
Maintenance Manual. Companion Bridge Maintenance Manual shall be finalized and submitted in
Phase 2.
18.3.5.3 Cable / Hanger Loss
The bridge shall be designed so that the accidental loss (breakage) of a single cable or multiple cables
in close proximity acting together as a group and having the potential to fail as a group, shall not result
in structural instability of the bridge or failure of any individual component. For this condition, all lanes of
live load shall be placed in their striped lanes.
18.3.5.4 Design Criteria
A. Loads:
1. Companion bridge is to be designed for loadings required in KYTC Bridge Design Manuals
including the 125 percent HL-93 loading required by KYTC.
B. Models:
1. Full 3D structural models will be required to be utilized for the design of the bridge. The
Contractor shall set up a pre-modelling meeting with the Lead Independent Companion
Bridge Engineer to discuss and decide the extent of the modelling refinement.
C. Wind effects and wind induced vibration may be critical in cable and arch type bridges. As a
result, detailed wind analysis is a design requirement for this project and must be carried out by
engineers with proven expertise in this specialist field work. The final design must be certified by
a professional engineer recognized in wind and vibration analysis.
D. Zone of intrusion shall be accommodated for in the location of any hangers and cables.
18.3.5.5 Load Ratings
An automated rating tool shall be provided for future rating of each element of the Companion bridge,
whether the selected bridge type is a Cable Stayed or an Arch bridge. The tool shall include the load
rating input files from the chosen structural analysis software to be used in the future by the DOTs to

permit over the Companion bridge. Files shall include all the current rating vehicles required for load
rating by both ODOT and KYTC. The Contractor shall have a discussion with both KYTC and ODOT to
ensure the rating tool will include features and vehicles that are required from both states.
18.3.5.6 Precast Deck
Full depth precast panels combined with a rigid overlay shall be allowed to be used for the Companion
Bridge. To ensure durability, transverse post-tensioning may be used for both Cable Stayed and Arch
bridge types. Longitudinal post-tensioning of the precast deck may be used for the Arch bridge. For the
Cable Stayed option the horizontal cable thrust may be utilized to ensure post-tensioning of the precast
deck in the longitudinal direction. For either structure type Contractor is to design for zero tensile
stresses in the deck for all loadings acting on the structures.
18.3.5.7 Type of Rebar in the Deck
The Companion bridge deck, precast or cast-in-place shall be designed and constructed using only the
following types of reinforcing bars:
A. Stainless steel reinforcing bars.
B. Type CS chromium bars.
The decision should be made with the Owner based on a cost/benefit analysis prepared by the
Contractor, and availability of each type to meet project schedule.
18.3.5.8 Barge Impact Study
The Companion bridge supports shall be designed to resist vessel collision. The methodology to be
used to determine the magnitude and application of vessel impact forces should be in accordance with
the 2020 American Association of State Highway and Transportation Officials (AASHTO) LRFD Bridge
Design Specifications (9th Edition) Article 3.14. As stated in the AASHTO LRFD Specifications, the
AASHTO “Guide Specifications and Commentary for Vessel Collision Design of Highway Bridges” may
be used as an additional source of information for the determination of vessel impact parameters.
18.3.5.9 Coast Guard Requirements
Cable stayed and arch bridge shall provide a minimum low steel elevation of 532 feet NAVD88 between
the two river piers. Contractor shall coordinate with the Department to establish the minimum
acceptable navigational clearance with the USCG. Contractor to refer to PC-02 (USCG Coordination
Correspondence), ST-03 (BSB USCG Coordination Summary), and PC-03 (Brent Spence Bridge
Section 9 Project Initiation Request).
18.3.5.10 Independent Companion Bridge Review Requirements
Companion bridge has been determined to be either a Cable Stayed structure or Arch type structure,
hence either option is considered a complex signature bridge. Therefore, a design review (with
independent design computations) will be performed by the Independent Companion Bridge Engineer
(ICBE). The ICBE shall be selected as a fully independent firm that:
A. Will use an independent structure software at least as sophisticated as that used by the Design
Engineer of Record; and

B. Will utilize only information provided by the Design Engineer of Record as part of their official
sequenced submittals and will have no access to the designer’s calculations.
The ICBE will participate as part of the project team beginning with the development of design criteria.
Department expects that the ICBE, DBT Design Manager, and DBT Lead Structure Design Engineer
will generally resolve issues where they may initially differ as the project progresses through Sub-
Phase 1A OTS reviews, Base Design, Sub-Phase 1B Scope development, and Phase 2 Final Design
and Construction. The Contractor shall have the ICBE seal a statement agreeing with the overall design
provided by the DBT Design Manager and Lead Structure Design Engineer.
18.3.5.11 Tower Configuration
Tower configuration for the Companion bridge shall be established as part of the aesthetic study for the
project.
No elevators shall be included in the Companion bridge towers. Access inside the towers for installation
and inspection shall be provided using a combination of ladders installed in the inner walls and rest
areas.
18.3.5.12 Access for Biannual Bridge Inspection
The Companion Bridge shall be designed with inspection in mind:
A. The Cable Stayed option of the Companion bridge shall include tie-offs for inspectors to hook
safety gear along the fascia girders and all floor beams and on the exterior of the towers.
B. The Arch option of the Companion bridge shall provide for the ability of the inspectors to climb
and access the interior of the steel arch ribs and ties.
18.3.5.13 NEPA Commitments
The following information is included in EN-28 (Environmental Commitments):
A. The highest point of the bridge shall be at least 300 feet +/- above the Normal Pool Elevation of
the Ohio River (EL. 456.36’ NAVD88).
B. The highest point of the bridge shall be less than 420 feet +/- above the Normal Pool Elevation
of the Ohio River (EL. 456.36' NAVD88).
C. The Minimum Provided Underclearance shall be no lower than that provided by the existing
Brent Spence Bridge. The lowest point in the companion bridge shall be at elevation 532’
NAVD88.
D. The bridge main span shall provide sufficient length to ensure that substructure units are
outside of the main span piers of the existing Brent Spence Bridge.
E. If a double deck design is provided, a 25-foot minimum vertical clearance shall be provided
above the bottom deck roadway surface.
18.3.5.14 Cofferdam Design
Hydrograph is provided based on USCG river elevation records. Contractor and Department shall get
together during the progressive design-build process to review and determine the required cofferdam
elevation up to which the Department will be responsible. Contractor to refer to ST-05 (BSB Companion
Bridge Hydrograph).

18.3.5.15 Use of Stay-in-Place Deck Forms

Stay-in-place deck forms may be utilized in erecting the deck for the Companion bridge, as needed.
18.3.5.16 Tie Girder Configuration
The tie girder for the Arch option of the Companion bridge shall:
A. Not be constructed using concrete of any type; and
B. Be designed as an internally redundant member. That would mean that when any one plate
compounding the steel tie section does fracture, the remaining assembly of independent plates
shall be designed to sustain the total load demand coming from the structure. The steel tie shall
not be designed to be inspected as a fracture critical member.
18.3.5.17 Duke Energy Commitments
Design requirements for parcel 2, near and over the Duke Energy gas regulating station (RW-02 - right
of way plans denote these areas as 2). This 3-story brick structure is located on the east side of the
existing Brent Spence Bridge along Mehring Way. The follow design and construction requirements
shall be met:
A. Gas regulating station:
1. Stay-in-place metal deck forms shall be used to construct the bridge deck in this area.
2. All temporary personnel walkways to access the construction area shall have a solid face
using plywood.
3. Portable Concrete Barrier (PCB) shall be placed around the above ground facility.
4. Bottom of all new bridge beams shall be at least 6 feet above the top of the existing gas
structure.
5. Drilled foundations and/or shoring shall be used on Ramp A (north bound CD Road to north
bound 71) around the existing gas facility and gas main.
B. East & West Bridge railing – Vandal Protection:
1. Permanent bridge vandal protection fencing shall be placed on the western and eastern
bridge railing:
a. Western side to be a 42-inch-high concrete railing and use a 6-feet-high solid screen
from Ohio River north to south side of W. Pete Rose Way.
b. Eastern side to be a 42-inch-high concrete railing and use a 6-feet-high solid screen
from Ohio River north to south side of W. Mehring Way.
18.3.6 Clay Wade Baily Bridge Requirements
During Sub-phase 1A, the Contractor shall evaluate the addition of bike lanes on the Clay Wade Baily
Bridge from 4th Street in Covington to 3rd Street in Ohio. Evaluation shall include preliminary layout,
establishment of work limits, and development of scope for future phases. Coordination with the Cities
of Cincinnati and Covington for the development of the bike plans will be required.

18.3.7 Existing Bridge Rehabilitation Requirements

18.3.7.1 Deck Replacement
Both upper and lower decks shall be replaced. Standard Class AA Concrete is to be used for deck
construction. Same requirements as specified for the Companion bridge shall be applicable for
reinforcement and precast panel utilization. Lightweight concrete may be used with concurrence from
the Department based on load rating demands.
18.3.7.2 Deck Joint Replacement
All joints and their supports are to be replaced. Types of joints permitted shall be:
A. Finger joints (preferred joint type); and
B. Modular joints.
18.3.7.3 Drainage System
The entire drainage system shall be replaced.
18.3.7.4 Roadway Lighting
All roadway lighting in the Existing bridge is to be replaced.
18.3.7.5 Inspection Walkways
Repair damaged inspection walkways. Place toe place on all inspection walkways. Low steel point over
river cannot be lowered. Place safety railing around the periphery of Ohio River piers.
18.3.7.6 Expansion Pin Guide Plates
All expansion pin guide plates in the existing river bridge are to be repaired.
18.4 Submittals
Submittals under this Section 18.4, a non-exhaustive list of which is set forth in Table 18-5 (Structures
Submittals Table), shall be submitted in both electronic format and hardcopy format in accordance with
the schedule set forth below. Unless otherwise indicated, acceptable electronic formats include PDF
and current versions of Microsoft Word and Microsoft Excel, unless otherwise indicated.
18.4.1 Structure Type Base Concept Design

Prepare and submit Base Concept Buildable Units with concept level information and documentation
for Department approval for each Structure prior to proceeding with further Design Work for the Base
Design. Submittal documents include a summary report, plans, calculations, risk matrix, and all other
documentation required to address items in Section 18.3 (Design Requirements), discussed in
Structure Type Base Concept Design meetings, and to receive Department approval.
18.4.2 Structure Type Base Design

Prepare and submit Structure Type Base Buildable Units for Department approval. Submittal
documents include plans, calculations with design assumptions and references, specifications, and all
other documentation required to address items in the Structure Type Base Design Section 18.3.2

(Structure Type Base Design Submittal), discussed in Structure Type Base Design meetings, and to
receive Department Approval. At a minimum, the Contractor shall submit the following to the
Department:
Table 18-5: Structures Submittals Table

Submittal Reference
Submittal/State Approval or
Schedule Section
Prior to Base
Structure Base
Approval 1 1 Design 18.3.1
Concept Designs
Submittal
Structure Type *Base Design
Approval 1 1 18.3.2
Base Designs Submittal
* Required percent completion submittal will vary per Structure for the Base Design Submittal. Scope of work for
each structure to be defined in Sub-Phase 1A Proposal. Department Accepted structural load ratings is a condition
of approval for RFC submittals.

19. AESTHETICS AND ENHANCEMENTS

A subgroup of the Project Advisory Committee (PAC) – referred to as the Aesthetics Committee – has
been established for evaluating aesthetic treatments along the corridor. At several stages in the project
development process, the Aesthetics Committee is engaged as a whole to provide feedback on
corridor-wide considerations. In addition, smaller subsets of the Aesthetics Committee are engaged for
targeted feedback on specific Project locations. Furthermore, Fort Wright and Fort Mitchell – although
not included on the Aesthetics Committee - provide input on the development of aesthetics guidelines
for the portions of the corridor located in those cities.
Aesthetic Design Guidelines (AE-01) were established as part of the prior NEPA effort completed in
2012 under ODOT PID 75119. In addition, an Aesthetic Design Checklist (AE-02) has been developed
for Phases I and II of the corridor. A Draft Aesthetic Design Checklist (AE-04) has been developed for
Phase III in Ohio. Conceptual Aesthetic Design Guidelines for Phase III in Kentucky are under
development. The final Ohio Phase III Aesthetics Design Checklist and Conceptual Kentucky Aesthetic
Design Guidelines will be provided to the Contractor for inclusion in the Base Design.
The Aesthetics Committee and the Department are coordinating additional aesthetics requirements for
the existing and Companion Bridges. Lighting enhancements will likely be required for the Companion
Bridge.
The aesthetic process will follow ODOT’s current Aesthetic Design Guidelines and KYTC’s current
aesthetic guidance. The Contractor will coordinate with the Department, the Aesthetic Committee,
subsets of the Aesthetic Committee, and the cities of Fort Wright and Fort Mitchell to finalize aesthetic
details to be included in the Base Design.
The Contractor shall coordinate with the Department to develop a landscape development plan per the
Aesthetic Design Checklist and Conceptual Aesthetic Design Guidelines.
Table 19-1: Aesthetic Submittals Table

Submittal Reference
Schedule Section
Landscape With Base Design
Approval N/A 1 19
Development Plan Submittal

20. TRAFFIC CONTROL

20.1 Pavement Markings and Delineators
The Contractor shall provide design of all pavement striping, intersection markings, lane markings,
raised pavement markers, and delineators within the Project Limits in accordance with Section 1.2
(Governing Regulations). Pavement markings shall follow each States’ current specifications for
different pavement types. Contractor is to validate Conceptual Design pavement marking layouts and
incorporate design updates into the Base Design Submittal.
20.2 Signing
The Contractor shall design all permanent signage for the Project according to Section 1.2 (Governing
Regulations). The development of signing plans shall start with the Concept I-W Conceptual Signing
Plan provided in LD-01 (Concept I-W Final Design Summary Report). All modified and relocated
signage must be new. All proposed overhead sign supports shall be of new construction and the
Contractor will be required to replace all existing sign structures within the Project Limits.
The Contractor, Department, and KYTC shall meet with local agencies, as necessary, to discuss,
define signing design criteria, and review signing plans. The Contractor shall schedule two or more
concept meetings to present to the Department the inventory of existing signing and pavement
markings for the Project and the proposed permanent signing and pavement markings. The Contractor
shall document the resolutions of issues in a correspondence file, including meeting minutes and
memoranda for the record. The Contractor shall document meetings with other local agencies to define
criteria as required. The Contractor shall submit conceptual signing plans as part of the Base Design
Submittal.
20.3 Traffic Signals

Contractor shall perform signal warrant analysis using certified traffic provided by the Department
during Sub-Phase 1A.
Contractor shall provide design of proposed temporary and permanent traffic signals for the Project as
part of the Base Design Submittal. Traffic data for use in the design of signalized intersections will be
provided in LD-11 (BSB IMS Addendum 2 (Concept I-W)). At a minimum the Base Design Submittal
shall include:
A. Recommendations for signal timing (during construction as well as final configuration);
B. Type of detection to be used (radar, video, loops);
C. Proprietary item approvals;
D. Conceptual MOT;
E. Signal plan sheets with signal support locations;
F. Signal heads;
G. Signal cabinet locations;
H. Detector locations;

I. Underground conduit and pull boxes;

J. Overhead sign locations;
K. Pavement markings; and
L. Design calculations.
All signals should have remote communications per the owner’s standards. The Contractor shall also
coordinate with all agencies, power companies, and Department to provide appropriate design
methods, procedures, plan preparation, analysis methodology, equipment specifications, and
construction requirements. Contractor shall coordinate power service locations with the power
companies and Department.
A Draft Aesthetic Design Checklist (AE-04) has been developed for Phase III in Ohio and Conceptual
Aesthetic Design Guidelines for Phase III in Kentucky are under development. Contractor shall design
signals for aesthetics requirements.
20.4 Lighting
The Contractor shall design a roadway lighting system for all roadways within the Project Limits. This
would include design of a complete and functional lighting system that integrates utility service,
foundations, poles, luminaires, support and support hardware, service equipment, conduits, conductors,
boxes, grounding components, commissioning, and testing. The Contractor shall coordinate with all
agencies, power companies, and Department to provide appropriate design methods, procedures, plan
preparation, analysis methodology, equipment specifications, and construction requirements.
Contractor shall also coordinate power service locations with the power companies and Department.
The Contractor shall coordinate pad size and locations with the power companies. The street lighting
systems shall be metered separately from the traffic signals and accent lighting. Lighting circuits shall
also be separated based on ownership. The ownership of the lighting should be the agency that
maintains the roadway being illuminated. All new luminaires shall be designed with LED and shall meet
the requirements stated in Section 1.2 (Governing Regulations).
Companion Bridge shall be lighted in accordance with FAA requirements for obstruction marking. The
Contractor shall provide all temporary aviation obstruction lighting required by the FAA during
construction including on cranes, structures, or any other objects more than 200 feet above water or
ground. FAA lighting design criteria will be coordinated during Sub-Phase 1A. See Section 1.5
(Airway/Highway Clearance for Airports and Heliports) for FAA permit coordination.
A Draft Aesthetic Design Checklist (AE-04) has been developed for Phase III in Ohio and Conceptual
Aesthetic Design Guidelines for Phase III in Kentucky are under development. Contractor shall design
lighting for aesthetics requirements.
Lighting over the navigation channel shall conform with USCG requirements, as provided for the in
USCG Bridge Permit Application Guide, USCG Bridge Lighting Manual, and as listed in 33 CFR Part
118 for fixed bridges. The Contractor shall determine navigation channel lighting requirements with the
USCG for both the companion bridge and any modifications required to the existing Brent Spence
Bridge. The Contractor shall take into account the existing navigational lighting on the existing Brent
Spence Bridge and work with the USCG to provide appropriate lighting of piers. In addition, any

modifications to the existing Brent Spence Bridge navigational lighting shall be as approved by the
USCG for both directions of traffic. The Contractor shall maintain navigational lighting as required by
the USCG on the existing Brent Spence Bridge for the replacement of its bridge deck. Power supply for
the Navigation lighting may be combined with the obstruction lighting (FAA) circuits but shall not be
made part of the aesthetic lighting circuit and shall be provided on its own dedicated, separately
metered circuit.
At a minimum the conceptual Lighting Base Design Submittal shall include:

A. Location of each luminaire and support;
B. Calculations supporting locations;
C. Possible service points have been found and indicated in the plans;
D. Circuits have been laid out and preliminary checks of cable sizes;
E. Utility company coordination meeting minutes indicating service will be made available at the
desired locations;
F. Computations and computer analyses program files. A separate analysis for each of the
proposed luminaire packages is required;
G. Luminaire and lamps details;
H. Companion Bridge Aesthetic Lighting;
I. Companion Bridge FAA Obstruction Lighting;
J. Navigational Lighting with minimum navigational clearances over the river to be provided to
USCG for advertisement in the USCG Public Notice as part of the Federal bridge permit.
Provide at a minimum, upstream and downstream lights that show the centerline and the limits
of the navigation channels;
K. Underpass Lighting Details;
L. Temporary Lighting placement in coordination with the MOT phasing; and
M. Renderings of architectural lighting for the bridges, inclusive of the Companion Bridge and
approach structures, cables or arch ribs and ties, deck, understructure, and piers. The
drawings/renderings shall be set within the context of the local site.
20.5 Intelligent Transportation System (ITS)

ODOT and KYTC, in conjunction with FHWA, and the Cincinnati Metropolitan area, has deployed an
Intelligent Transportation System (ITS). ODOT maintains its own ITS system on the Ohio side of the
river. KYTC system is referred to as TRIMARC, Traffic Response and Incident Management Assisting
the River Cities. ODOT ITS data is shared with TRIMARC but all ITS devices and ramp meters. in Ohio
shall be integrated with the ODOT Traffic Management Center (TMC). The system comprises a network
of traffic sensors, surveillance cameras, and variable message signs managed from a central control
center. The Contractor will coordinate with multiple parties including but not limited to the Department,
KYTC, Homeland Security, and subconsultants operating, maintaining, and managing the ITS systems.
Contractor shall anticipate meeting at a minimum bi-weekly during Sub-Phase 1A. Many of TRIMARC’s
and ODOT’s assets are currently located within the proposed Project area and shall be impacted during
construction. To provide ITS support, the Project must be designed to redeploy similar capabilities and

offers an opportunity to utilize newer ITS technologies and applications. The TRIMARC TMC is located
in Louisville at 901 W. Main Street Louisville, KY. 40202. The ODOT TMC main fiber is connected to
the ARTIMIS building located at 508 W. 3rd St., Cincinnati, OH. The Contractor shall locate and design
a utility vault, either above ground or buried, to house the ARTIMIS equipment. The utility vault shall be
temperature controlled, have vehicle access, and doors large enough to get equipment in and out (36
inches wide, standard height door at a minimum). All access to the vault shall be secure via normal lock
and key design. The design of the vault shall include details to supply power to a 200-amp breaker
panel. The vault shall be at least 10-foot square. All of the existing fiber from the ARTIMIS facility needs
to be terminated in the new vault. ODOT shall have the ability to run new communications to the vault,
so a conduit system to an outside manhole will be required. Four, 4-inch conduits shall be provided. ITS
connectivity must be maintained, and relocation of ITS infrastructure must be completed prior to
demolition. For existing ARTIMIS building plans see EX-18 through EX-25.
20.5.1 ITS Design

The Contractor will work with the Department to develop scope that provides support for ITS assets
with regard to removal, temporary equipment support options, and a concept of the new infrastructure
design with specifications and installation requirements for new ITS equipment. Contractor shall also
coordinate power service locations with the power companies and Department. It is the intent the scope
that is developed during Sub-Phase 1A for Sub-Phase 1B Proposal will provide general guidance that
shall allow the Contractor to produce detailed ITS Design Plans to accomplish the goals stated, within
the confines described and in adherence to the rules, regulations, and standards of ODOT and/or
KYTC. The Contractor shall maintain and protect the existing fiber optic trunk cables located in the
Right-of-Way. Should any disruptions of the existing fiber optic network be required due to Contractor
operations, a temporary communication system or bypass communication linked to the TMC and/or
TRIMARC shall be provided.
The design and construction of all ITS and components shall meet the requirements of CFR 940 and
provide functionality, connectivity, and compatibility with Central Software in the respective TMC
(TRIMARC for Kentucky, OKI Regional ITS, and ODOT Statewide TMC) with considerable thought
included in the design for durability, ease of maintenance, safety, and aesthetics.
20.6 Submittals
Submittals are defined within Section 1.2 (Governing Regulations) and Section 2 (Project
Management). Contractor shall provide traffic control plans and calculations in the Base Design
Submittal.

Table 20-1:Traffic Control Submittals Table

Submittal Reference
Schedule Section
Conceptual
With Base Design
Pavement Marking Approval N/A 1 20.1
Submittal
Plans
Conceptual Signing With Base Design
Approval N/A 1 20.2
Plans Submittal
With Base Design
Signal Warrants Approval N/A 1 20.3
Submittal
Temporary and
With Base Design
Permanent Signal Approval N/A 1 20.3
Submittal
Plans
Temporary and
With Base Design
Permanent Lighting Approval N/A 1 20.4
Submittal
Plans
Temporary and With Base Design
Approval N/A 1 20.5
Permanent ITS Plans Submittal

21. MAINTENANCE OF TRAFFIC

The Contractor shall coordinate and collaborate with the Department; the Regional Incident
Management Task Force; counties; the cities of Covington, Cincinnati, Fort Wright and Fort Mitchell;
local transit agencies; and other agencies that may be impacted by construction, detours, and traffic
diversions to inform the Contractor’s development of the conceptual Maintenance of Traffic (MOT) plan,
and to define the requirements of the Traffic Management Plan (TMP), and the Incident Management
Plan (IMP) for the Project. This effort shall begin with a Pre-Design Meeting with the Contractor, the
Department, the City of Covington, and the City of Cincinnati to define requirements, goals,
opportunities, and key constraints that will form the basis of the Contractor’s MOT concept. Following
the Pre-Design Meeting, the Contractor shall conduct routine Design Progress Meetings as defined in
Section 2 (Project Management) to share the results of the Contractor’s ongoing collaboration efforts
and MOT plan development efforts.
21.1 General Requirements

The Contractor’s Conceptual MOT Plan shall:
A. Be developed in accordance with all applicable governing regulations. See Section 1.2
(Governing Regulations);
B. Maintain all vehicular traffic including bike and pedestrian on existing, temporary, and new
pavements;
C. Provide safe and efficient access; maintain all existing, temporary, and new lighting;
D. Minimize impacts to communities caused by construction activities and traffic diversions;
E. Be coordinated with other projects that may be in affect within the Project area and detour limits;
and
F. Be fully coordinated with the Contractor’s design and Project Schedule and be developed to
sufficient detail to establish the OPC.
21.2 Provided Information

The following additional information is provided for the Contractor’s benefit in establishing the
Conceptual MOT Plans:
A. EN-28 (Environmental Commitments) – includes MOT commitments;
B. MT-01 (Alternative I Phasing Plan);
C. MT-02 (Concept I-W Phasing Plan);
D. MT-03 (Alternative I MOTAA); and
E. MT-04 (Brent Spence Bridge Concept I-W TMP Closure Approval Authority Matrix).
21.3 Conceptual MOT Plan and Summary Report

The Conceptual MOT Plan and Summary Report shall include:
A. Anticipated schedule showing MOT phases and durations, including closure durations for

freeways, ramps, and local streets. The schedule shall take into consideration snow and ice
operations from December 1 through March 31. Lane shifts, restrictions, and closures may not
be approved if they adversely affect snow removal operations.
B. Discussion of sequence of operations and MOT procedures, identifying all long-term lane
closures and all complete directional roadway closures (short-term or long-term). Long-term
shall mean any closures greater than 24 hours.
C. Plans at an appropriate scale showing the Work area, tapers, temporary pavement and/or
structures, signs, locations of typical sections, locations of construction access points, and
references to applicable standard construction drawings (SCDs).
D. Typical sections including lane widths, pavement markings, drums, portable barriers, limiting
stations, barrier and shoulder offsets, work area, and drop-offs.
E. Detour plans and alternative route plans identifying anticipated improvements. The Contractor
may need to provide additional lanes along mainline and ramps along the detour/alternate
routes used to bypass the construction area.
F. Temporary local street closures and detour routes.
G. Temporary pedestrian and bicycle detour routes.
H. Haul routes.
I. Information and guidance for signing and detour routes, including color-coded definitions of
detour routes.
J. Summary of traffic modelling with anticipated level of service due to lane closures and detour
routes.
K. Summary of anticipated locations and durations of variable message signs and boards.
L. Outline of the IMP and TMP requirements. The TMP will require a Worksite Traffic Supervisor
(WTS). The WTS shall be certified in the state where Work being supervised is being
performed. The IMP will require a Contractor TIM contact.
M. Opinion of Probable Costs for MOT, TMP, and IMP items.
N. The disincentives required by the Department consistent with the requirements of PDBC Exhibit
S (Lane Value Contract).
O. List of signals that could be impacted during each phase of construction.
P. Evaluate MOT drainage (ODOT) and temporary drainage structures (KYTC). Provide MOT or
temporary drainage culverts and/or drainage structures as needed to avoid disruption of existing
drainage flow patterns. Provide temporary drainage items on the MOT plans and drainage
calculations per ODOT Location and Design Manual Volume 2 and KYTC Drainage Manual.
Q. Prior to shifting traffic to the existing shoulders or to the opposite bound of the freeway via
temporary crossovers, replace existing drainage structure covers where traffic is driving over the
covers with temporary bolt down drainage structure covers. Prior to shifting traffic to proposed
shoulders provide temporary bolt down drainage structure covers on proposed drainage
structures where traffic is driving over the final phase proposed covers. Final proposed covers to
be added after traffic is shifted.

21.4 Submittals
Submittals under this Section 21.4, a non-exhaustive list of which is set forth in Table 21-1
(Maintenance of Traffic Submittals Table), shall be submitted in electronic format in accordance with
the schedule set forth below. Acceptable electronic formats include PDF and current versions of
Microsoft Word and Microsoft Excel, unless otherwise indicated.
Table 21-1: Maintenance of Traffic Submittals Table

Submittal Reference
Schedule Section
Conceptual MOT
With Base Design
Plan and Summary Approval N/A 1 21.3
Submittal
Report


EXHIBITS
FEBRUARY 17, 2023
January 3, 2023
LIST OF EXHIBITS
EXHIBIT A: ACRONYMS AND DEFINITIONS1
EXHIBIT B: CONTRACT PARTICULARS
EXHIBIT C: PROPOSAL COMMITMENTS
EXHIBIT D: KEY PERSONNEL AND PRINCIPAL PARTICIPANTS
EXHIBIT E: TECHNICAL REQUIREMENTS
EXHIBIT F: NONCOMPLIANCE POINTS SYSTEM
EXHIBIT G: PRICING PROCESS
EXHIBIT H: FORCE ACCOUNT PROVISIONS
EXHIBIT I: DELAY COSTS
EXHIBIT J: UNIT PRICING PROVISIONS
EXHIBIT K: FORM OF PAYMENT AND PERFORMANCE BONDS
EXHIBIT L: DISADVANTAGED BUSINESS ENTERPRISE (DBE) PERFORMANCE PLAN AND

GOOD FAITH EFFORTS
EXHIBIT M: DISADVANTAGED BUSINESS ENTERPRISE TRUCKING; DBE MATERIALS

AND SUPPLIES VENDORS (MSVS)
EXHIBIT N: CONTRACT PROVISIONS FOR FEDERAL AID CONSTRUCTION CONTRACTS
EXHIBIT O: NOTICE OF REQUIREMENT OF AFFIRMATIVE ACTION TO ENSURE EQUAL

OPPORTUNITY AND WORKFORCE DIVERSITY REQUIREMENTS ON ALL ODOT
ADMINISTERED FEDERALLY FUNDED PROJECTS
EXHIBIT P: ON-THE-JOB TRAINING PROGRAM
EXHIBIT Q: PROMPT PAYMENT – ODOT LET CONSTRUCTION PROJECTS
EXHIBIT R: FACILITATED PARTNERING
EXHIBIT S: LANE VALUE CONTRACT
EXHIBIT T: CRITICAL PATH METHOD PROGRESS SCHEDULE
EXHIBIT U: PRODUCTS MADE IN THE UNITED STATES
EXHIBIT V: SURFACE SMOOTHNESS REQUIREMENTS
EXHIBIT W: PRICE FLUCTUATION CLAUSES
1 Note: Exhibit A is contained in the Progressive Design Build Contract (PDBC)

EXHIBIT X: DIGITAL DATA FOR MATERIAL TICKETING
EXHIBIT Y: INTERSTATE COOPERATIVE AGREEMENT
EXHIBIT Z: RISK REGISTER
EXHIBIT AA: WORKSITE TRAFFIC SUPERVISOR DISINCENTIVE

February 17, 2023 Exhibit B: Contract Particulars
EXHIBIT B: CONTRACT PARTICULARS

Compensation Amounts
The Maximum Sub-Phase 1A Prime Compensation amount subject to adjustment for Change
Orders as set forth in PDBC Section 11.1.3 (Compensation for the Sub-Phase 1A Work) is
$30,000,000.
The Maximum Sub-Phase 1B Prime Compensation amount subject to adjustment for Change
Orders as set forth in PDBC Section 11.1.4 (Compensation for the Sub-Phase 1B Work) is
$200,000,000.
Schedule Milestones for Phase 1
The Sub-Phase 1B Proposal shall be submitted no later than 230 Days2 after the Sub-Phase 1A
NTP (the “Sub-Phase 1B Proposal Due Date”).
The Phase 2 Proposal shall be submitted no later than 390 Days3 after the Sub-Phase 1B NTP
(the “Phase 2 Proposal Due Date”).
Schedule Milestones for Phase 2
The target date for the Companion Bridge Opening Deadline is July 15, 2029.
The target date for the Substantial Completion Deadline is September 15, 2030.
Project Mark-up Percentage
The Project Mark-up percentage as specified in Exhibit G (Pricing Process) shall be [●] %4.
Multipliers for Professional Services
The Phase 1 Multiplier Rate is 2.8.
The Phase 2 Multiplier Rate for FAR Participants is 2.8.
The Phase 2 Multiplier Rate for Non-FAR Participants is 1.8.
Liquidated Damages for Phase 2 Work
The amount of liquidated damages to be deducted for each Day by which the Substantial
Completion Date exceeds the Substantial Completion Deadline, subject to PDBC Section 13.7
(Failure to Complete On Time) shall be $37,000.
2 Based on: 7/15/23 for Sub-Phase1A NTP

3 Based on: 3/1/24 for Sub-Phase 1B NTP, 4/1/25 for Phase 2 NTP
4 To be inserted from the Proposal

February 17, 2023 Exhibit C: Proposal Commitments
EXHIBIT C: PROPOSAL COMMITMENTS

[Insert in this Exhibit C the key commitments from the Proposal, excluding the Key Personnel
and Principal Participants’ details which shall be inserted in Exhibit D (Key Personnel and
Principal Participants)]

February 17, 2023 Exhibit D: Key Personnel and Principal Participants
EXHIBIT D: KEY PERSONNEL AND PRINCIPAL

PARTICIPANTS
[Insert in this Exhibit D the names and qualifications of the Key Personnel and the Principal
Participants including all details from the Proposal]

February 17, 2023 Exhibit E: Technical Requirements
EXHIBIT E: TECHNICAL REQUIREMENTS

Refer to the separate document entitled “Technical Requirements”

February 17, 2023 Exhibit F: Noncompliance Points System
EXHIBIT F: NONCOMPLIANCE POINTS SYSTEM

1. Noncompliance Points System
1.1 Certain of the Contractor’s failures to perform and breaches of its contractual obligations
under the Contract Documents constitute Noncompliance Events (NCEs) that may result in the
assessment of Noncompliance Points. Table F-1 (Noncompliance Events Table) identifies each
Noncompliance Event, the points assessed per event and the NCE Cure Period available to the
Contractor for each Noncompliance Event. Noncompliance Points are a system to measure the
Contractor’s performance and trigger the remedies set forth or referenced in this Exhibit F.
2. Assessment Notification and Cure Process
2.1 Electronic Database and Notification Initiated by the Contractor
2.1.1 The Contractor shall provide an electronic database, which the Contractor shall utilize in
connection with the Noncompliance Points system. Upon the occurrence of any Noncompliance
Event specified in Table F-1 (Noncompliance Events Table), the Contractor shall enter such
Noncompliance Event into the electronic database in real time upon discovery or being made
aware of the discovery but no later than 12:00 noon the next Working Day (once the Contractor
is aware of or is made aware of the occurrence) if the occurrence takes place after normal
business hours. The format and design of the electronic database shall provide the Contractor,
and the Department the ability to make full or partial entries and edits to any existing entry. At a
minimum, each electronic database entry by the Contractor shall:
(a) Include a description of the Noncompliance Event in reasonable detail;
(b) Identify the reference number and headings and sub-headings assigned to the
Noncompliance Event in Table F-1 (Noncompliance Events Table);
(c) Identify the Project location (if applicable);
(d) Identify the date and exact time of occurrence;
(e) Identify the applicable response date and time, if any;
(f) Indicate the applicable NCE Cure Period, if any, as set forth in Table F-1
(Noncompliance Events Table);
(g) Indicate status of cure, whether the item is open or cured by the Contractor, rejected by
the Department, or disputed by the Contractor; and
(h) Indicate the date and exact time of cure (if any).
2.1.2 In cases of dispute of entries, the Department may edit or enter comments to the
Contractor entries at any time. If the Contractor disagrees with the Department’s entries, the
changes or entries inserted by the Department must remain in place, subject to the provisions
regarding Dispute Resolution in Section 5 (Provisions Regarding Dispute Resolution).
2.1.3 The Department may provide to the Contractor a “Notice of Determination” via the
electronic database or in writing. A Notice of Determination may:
(a) make a determination of occurrence of a Noncompliance Event;
(b) make a determination of whether a Noncompliance Event was cured during the
applicable NCE Cure Period;

(c) reject or dispute an entry in the electronic database by the Contractor; or

(d) make a determination of the number Noncompliance Points to be assessed.
If the Department identifies any Noncompliance Points to be assessed the Department will
provide the "Notice of Determination" in writing to the Contractor.
2.2 Notification Initiated by the Department
If the Department believes there has occurred any Noncompliance Event which the Contractor
is not aware of, the Department may deliver to the Contractor a Notice Noncompliance Event.
2.3 NCE Cure Periods
2.3.1 The Contractor shall cure each Noncompliance Event by the end of the NCE Cure
Period for each such Noncompliance Event set forth in Table F-1 (Noncompliance Events
Table). The start of the NCE Cure Period shall be determined according to the “Assessment
Category” shown in Table F-1 (Noncompliance Events Table).
2.3.2 For each “Category A” Noncompliance Event, the NCE Cure Period shall start not later
than the date and time of delivery by the Department of a Notice of Noncompliance Event to the
Contractor.
2.3.3 For each “Category B” Noncompliance Event, the NCE Cure Period shall start upon the
earlier of: (i) the date and time the Contractor first obtained knowledge of the Noncompliance
Event or (ii) the date and time the Contractor received notice thereof by any third party.
2.4 Notification of Cure
2.4.1 When the Contractor determines that it has completed cure of any Noncompliance
Event, the Contractor shall enter in the electronic database a record that it has completed the
cure, a brief description of the cure, and any modifications needed to the DBT PMP to avoid
future similar Noncompliance Events.
2.4.2 Upon the Contractor’s determination that it has completed the cure, the Department shall
have the right, but not the obligation, to inspect to verify completion of the cure. If satisfied that
the Noncompliance Event is fully cured, The Department will deliver to the Contractor a Notice
of Determination with its acceptance or rejection of the cure. If the Department issues a Notice
of Determination with its acceptance of a cure, the cure is effective as of the date of the
Contractor’s notice of cure.
2.4.3 Subject to the time restrictions in this Section 2, The Department may reject the
Contractor’s notice of cure if the Department determines that the Contractor has not fully cured
the Noncompliance Event or if the Department cannot determine whether the Contractor has
fully cured the Noncompliance Event. Upon making this determination, the Department will
deliver a Notice of Determination to the Contractor rejecting the cure. Any Dispute regarding
rejection of cure shall be resolved according to the Dispute Resolution procedures in Section 5
(Provisions Regarding Dispute Resolution).
3. Assessment of Noncompliance Points
If The Department is notified as required by Section 2 (Assessment Notification and Cure

Process) or otherwise becomes aware of a Noncompliance Event, the Department may assess

Noncompliance Points in accordance with Table F-1 (Noncompliance Events Table), subject to
the following:
(a) For each Noncompliance Event for which an NCE Cure Period is identified in the Table
F-1 (Noncompliance Events Table) (Category A or B), that is not a late, incomplete or
defective Submittal, provided that the Noncompliance Event is not cured,
Noncompliance Points shall first be assessed at the end of the first NCE Cure Period.
(b) For each Noncompliance Event for which a NCE Cure Period is identified in Table F-1
(Noncompliance Events Table) (Category A or B) that is a late, incomplete, or defective
Submittal, Noncompliance Points shall first be assessed at the date of expiration of the
time period required by the Contract Documents for the Submittal plus the applicable
NCE Cure Period.
(c) If a Noncompliance Event for which an NCE Cure Period is provided in Table F-1
(Noncompliance Events Table) (Category A or B) is not fully cured within the applicable
NCE Cure Period then continuation of such Noncompliance Event beyond such NCE
Cure Period shall be treated as a new and separate Noncompliance Event. Additionally,
(i) a new cure period equal to the NCE Cure Period set forth in Table F-1
(Noncompliance Events Table) shall apply upon expiration of the NCE Cure Period, and
(ii) if applicable, additional Noncompliance Charges shall be assessed against the
Contractor in accordance with Section 6 (Noncompliance Charges) and deducted from
the amounts due to the Contractor under this PDBC.
(d) The Department may, but is not obligated to, assess fewer than the maximum number of
Noncompliance Points for any Noncompliance Event.
(e) The Department shall not be entitled to assess Noncompliance Points under more than
one category for any event or circumstance that is a breach or failure. Where a single
act or omission gives rise to more than one breach or failure, it shall be treated as a
single breach or failure for the purpose of assessing Noncompliance Points, and the
highest amount of Noncompliance Points under the relevant breaches or failures shall
apply.
4. Special Provisions for Certain Noncompliance Events
4.1 The provisions of this Section 4 apply to a Noncompliance Event identified in Table F-1
(Noncompliance Events Table) that is directly attributable to a Force Majeure Event.
4.2 If any such Noncompliance Event occurs, then:

(a) The applicable NCE Cure Period for any such Noncompliance Event shall be extended if
such Noncompliance Event is not reasonably capable of being cured within the
applicable NCE Cure Period solely due to the occurrence of such Force Majeure Event.
The extension shall be for a reasonable period of time under the circumstances, taking
into account the scope of the efforts necessary to cure, the effect of the Force Majeure
Event on the Contractor’s ability to cure, availability of temporary remedial measures,
and the need for rapid action due to impact of the Noncompliance Event on safety or
traffic movement; and
(b) Regardless of which Party initiates notice of such Noncompliance Event, no
Noncompliance Points shall be assessed, nor result in Noncompliance Charges under
Section 6 (Noncompliance Charges); provided, however, that the Noncompliance Event
is cured within the applicable NCE Cure Period, as it may be extended pursuant to
Section 4.2(a) above.

4.3 For the avoidance of doubt, for any Noncompliance Event directly attributable to a Force
Majeure Event where the Contractor is unable to comply with a requirement of the Contract
Documents due to an ongoing Force Majeure Event, then solely during the period that such
Force Majeure Event prevents compliance with such requirement, no Noncompliance Points or
Noncompliance Charges will be assessed for such Noncompliance Event and the Contractor
shall be excused from performance of the underlying requirement.
5. Provisions Regarding Dispute Resolution
5.1 The Contractor may object to the assessment of Noncompliance Points or the starting
point for or duration of the NCE Cure Period respecting any Noncompliance Event by delivering
to the Department Notice of such objection not later than seven Days after The Department
delivers its Notice of Determination.
5.2 If the Contractor gives timely notice of objection and the Parties are unable to reach
agreement on any matter in Dispute within ten days of such objection, either Party may refer the
matter for resolution according to the procedures for resolving Disputes in the Contract
Documents, including Facilitated Partnering and Dispute Resolution Procedures.
6. Noncompliance Charges
6.1 Upon assessment of the 10th Noncompliance Point pursuant to Section 3 (Assessment
of Noncompliance Points) and upon assessment of each subsequent 10th Noncompliance Point
pursuant to Section 3 (Assessment of Noncompliance Points), the Department shall be entitled
to immediate and automatic Noncompliance Charges from the Contractor in an amount equal to
$50,000 (such amount calculated at a rate of $5,000 per Noncompliance Point).

TABLE F-1: NONCOMPLIANCE EVENTS TABLE

Noncompliance NCE
No. of Assessment
Ref. Main Heading Sub-heading Events Table Cure
Points Category
Failure to: Period
Provide the Department
with a copy of any
insurance certificate or
evidence of payment of
Insurance
1 General any premium all in 2 B 7 Days
Coverage
accordance with
Section 17 (Insurance
Requirements) of the
PDBC.
Maintain a fully
functional and up to
Maintain a date Noncompliance
Noncompliance Events database
2 General 2 A 7 Days
Event accessible to the
Database Department in
accordance with this
Exhibit F.
Provide proper notice to
the Department before
proceeding with the
Work, or failure to
3 General Inspections follow a requirement 1 B 1 Day
relating to a DB
Contractor hold point as
required by the
Contract Documents.
Prepare, implement,
maintain, update or
timely deliver, or
otherwise be compliant
with any Submittal
requirement within the
Contract Documents.
This Noncompliance
Event shall not apply to
4 General Submittals 1 B 7 Days
failure to timely deliver
a Submittal described
more specifically in
another line item in this
Exhibit F (for which
Noncompliance Points
shall be assessed in
accordance with the
particular line item).

Noncompliance NCE
No. of Assessment
Points Category
Failure to: Period
Comply with the
reporting requirements
or any requirement of
the DBE Performance
Contracting Comply with
Plan in accordance with
5 and Labor DBE Reporting 2 B 5 Days
Section 5.1 (DBE
Practices Requirements
Performance Plan) of
Exhibit E (Technical
Requirements) and
Exhibit L of the PDBC.
Report compliance
with, or to comply with
the reporting
Federal requirements of, any of
30
6 Reporting Reporting the Federal 2 B
Days
Requirements Requirements, as
required by the
Contract Documents,
including Exhibit N.
Comply with any of the
reporting, recording
keeping, or
documentation
requirements, including
DB Contractor
monthly and annual 14
7 Reporting Reporting 1 B
reporting, or any Days
Requirements
Subcontractor reporting
requirements, as
required by and in
accordance with the
Contract Documents.
Maintain and update
the complete
Maintain and Stormwater Pollution
Environmental
8 Update Prevention Plan 2 A 7 Days
Compliance
SWPPP (SWPPP) as required
by Exhibit E (Technical
Requirements).
Notify The Department
of Regulated Materials
Notify the or a Recognized
Environmental Department of Environmental
9 2 B 1 Day
Compliance Regulated Condition as set forth in
Materials Section 5.13.6
(Regulated Materials)
of the PDBC.

Noncompliance NCE
No. of Assessment
Points Category
Failure to: Period
Perform a permanent
repair to a hazardous
defect in accordance
Maintenance Ensure Timely Defect
with Section 5.11
10 during Hazard Repair 3 B Repair
(Damage to the Work
Construction of Defect Period
and Maintenance
During Construction) of
the PDBC.
Comply with any
specific traffic control
construction
requirements for local
Comply with access, detours, local
Traffic traffic control approvals, markings
11 2 B 1 Day
Management construction and signing, utility cuts,
requirements hauling Equipment,
final clean up and
stockpiles, as required
by the Contract
Documents.

February 17, 2023 Exhibit G: Pricing Process
EXHIBIT G: PRICING PROCESS

Part A: Estimating Process
1. General Cost Estimating Obligations
No later than 15 Days after Sub-Phase 1A NTP, the Contractor shall convene, attend, and
actively participate in a meeting to discuss and develop an initial approach to costing the Project
with the Department and the Independent Cost Estimator (ICE). The purpose of this meeting is
to establish the baseline Cost Model structure, input standards, and assumptions for the
formulation and ongoing updates and maintenance of all future Opinions of Probable Cost
(OPC’s), including design and construction cost and Project Schedule estimates. This meeting
will also establish the plan to communicate changes in scope, quantity, risk, and other
information required to affirm a consistent foundation for cost and schedule estimation.
2. Estimating Methodology Report and Cost Model
No later than 60 Days after the initial approach to cost meeting, the Contractor shall document
and submit to the Department the description and assumptions for the work elements that
communicate the estimating practices, processes and format to be developed on an Open Book
Basis for each Price Proposal (“Estimating Methodology Report”) and the proposed Cost Model.
3. Project Cost Estimate Development

(a) The Contractor shall maintain the Department approved Cost Model and shall develop
and provide to the Department cost estimates for each Price Proposal on an Open Book
Basis so that assumptions, contingency, risk and the approach to the cost estimates are
fully identified, delineated and understood by the Department.
(b) Unless otherwise agreed by the Parties or directed by the Department, the basis for the
Price Proposal shall be a Guaranteed Maximum Price (GMP) or Lump Sum as further
described in PDBC Section 11.2.3 (Compensation Structure), subject to the provision of
any Department requested analysis comparing the price differential for a different basis
for price.
(c) The Parties will evaluate and negotiate whether to include performance incentives or
contingency risk sharing arrangements for the Price Proposal. Any performance
incentive or contingency risk sharing arrangements will be agreed upon by the Parties
during Phase 1 negotiations.
(d) The Contractor shall convene, attend, and actively participate in meetings with the
Department and the ICE to review cost estimate organization, break-down, reconciliation
of OPC and cost estimates for each Price Proposal.
(e) Together with submission of the Estimating Methodology Report and proposed baseline
Cost Model, the Contractor shall develop a Department-approved program for the
training of the Department staff on the Cost Model and related procedures, historical
data, categorization of costs, estimating techniques and tools, hardware, software, and
any other systems employed by the Contractor for cost and schedule estimation for the
Project. The Contractor shall deliver the training as described in and at the times set
forth in the approved training program.

Part B: Opinion of Probable Cost and Schedule of Values
1. General
(a) An Opinion of Probable Cost (OPC) is a Contractor-generated accounting and
estimation of all cost and schedule for a Price Proposal. An OPC may contemplate
Design Work, Construction Work, related Professional Services, or any combination
thereof.
(b) The Contractor shall maintain an OPC(s) for each Price Proposal unless and until each
Price Proposal is agreed and executed.
(c) The Department will maintain an accounting and estimation of all cost and schedule (the
“Department's Estimate”) for each Price Proposal and the overall Project. The
Department will engage the State Cost Estimator (SCE) to develop the Department's
Estimate.
(d) At a minimum, the Contractor shall generate and maintain an OPC for the following:
(i) The overall project at the end of Sub-Phase 1A
(ii) Sub-Phase 1B Work
(iii) Any proposed Early Work Package
(iv) Phase 2 Work
(v) Any proposed Buildable Units in Phase 2
2. OPC and Price Proposals

(a) Approximately 120 Days before anticipated completion of a Price Proposal, the
Contractor shall submit the Scope of Work and the Design Documents necessary for
cost development.
(b) Approximately 90 Days before anticipated completion of a Price Proposal the Contractor
shall provide a breakdown of quantities in accordance with the agreed upon Estimating
Methodology and Cost Model. The Contractor and Department will participate in a
quantity reconciliation meeting to verify that quantities are within a mutually agreeable
amount.
(c) Upon completion of quantity reconciliation, the Contractor and the Department will
develop their estimates to account for all Work, complete development of crews, assign
production rates, and develop any allowance items required to address design and / or
scope gaps appropriate to the design level of maturity. The result of this is a draft OPC
for the Price Proposal and the Department’s Estimate.
(d) Approximately 60 Days before the anticipated completion of a Price Proposal, the OPC
will be compared to the Department’s Estimate. If the OPC and the Department’s
Estimate differ by more than a percentage acceptable to the Department, the
Department, the Contractor and, if required at the Department’s sole discretion, the ICE,
will conduct a review to determine where the cost estimates differ and what assumptions
or details were used to determine each difference.
(e) When preparing any OPC for a Price Proposal:
(i) Part C (Basis for Establishing Price) of this Exhibit G shall apply to estimating the
cost of Work and the Contract Price;

(ii) The cost of Materials shall include freight, delivery, unloading, storage charges,
taxes, normal wastage allowance in accordance with Good Industry Practice and
all Supplier discounts;
(iii) Except as otherwise expressly permitted under this PDBC in the case of an Early
Work Package, the OPC or Price Proposal shall utilize the Project Mark-up to
calculate the Contract Price to complete the Work. Costs included in the Project
Mark-up shall not be included in the reasonably estimated costs prepared in
accordance with Part C (Basis for Establishing Price) of this Exhibit G;
(iv) The Contractor shall prepare its OPC or Price Proposal on the basis described in
the Cost Model or as otherwise directed by the Department or agreed by the
Parties;
(v) An OPC or Price Proposal for the whole of the Phase 2 Work shall incorporate, as
a separate line item, the Contract Price for any Price Proposal for which a Change
Order has been executed prior to preparation of that OPC;
(vi) The Contractor shall list indirect costs for each item in a separate list and the
Department will review and approve the list of costs at each OPC;
(vii) The OPC or Price Proposal shall be produced under an Open Book Basis;
(viii) The OPC or Price Proposal shall be supported in sufficient detail to be used in
preparing budgets based on sub-trades, combinations of sub-trades, building
systems, and Subcontractor bid packages in accordance with the approved
Subcontractor Bidding and Selection Plan. Lump sum estimates are not
acceptable;
(ix) The OPC or Price Proposal shall be consistent with the then-current Project
Schedule incorporating the Phase 2 Work as part of an integrated and cohesive
cost and schedule build-up for the Phase 2 Work. The OPC or Price Proposal shall
clearly delineate Work assumed to be self- performed by the Contractor, Work to
be performed by a Subcontractor that is an Affiliate and Work assumed to be
performed by a Subcontractor that is not an Affiliate, consistent with PDBC Section
8.2 (Limitation on Subcontracted Work);
(x) The Contractor shall obtain such number of quotes from potential Subcontractors
as is contemplated under the approved Subcontractor Bidding and Selection Plan.
This information shall be provided with each OPC and Price Proposal and the
Contractor shall require its potential Subcontractors to share their information,
quotes, scope of work bid, and product or services data with the Department and
the ICE. Where the approved Subcontractor Bidding and Selection Plan does not
contemplate obtaining quotes from potential Subcontractors, the Contractor shall
provide the estimate for the applicable scope of work and supporting data, which
shall include data from recent quotes obtained for equivalent scopes of work,
products or services on other projects;
(xi) Any Contingency amounts included in the OPC or Price Proposal shall be fully
identified and delineated so that they are included as an express and transparent
amount, consistent with the risk allocation, risk mitigation and qualitative and
quantitative analysis under the then current Risk Register. Contingency amounts
included in the OPC or Price Proposal shall be entirely amounts necessary to
address risks allocated to the Contractor and shall not include any amounts that

may be held by the Department for risks allocated to the Department. All
Contingency amounts shall be allocated to specific Contractor risks;
(xii) No OPC or Price Proposal shall include cost items already included in the other
Price Proposals or Contract Prices, items expressly retained by the Department, or
items not required by the Department; and
(xiii) Each OPC and Price Proposal shall be independently prepared by the Contractor
but in coordination with the Department and the ICE.
(f) Each OPC or Price Proposal submitted by the Contractor shall contain the following
elements in the following order:
(i) A summary memorandum consisting of a narrative summary of the cost estimate
that includes:
(A) A summary of costing activities since the previous OPC or Price Proposal
submittal;
(B) Changes subsequent to the previous OPC or Price Proposal submittal and
reasons for the changes;
(C) Responses to the Department's comments on the previous OPC or Price
Proposal submittal;
(D) A list of proposed Materials to be installed and the procurement status for
each (including Supplier selection activities);
(E) A list of critical or long lead Materials;
(F) A list of proposed Subcontracts with the procurement status for each
(including Subcontractor selection activities);
(G) The current Contingency value and the approach to determining the value;
and
(H) A cost summary table.
(ii) An updated Cost Model (including a completed Schedule of Values) showing a line
item cost breakdown;
(iii) A list of all assumptions, clarifications, and exclusions that the Contractor used to
determine the OPC or Price Proposal;
(iv) Detailed description of any allowances, performance incentives or risk sharing
arrangements proposed by the Contractor;
(v) A breakdown of Contractor Contingencies including escalation of Materials and
goods, Contractor risks, and scope gap/exclusions not included in the direct costs
and providing clear referencing to the Risk Register;
(vi) The most recent proposed updated Project Schedule;
(vii) A certification from the Contractor that all costs included in the OPC or Price
Proposal (as applicable) are allowable in accordance with the cost principles in 2
CFR part 200 subpart E, and the OPC or Price Proposal (as applicable) does not
include any costs which are expressly unallowable under applicable cost principles
of 2 CFR part 200 subpart E; and

(viii) Such other information as is necessary, in the Department's sole discretion, to

satisfy the Department as to the reasonableness of any OPC or Price Proposal and
that the Contractor's pricing and other financial terms for the Work are fair and
reasonable.
(g) Upon the Department's request, the Contractor shall submit a copy of all Subcontractor
quotes or bids received by the Contractor.
3. Schedule of Values
(a) Each Schedule of Values required to be prepared in accordance with this Contract shall:
(i) Be coordinated with and consistent with the draft updated Project Schedule; and
(ii) Provide an estimated quantity of items to the Department for each element of Work
in accordance with Department or KYTC standard bid item codes whenever
possible. Where Department or KYTC standard bid items are not available, provide
an explanation of non-standard items. The Department will provide unique item
names and codes for these items.

Part C: Basis for Establishing Price
1. General
Each OPC or Price Proposal shall be based on the reasonably estimated actual cost of
completing the associated Work. The Contract Price for any Work Package shall equal:
Reasonably estimated cost of Work x (100% + Project Mark-up percentage).
Project Mark-up includes profit, general and administrative costs, and any costs not specifically
included in the reasonably estimated cost of Work.
Reasonably estimated cost of Work shall equal the sum of the cost components set forth in
items 2 through 9 below.
2. Professional Services Costs
2.1 Phase 1 Work
Costs for Professional Services undertaken in the performance of the Phase 1 Work shall be the
actual direct labor rates multiplied by the number of hours estimated to be worked multiplied by
the Phase 1 Multiplier Rate shown in Exhibit B (Contract Particulars).
2.2 Professional Services for the Phase 2 Work
Costs for Professional Services undertaken in the performance of the Phase 2 Work by
personnel and entities that meet the definition of FAR Participants shall be the actual direct
labor rates multiplied by the number of hours estimated to be worked multiplied by the Phase 2
Multiplier Rate for FAR Participants.
Costs for Professional Services undertaken in the performance of the Phase 2 Work by
personnel and entities that do not meet the definition of FAR Participants shall be the actual
direct labor rates multiplied by the number of hours estimated to be worked multiplied by the
Phase 2 Multiplier Rate for Non-FAR Participants.
3. Construction Labor Costs
3.1 General
Construction labor costs will be based on the wages and fringe benefits currently in effect for
each estimated hour the Work is performed by all labor employed in the Work and all foremen in
direct charge of the specific operation. “Fringe benefits” are the actual costs paid to, or on behalf
of, workmen by reason of health and welfare benefits, pension fund benefits, or other benefits,
when such amounts are required by prevailing wage laws or by a collective bargaining
agreement or other employment contracts generally applicable to the classes of labor employed
on the Project.
Construction labor cost will also include the following payroll taxes and legally required
insurances:
(a) Social Security Tax
(b) Medicare Tax

(c) Ohio or Kentucky Workers’ Compensation Premiums

(d) State and Federal Unemployment Insurance
(e) Longshore and Harbor Workers’ Compensation Insurance for work from a barge or ship,
or unloading material from a barge or ship
4. Material Costs
Costs for Material will be included at fair market value at the time of the estimate. Material costs
will include applicable taxes, loading, unloading, freight charges, and storage for Materials the
Contractor uses in the Work.
5. Construction Equipment Costs
Costs for owned or rented Equipment necessary to complete the Work will be included at
established rates given in the Equipment Watch Cost Recovery (formerly Rental Rate Blue
Book), by Equipment Watch, a division of Penton Business Media, Inc. No mark-up will be
applied to Equipment costs.
The Contractor shall perform, if requested by the Department, a buy-rent analysis and the
aggregate rental amounts (exclusive of all installation, maintenance, dismantling, removal,
transportation, and delivery costs) for any one piece of Equipment cannot exceed 80 percent of
the purchase price (at the time it is placed in service) during the rental period of the Equipment
used for this Project. Estimated Equipment costs shall include delivery, installation,
maintenance, consumables (e.g., fuel, oil, lube, tires), dismantling, removal, and transportation,
6. Indirect Costs
Indirect costs will be included at actual estimated costs for bonds, insurance, licenses, permits,
taxes and fees, personnel vehicles, co-located offices, and field offices. No costs that are
covered in other areas will be included in indirect costs. General and administrative costs that
are not specifically attributable to the Project are included in the Project Mark-up and will not be
considered indirect costs.
7. Subcontracted Work
Subject to the Subcontractor Bidding and Selection Plan, costs for subcontracted Work that is
competitively procured will be included at the amount of the selected Subcontractor’s bid.
Costs for subcontracted Work that is not competitively procured will be included in accordance
with this Part C – Basis for Establishing Price. Only one Project Markup will be included,
regardless of the number of tiers.
8. Mobilization
Cost for mobilization will be included at the actual estimated costs for the elements of Work
included in mobilization, but under no circumstances shall the total exceed 2.5 percent of the
Price Proposal for an Early Work Package or the Phase 2 Work.

9. Risk Contingency
Risk contingency cost for those elements of risk that are specifically assigned to the Contractor
will be calculated and included in accordance with PDBC Section 2.6 (Risk Identification, Pricing
and Assignment).

February 17, 2023 Exhibit H: Force Account Provisions
EXHIBIT H: FORCE ACCOUNT PROVISIONS

1. General
The Department may direct the Contractor to perform revised Work including Extra Work under
force account. The Contractor shall submit a written proposal and estimated costs for the Work,
including the planned Equipment, Materials, labor, and a work schedule.
The Department will pay the Contractor as specified in this Exhibit H as full compensation for
performing the force account Work. The markups included in this Exhibit H shall be all-inclusive
and the Contractor shall not be eligible to receive the Project Mark-up for force account Work.
The Contractor and the Department will document the labor and Equipment used on the force
account Work on a Daily Force Account Record. At the end of each Workday, the Contractor
and the Department will compare and sign the Daily Force Account Record. The Department
will make no force account payment before the Contractor submits an itemized statement of the
costs for the applicable force account Work.
The Department will examine and, if found to be acceptable, approve all rates and costs
submitted by the Contractor.
The Contractor shall provide the following content in itemized statements for all force account
Work:
a. Name, classification, date, daily hours, total hours, rate, and amount for all labor.
b. Designation, dates, daily hours, total hours of actual operation and idle time, Blue Book
rate with reference or category, and amount for each unit of Equipment and the
applicable Blue Book hourly operating cost for each unit of Equipment and invoices for
all rental Equipment. The designation includes the manufacturer’s name or trademark,
model number, and year of manufacture.
c. Quantities of materials and prices.
d. Transportation charges on materials, free on board (F.O.B.) at the Project Site.
e. Cost of workers’ compensation insurance premiums, all applicable insurance premiums,
unemployment insurance contributions, and social security tax and fees or dues required
by a collective bargaining agreement. Express each of these items of cost as a
percentage of payroll, except fees or dues, which should be expressed as a cost per
hour.
f. Documentation of the following:
(1) For surveying or design work in accordance with Part 9 (Professional and
Specialized Work) of this Exhibit H the Contractor shall provide:
i. Documentation for all work performed by the Designer and any Subconsultants
that provided services. Documentation shall consist of records of all Actual
Allowable Costs broken down as direct labor charges, indirect costs (overhead),
non-salary direct costs and facilities capital cost of money. In addition, the
Department will pay a profit of 12 percent of the sum of direct labor costs plus
overhead. The Department will not pay an additional percent markup to the
Contractor on these costs.

ii. “Actual Allowable Costs” are incurred costs based on the cost principles and
procedures set forth in Part 31 of the Federal Acquisition Regulation (Codified at
48 CFR Part 31), the State of Ohio Travel Regulations (Ohio Administrative Code
Rule 126-1-02), and the AASHTO Uniform Audit and Accounting Guide, all as
amended from time to time.
(2) For all surveying, professional, or similar specialized Work not normally part of a
Design-Build contract as set forth in Part 9 (Professional and Specialized Work) of
this Exhibit H, the Contractor shall provide documentation showing payment to a firm
hired by the Contractor.
g. If Materials are taken from Contractor’s stock and original receipted invoices for the
materials and transportation charges do not exist, the Contractor shall provide an
affidavit and certify all of the following:
(1) The Materials were taken from the Contractor’s stock.
(2) The quantity shown was actually used for the force account Work.
(3) The price and transportation costs represent the actual cost to the Contractor.
h. Documentation showing payment to trucking firms and owner-operators. The Contractor
shall submit documentation showing owner-operations status. When the trucking is
subject to prevailing wage, the Contractor shall submit payroll and Equipment usage
records according to Parts 1.a, 1.b, and 1.e (General) of this Exhibit H.
i. The Contractor shall provide “receipted invoices” for all costs substantiated by an
invoice.
If only part of the expenditure represented by an invoice is applicable to force account work, or if
the invoice represents expenditure for more than one item of work, clearly indicate the actual
amount of expenditure applicable to each item of work.
2. Labor
The Department will pay the wages and fringe benefits currently in effect for each hour the Work
is performed by all labor employed in the Work and all foremen in direct charge of the specific
operation. The Department will pay an additional 38 percent markup on these wages and
benefits. “Fringe benefits” are the actual costs paid to, or on behalf of, workmen by reason of
health and welfare benefits, pension fund benefits, or other benefits, when such amounts are
required by prevailing wage laws or by a collective bargaining agreement or other employment
contracts generally applicable to the classes of labor employed on the Project.
The Department will pay the actual itemized cost, without markup, of the following payroll taxes
and legally required insurances:
a. Social Security Tax.
b. Medicare Tax.
c. Ohio Workers’ Compensation Premiums.
d. State and Federal Unemployment Insurance.
e. Longshore and Harborworkers’ Compensation Insurance for work from a barge or ship,
or unloading material from a barge or ship.

The Contractor shall provide itemized statements in addition to the documentation requirements
for all labor including the name, classification, date, daily hours, total hours, rate, and amount. If
any person is paid more than the one rate, a separate listing shall be made for that person for
each rate paid. The Contractor shall provide itemized statements for Ohio Workers’
Compensation insurance premiums, all applicable insurance premiums, State and Federal
Unemployment Insurance contributions, and Social Security Tax and fees or dues required by a
collective bargaining agreement. Express each of these items of cost as a percentage of payroll,
except fees or dues, which shall be expressed as a cost per hour.
Instead of itemizing the cost of Social Security Tax, Ohio Workers’ Compensation, and State
and Federal Unemployment Insurance, the Contractor may elect to receive as compensation for
these payroll taxes and premiums, an amount equal to 22 percent of the paid wages. If the
Contractor pays fringes directly to the worker in lieu of paying into a fringe benefit program, then
the Department will treat these fringe payments as paid wages when calculating the allowed 22
percent compensation.
The Department will pay, without markup, the actual itemized cost of fees and dues paid to
labor unions or to business associations when they are based on payroll hours and required by
a collective bargaining agreement.
The Department will not pay for wages or benefits for personnel connected with the Contractor’s
forces above the classification of foreman that have only general supervisory responsibility for
the force account Work.
If the foreman or timekeeper is employed partly on force account Work and partly on other
Work, the Contractor shall prorate the number of hours between the force and non-force
account Work according to the number of people on each task as shown on payrolls.
The Department will pay the prevailing wage and fringe rates that apply to the Project for the
classifications required for Extra Work. The Contractor shall provide payroll records for pay
rates higher than the prevailing wages and establish that the higher than prevailing rates are
paid for original scope of Work excluding the force account Work (the “Original Contract Work”).
The Department will pay for foremen and time keepers not covered by prevailing wages not
more than the salaried rate they receive when engaged in Original Contract Work.
The Department will pay actual costs for subsistence and travel allowances when such
payments are required by the collective bargaining agreement or other employment contracts
applicable to the classes of labor employed on the Project. The Department will not pay a
percent markup on these costs.
3. Materials
The Department will pay the Contractor’s actual invoice costs, including applicable taxes and
actual freight charges, for Department approved materials the Contractor uses in force account
Work. The Department will pay an additional 15 percent markup on these costs.
Freight or hauling costs charged to the Contractor and not included in unit prices shall be
itemized and supported by invoices. The cost of owned or rented Equipment used to haul
materials to the Project Site is not part of the Materials cost. Such Equipment, when used for
hauling Materials, shall be listed under cost of Equipment.

The Contractor shall provide itemized statements in addition to the documentation requirements
for all Equipment including the quantity and price of each Material and transportation charges
free on board (F.O.B.) at the Project Site. Attach invoices to support the quantities of Materials
used, unit prices paid and transportation charges. If the Contractor uses Materials from the
Contractor’s stock and original receipted invoices for the Materials and transportation charges
do not exist, the Department and the Contractor will agree on a price that represents the actual
cost to the Contractor. Provide an affidavit and certify all of the following:
a. The Materials were taken from the Contractor’s stock.
b. The quantity shown was actually used for the force account Work.
c. The price and transportation costs represent the actual cost to the Contractor.
The Contractor shall not incorporate Materials into the Work without a price agreement.
4. Construction Equipment
a. General
The Department will pay the Contractor’s costs for Equipment the Department deems necessary
to perform the force account Work for the time directed by the Department or until the
Contractor completes the force account Work, whichever happens first. The Department will pay
the Contractor the established rates for Equipment only during the hours that it is operated,
except as otherwise allowed elsewhere in the Contract Documents. The Department will pay for
non-operating hours at the idle Equipment rate as specified in Part 4.c (Hourly Idle Equipment
Rate) of this Exhibit H. The Contractor shall report Equipment hours to the nearest 1/2 hour.
The established Equipment rates in this Exhibit H include compensation for overhead and profit
except as otherwise specified.
The Department will pay for use of Contractor-owned Equipment the Department approves for
force account Work at established rates. The Department will pay the rates, as modified in Part
4.b (Hourly Owned Equipment Rates) of this Exhibit H, given in the Equipment Watch Cost
Recovery (formerly Rental Rate Blue Book), by EquipmentWatch, a division of Penton Business
Media, Inc.
The Contractor shall provide, and the Department will confirm, the manufacturer’s ratings and
manufacturer-approved modifications required to classify Equipment for rental rate
determination. For Equipment with no direct power unit, use a unit of at least the minimum
recommended manufacturer’s rating.
The Department will not pay rental for small tools or Equipment that show a daily rate less than
$5.00 or for unlisted Equipment that has a value of less than $400.
Tool trucks will be allowed for compensation if they are used at the location where force account
Work is performed. Only the tools used from the tool truck will be allowed for compensation.
Tools in the tool truck that are not used in the force account Work will not be compensated. A
tool trailer that remains at the Contractor’s office or yard will not be compensated under force
account Work. Tool trailers that are taken to the location where the force account Work is
performed will be allowed for compensation along with the tools used on the force account Work
that we
re taken from the trailer.

Traffic control devices used in Maintenance of Traffic and owned by the Contractor shall be
considered as owned Equipment. Allowed rates for common traffic control devices and concrete
barrier that are not listed in the Blue Book will be as determined by the Department.
The Contractor shall use Department-approved Equipment in good working condition and
providing normal output or production. The Department may reject Equipment not in good
working condition or not properly sized for efficient performance of the Work.
For each piece of Equipment used, whether owned or rented, provide the Department with the
following information:
(1) Manufacturer’s name or trademark.
(2) Equipment type.
(3) Year of manufacture.
(4) Model number.
(5) Type of fuel used.
(6) Horsepower rating.
(7) Attachments required, together with their size or capacity.
(8) All further information necessary to determine the proper rate.
(9) Dates, daily hours, total hours of actual operation and idle time.
(10) Blue Book rate with reference or category.
(11) Amount.
(12) Applicable Blue Book hourly operating cost.
(13) Invoices for all rental Equipment.
b. Hourly Owned Equipment Rates
The base rate for the machine and attachments represents the major cost of Equipment
ownership, such as depreciation, interest, taxes, insurance, storage, and major repairs. The
hourly operating rate represents the major costs of Equipment operation, such as fuel and oil
lubrication, field repairs, tires, expendable parts, and supplies.
For all Equipment used on force account Work, determine, and have the Department confirm,
the hourly owned Equipment rates as follows:
HOER = [RAF  ARA  (R / 176)] + HOC
Where:
• HOER = Hourly owned Equipment rate
• RAF = Regional adjustment factor shown in the Blue Book
• ARA = Age rate adjustment factor shown in the Blue Book
• R = Current Blue Book monthly rate
• HOC = Estimated hourly operating cost shown in the Blue Book
However, compensation for Equipment normally used on a 24 hours per day basis will not
exceed the monthly rate plus adjustments and operating costs.

The rate adjustment factor assigned to any attachment will be the yearly factor as determined
for the base Equipment.
When multiple attachments are included with the rental Equipment, only the attachment having
the highest rental rate will be eligible for payment, provided that the attachment has been
approved by the Department as being necessary to the force account Work.
When a piece of owned Equipment is not listed in the Blue Book, use the rate for similar
Equipment found in the Blue Book or, if no similar Equipment is listed, use 6 percent of the
purchase price as the monthly rate (R) and add the hourly operating rate found in the Blue Book
for similar Equipment of the same horsepower.
For Equipment brought to the Project Site exclusively for force account Work and on the Project
Site for less than a month, multiply the monthly rate (R) by the factor listed in Table H-1 below:
TABLE H-1
Working Hours Factor
Less than or equal to 8.0 2.00
8.1 to 175.9 2.048 - (hours/168)
176 or greater 1.00
The term “Working Hours,” as used in Table H-1, includes only those hours the Equipment is
actually in operation performing force account Work; apply the factor, as determined above, to
these actual working hours only. Calculate compensation for any idle time according to Part 4.c
(Hourly Idle Equipment Rate) of this Exhibit H without application of the factor.
The Department will pay as working Equipment for the entire Workday, Equipment used
intermittently during the Workday. The following criteria qualify for intermittently used
Equipment:
(1) Equipment dedicated to the force account Work exclusively all day and not used on
other Work.
(2) Equipment works before and after the intermittent idle period and its total working time
during the Workday is at least two hours.
Equipment that is captive to the force account Work (i.e. it must remain at the location of the
force account Work), but does not qualify for intermittently used owned Equipment, is paid as
idle Equipment according to Part 4.c (Hourly Idle Equipment Rate) of this Exhibit H for the time it
is not working.
c. Hourly Idle Equipment Rate
For Equipment that is in operational condition, on the Project Site, and necessary for force
account Work, but is idle, the Department will pay an hourly idle Equipment rate. The procedure
to determine the hourly idle Equipment rate for Contractor owned Equipment is as follows:

HIER = RAF  ARA  (R / 176)  (1/2)
Where:
• HIER = Hourly idle Equipment rate.
▪ RAF = Regional adjustment factor shown in the Blue Book.
▪ ARA = Age rate adjustment factor shown in the Blue Book.
▪ R = Current Blue Book monthly rate.
If rented Equipment necessary for force account Work is idle, the Department will pay the
Contractor for the actual invoiced rates prorated for the duration of the idle period. The actual
invoiced rates must be reasonably in line with the Blue Book rates and approved by the
Department. The Department will pay a 15 percent markup for overhead and profit for the actual
invoiced rates during the idle period.
The Department will not pay idle owned Equipment costs for more than eight hours in a 24-hour
day or 40 hours in a week.
The Department will not pay for inoperable Equipment.
The Department may order specific Equipment to the Project Site up to five Days before its
planned usage. If this Equipment is not used for other Work, the Department will pay for it as
idle Equipment until used.
The Department will pay for the cost of idle owned or rented Equipment if the force account
Work is suspended at the Department’s direction. The Department will not pay the cost of idle
Equipment if the force account Work is suspended by the Contractor for the Contractor’s own
reasons.
The Department will only pay for the number of Calendar Days during the existence of a
Department-directed force account Work suspension. The Department will not compensate the
Contractor for days during a Department-instructed suspension of the force account work that
the Department determined were lost to weather.
The Department will only pay for Equipment physically located at the Project Site that was
received to prosecute the scheduled Work during the period of a Department-instructed
suspension of the force account Work.
Compensation for idle Equipment will stop at the completion of the force account Work or at the
end of the suspension of the force account Work.
d. Rented Equipment
The Department will pay a 15 percent markup for overhead and profit for all rented Equipment,
its corresponding Blue Book hourly operating costs, and State and Local sales taxes.
(1) Equipment Rented Solely for Force Account Work
If the Contractor rents or leases Equipment from a third party exclusively for force
account Work, the Department will pay the actual invoiced amount. The actual invoiced
rates must be reasonably in line with the Blue Book and approved by the Department.
The Department will pay a 15 percent markup for overhead and profit for all rented

Equipment paid for by the actual invoices. Add the Blue Book hourly operating cost to
the marked up actual invoiced rates.
(2) Equipment Rented for Original Contract Work, but Used for Force Account Work
If the Contractor uses rented Equipment currently on the Project Site for Original
Contract Work to perform force account Work, then determine the hourly outside-rented
Equipment rate as follows:
HRER = (HRI 115%) + HOC

Where:
• HRER = hourly rented Equipment rate.
• HRI = hourly rental invoice costs prorated for the actual number of hours that rented
Equipment is operated solely on force account Work. Use a monthly invoice rate
divided by 176, a weekly invoice rate divided by 40, or a daily invoice rate divided by
8.
• HOC = hourly operating cost shown in the Blue Book.
The Department will not compensate for rental rates that exceed the Blue Book rates unless
approved in advance of the Work by the Department.
e. Moving of Equipment
The Department will also pay for the time required to move needed Equipment to the location of
the force account Work and to return it to its original location. The Department will pay for
loading and transportation costs instead of moving time if Equipment is moved by means other
than its own power. Moving time back to the original location or loading and transportation costs
will not be allowed if the Equipment is used at the location of the force account Work on contract
items or related Work.
The Department will consider the actual cost of transferring the Equipment to the Project Site
and returning it to the original location as an additional expense and pay for it as specified, for
Equipment moved on the Project Site exclusively for force account Work.
The Department will confirm the original location of the Equipment before the Contractor moves
and uses it for force account Work.
If the Equipment is transported by a common carrier, the allowance is the invoiced amount paid
for the freight plus 15 percent. However, if the Contractor’s forces transport the Equipment, the
allowable compensation will be Blue Book rate of the hauling unit and hourly Blue Book
operating cost plus the driver’s wages and the cost of loading and unloading the Equipment
calculated according to Part 2 (Labor) of this Exhibit H.
5. Foreman’s Transportation
The Department will pay the Blue Book rate for every hour the foreman’s truck is at the location
of the force account Work or moving to or from the Project Site. This rate includes Equipment
cost, fuel and lubricants, overhead, profit, and mobile phone or two-way radios.

6. Subcontract Work
For Work performed by an approved Subcontractor, the Department will pay an amount to cover
administrative costs of 8 percent on the first $10,000 of Work and 5 percent for Work in excess
of $10,000 as provided in Part 2 (Labor) of this Exhibit H through Part 5 (Foreman’s
Transportation) of this Exhibit H. No additional mark-up is allowed for Work of a sub-
subcontractor or trucking services employed by a Subcontractor.
7. Final Adjustment to Premium for Contract Bonds
Not Used.
8. Trucking
a. Trucking firms and owner operators not subject to prevailing wage will be paid at the
invoiced cost plus 8 percent on the first $10,000 of trucking and 5 percent for trucking in
excess of $10,000 to cover administrative costs.
b. Trucking that is subject to the prevailing wage law will be compensated according to the
following parts of this Exhibit H: Part 1 (General), Part 2 (Labor), Part 4 (Construction
Equipment), Part 6 (Subcontract Work), and Part 10 (Payment for Force Account Work).
The Contractor shall provide documentation showing payment to trucking firms and owner-operators
and owner-operations status. When the trucking is subject to prevailing wage, the Contractor shall
submit payroll and Equipment usage records according to Part 2 (Labor) of this Exhibit H and Part 4
(Construction Equipment) of this Exhibit H.
9. Professional and Specialized Work
Professional and specialized Work will be paid for according to the following:
a. The following Work, when performed by the Designer or its subconsultants, is paid as set
forth in Part 1.f (General) of this Exhibit H.
(1) Design costs.
(2) Surveying costs.
b. The following Work, when performed by a firm other than the Designer or its
subconsultants, is paid at the reasonable and fair market invoiced cost plus a 5 percent
markup. The markup is limited to $10,000 for all the Work performed by the firm.
(1) Specialized Work that is not part of the Original Contract Work and is not normally
subject to prevailing wage.
(2) Installation, periodic maintenance, and removal of traffic control devices under
ODOT C&MS Item 614 performed by a traffic control service or rental company,
provided the workers are not on the Project Site full-time. Maintenance of Traffic
services performed by LEO.
(3) Other professional or specialized Work not contemplated at the time of submittal of a
Work Package Proposal.
The Contractor shall provide documentation showing payment for professional and specialized
Work.

10. Payment for Force Account Work
The Contractor shall submit an analysis of estimated cost prepared in accordance with this
Exhibit H for force account Work. Attach an original affidavit to the analysis stating:
“Labor rates shown are the actual rates paid for labor, unit prices for Materials and rates for
owned and rented Equipment have been estimated on the basis they are not in excess of those
charged in the area in which the Work will be performed.”
The Department will process an Estimated Cost of Force Account (ECFA) if the amount of the
force account Work is likely to be greater than $100,000 and is expected to take more than two
weeks to complete. The Department will process an Actual Cost of Force Account (ACFA) to
make any necessary adjustment between the ECFA and the final itemized costs for the force
account Work.
For force account Work estimated to be less than $100,000 and anticipated to require less than
two weeks to perform, the Department will process an Actual Cost of Force Account (ACFA) at
the conclusion of the Work.
The Contractor shall submit biweekly itemized statement of costs prepared from the Daily Force
Account Records to the Department as the Work is being performed. The Department will
process estimates as the force account Work is performed. Payment will only be made upon
receipt of the Contractor’s itemized statement of costs.
Upon conclusion of the Work performed by an ECFA or Work performed by an ACFA the
Contractor shall submit an itemized statement of the actual costs prepared from the Daily Force
Account Record and utilizing the Department’s electronic template titled “Electronic Force
Account.” Submit a compact disk (CD), labeled with the Contractor’s name and the project
number, and a hard copy of the “Electronic Force Account.” The “Electronic Force Account”
template can be downloaded from the following website:
www.dot.state.oh.us/divisions/constructionmgt/admin/pages/default.aspx
The Department may approve an alternative electronic template provided all calculations and
printouts are equivalent to those generated by the “Electronic Force Account” template.
The Contractor shall attach an original affidavit to the hard copy stating:
“The name, classification, total hours worked and rates paid each person listed on the Summary
of Actual Cost are substantiated by actual records of persons employed on the force account
work. All unit prices for Materials and rates for owned and rented Equipment listed on the
Summary of Actual Costs are substantiated by actual records of Materials and Equipment
actually used in performance of the force account Work and the price of any owned Equipment
not previously agreed upon does not exceed prices charged for similar Equipment in the area in
which the Work was performed.”
Daily Force Account Records signed by both the Department and Contractor will govern over
other Department and Contractor records subject to the following:
a. When the Contractor is subject to a Union Contract that requires a minimum number of
paid hours, the compensation will be for the verified contract minimum hours.

b. Material quantity disagreements will be resolved by field measurements of the installed

quantities or the Department’s estimate of the amount of temporary or un-measurable
Material used. The Department may also review and consider the Contractor’s Material
invoices and Material certifications to make the final determination.
In the event the Contractor declines to sign the Daily Force Account Record, the Department’s
records shall govern. Any resulting dispute must be pursued in accordance with PDBC Section
18 (Partnering and Dispute Resolution).

February 17, 2023 Exhibit I: Delay Costs
EXHIBIT I: DELAY COSTS

1. General
If the Department agrees that it has caused a delay, the Department will pay for the costs
specified in this Exhibit I as allowed by PDBC Section 13 (Time Extension to the Completion
Deadlines and Payment for Excusable Delays), unless these costs have been previously paid
as listed in PDBC Section 12.8.1 (Negotiated Prices) or Exhibit H (Force Account Provisions).
Such payment constitutes full compensation for any and all delay costs.
The Department will make no payment for delays occurring during the period from December 1
to April 30 unless the Contractor’s approved progress schedule depicts Work on the Critical
Path occurring throughout this period.
The Department will not pay for delay costs until the Contractor submits an itemized statement
of those costs. Provide the content specified in Exhibit H (Force Account Provisions), for the
applicable items in this statement and as follows:
a. Proof of cost of superintendent, or other project staff salaries, wages, and payroll taxes
and insurance.
b. Proof of cost of office rent, utilities, land rent, and office supplies.
c. Proof of escalated cost for labor and Material.
d. Proof of Material storage costs.
2. Allowable Delay Costs
a. Extended Labor
The Contractor shall compute labor costs during delays as specified in Part 2 (Labor) of
Exhibit H for all non-salaried personnel remaining on the Project as required under
collective bargaining agreements or for other Department-approved reasons.
b. Escalated Labor
To receive payment for escalated labor costs, demonstrate that the Department-caused
delay forced the Work to be performed during a period when labor costs were higher
than planned at the time of Submittal of each Work Package Proposal. Provide adequate
support documentation for the costs, allowances, and benefits specified in Part 2 (Labor)
of Exhibit H. The Department will pay wages and fringes with a 20 percent mark-up to
cover administrative costs.
c. Idle Equipment or Equipment Demobilization
The Department will pay the Contractor according to Part 4.c (Hourly Idle Equipment
Rate) of Exhibit H for idle Equipment, other than small tools, that must remain on the
Project during the delays. The Department will pay the Contractor’s transportation costs
to remove and return Equipment not required on the Project during the delays. No other
Equipment costs are recoverable as a result of delay.

d. Material Escalation or Material Storage
The Department will pay the Contractor for increased Material costs or material storage
costs due to the delay. Obtain the Department’s approval before storing Materials due to
a delay. Payment will be based upon the accepted quantity of Work performed during
the period for which escalated costs have been approved. The Department will pay
increased Material costs with an 8 percent mark-up to cover administrative costs and
any Material waste inherent to the Work.
e. Field Overhead
The Department will pay field overhead costs for the Contractor or any Subcontractor
which include the cost of supervision, field office and office supplies, and utilities for
which payment is not provided for in Part 2.f (Home Office Overhead) of this Exhibit I,
during a delay period provided all of the following criteria are met:
(1) The Contractor has incurred an excusable, compensable delay that delays the Work
at least 10 Days beyond the original Completion Date. These days are cumulative
throughout the Term.
(2) The delay for which payment of field overhead is sought is due to delays defined in
the following numbered subsections of PDBC Section 13.2.2 (Category 2 Events –
Excusable, Compensable Delays):
• 2. (Delays due to utility interference);
• 3. (Delays due to railroad interference);
• 4. (Delays due to a Department-ordered suspension); and
• 9. (Delays due to the neglect of the Department or its failure to act in a timely
manner).
(3) The delay for which payment of field overhead is sought is due to delays due to
revised Work as specified in PDBC Section 12 (Contract Changes).
The Department will pay the salary and fringes plus a 5 percent markup for the field
personnel included as part of the Contract Price build-up that are on the Project Site
during the delay period.
Superintendent’s transportation is compensable at the same rate allowed for foreman’s

transportation in Part 5 (Foreman’s Transportation) of Exhibit H, which includes the cost
of mobile communication devices. The allowed hours are when the superintendent is at
the Project Site.
Superintendent’s subsistence is compensable, provided this is the company’s terms of

compensation to such employees, as documented by the Contractor’s written company
policy or contracts with their employees.
The Contractor’s or Subcontractor’s field office costs include field office trailers, tool
trailers, office Equipment rental, temporary toilets, and other incidental facilities and
supplies. The Contractor shall compute these costs on a Day basis. Owned trailers are
paid at the Blue Book rate. Rented trailers are paid at the invoiced cost plus a 15 percent
markup. Rented office space, toilets, and office Equipment are allowed a 5 percent
markup. Purchased office supplies are allowed a 5 percent markup.

Office utilities include, but are not limited to, telephone, electric, water, and natural gas.
Compute these costs on a Day basis and allow a 5 percent markup.
f. Home Office Overhead
The Department will pay the Contractor for home office overhead, unabsorbed home
office overhead, extended home office overhead, and all other overhead costs for which
payment is not provided for in Part e (Field Overhead) of this Exhibit I, including
overhead costs that would otherwise be calculated using the Eichleay formula or some
other apportionment formula, provided all of the following criteria are met:
(1) The Contractor has incurred an excusable, compensable delay that delays the Work
at least 10 Days beyond the original Completion Deadline. These days are
cumulative throughout the Project.
(2) The delay for which payment of home office overhead is sought is only due to delays
defined in the following numbered subsections of PDBC Section 13.2.2 (Category 2
Events – Excusable, Compensable Delays):
• 2. (Delays due to utility interference);
• 3. (Delays due to railroad interference);
• 4. (Delays due to a Department-ordered suspension); and
• 9. (Delays due to the neglect of the Department or its failure to act in a timely
manner).
Any Subcontractor that has approved C-92’s for subcontracted work totaling
$10,000,000 or more is eligible for reimbursement of home office overhead provided the
criteria set forth in Part f, subsections (1) and (2) (Home Office Overhead) of this Exhibit
I are met.
Payment will be made for every eligible day beyond the original Completion Date at the
rate determined by Part f , Sub-part () (Home Office Overhead Daily Rate) of this Exhibit
I.
Payment for eligible days occurring during an unanticipated construction period will be
calculated in accordance with this Part f, Sub-part (ii) (Home Office Overhead Payment
for an Unanticipated Construction Period) of this Exhibit I.
Payment for eligible days occurring during an unanticipated winter period will be
calculated in accordance with this Part f, Sub-part (iii) (Home Office Overhead Payment
for an Unanticipated Winter Period) of this Exhibit I.
(i) Home Office Overhead Daily Rate
Calculate the home office overhead daily rate using the following formula:
Daily HOOP = (A × C)/B
Where:
• A = Original Contract Price
• B = Contract duration in Days

• C = 0.02
• Daily HOOP = Home office overhead daily rate
Contract duration term, B, includes every Day from the execution of the Phase 2
Change Order, to the original Contract Completion Date.
When the Contractor requests home office overhead compensation for a

Subcontractor, use the above formula to calculate the Subcontractor’s Daily HOOP;
however, in the Subcontractor calculation, A is equal to the Subcontractor’s portion
of the original Contract Price as determined by the sum of all approved C-92’s issued
for the subcontracted Work.
(ii) Home Office Overhead Payment for an Unanticipated Construction Period
Calculate the home office overhead payment for an unanticipated construction period
occurring between May 1 and November 30 using the following formula:
CP HOOP = Daily HOOP × D
Where:
• D = Sum of all excusable, compensable delays in Days minus the sum (in
Days) of all delays due to following numbered subsections of PDBC Section
13.2.2 (Category 2 Events – Excusable, Compensable Delays):
o 1. (Delays due to Revised Work); and
o 8. (Delays due to acts of the government or political subdivisions other
than the Department).
• Daily HOOP = Daily home office overhead rate.
• CP HOOP = Home office overhead payment for an unanticipated
construction period occurring between May 1 and November 30.
The excusable, compensable delay term, D, is the additional, unanticipated extended

period for Work performed between May 1 and November 30 in Days.
(iii) Home Office Overhead Payment for an Unanticipated Winter Period
The Contractor shall calculate the payment for home office overhead for an
unanticipated winter period occurring between December 1 and April 30 using the
following formula:
WP HOOP = Daily HOOP × F × D/E
Where:
• D = Sum of all excusable, compensable delays in Days minus the sum (in
Days) of all delays due to following numbered subsections of PDBC Section
13.2.2 (Category 2 Events – Excusable, Compensable Delays):
o 1. (Delays due to Revised Work); and
o 8. (Delays due to acts of the government or political subdivisions other
than the Department).

• E = Sum of all excusable, compensable delays in Days plus the sum of all
excusable, non-compensable delays in Days.
• F = 151 for a non-leap year or 152 for a leap year.
• Daily HOOP = Daily home office overhead rate.
• WP HOOP = Home office overhead payment for an unanticipated winter
period occurring between December 1 and April 30.
Payment for Home Office Overhead for an unanticipated winter period will not be
made when the value of the remaining Work is below the lesser of $500,000.00 or 10
percent of the estimated final Contract Price.
(iv) Total Home Office Overhead Payment
The Contractor shall calculate the total home office overhead payment using the
following formula:
Total HOOP = CP HOOP + WP HOOP
Where:
• CP HOOP = Home office overhead payment for an unanticipated
construction period occurring between May 1 and November 30
• WP HOOP = Home office overhead payment for an unanticipated winter
period occurring between December 1 and April 30
• Total HOOP = Total home office overhead payment
g. Subsistence and Travel Allowance
The Department will pay costs for subsistence and travel allowances for labor that must
remain on the Project Site during the delays, when such payments are required by the
collective bargaining agreement or other employment contracts applicable to the classes
of labor employed on the project. Overnight lodging will be reimbursed if the person is at
a location greater than forty-five miles from their residence up to a maximum of $106 per
day. Meals and incidental expenses will be reimbursed up to a maximum of $56 per day.
The Department will not pay a percent markup on these costs.

February 17, 2023 Exhibit J: Unit Pricing Provisions
EXHIBIT J: UNIT PRICING PROVISIONS

1. General
The provisions in this Exhibit J shall apply to any Contract Items in a Work Package that are to
be compensated under unit prices.
For items in a Work Package with unit prices (if any), the Department will measure the
quantities of Work and calculate payments based on the method of measurement and basis of
payment provisions provided in the ODOT C&MS or KYTC SS. When the following units of
measure are specified, the Department will measure quantities as described below unless
otherwise specified in the Contract Documents. The accuracy of individual pay item Estimate
payments will be one decimal more accurate than the unit of measure denoted for the pay item.
The Department will monitor the quantities of Work and may verify invoice requests based on
the method of measurement and basis of payment provisions provided in these Specifications.
When the following units of measure are specified, the Department will monitor quantities as
described below in Ohio unless otherwise specified in the Contract Documents. In Kentucky
follow the SS.
Lump Sum. Not measured. Describes payment as reimbursement for all resources necessary
to complete the Work. When a complete structure or structural unit is specified as the unit of
measurement, the unit will include all necessary fittings and accessories.
Each. Measured by the number of individual items of Work completed.
Foot (Meter). Measured parallel to the longitudinal base or foundation upon which items are
placed, or along the longitudinal surface of the item. Measured vertically to the nearest 0.1 foot
(0.01 m), with a minimum vertical measurement of 1 foot (0.10 m), at each unit.
Square Yard or Square Foot (Square Meter). Measured by a two-dimensional area method on
the surface of the item.
M Square Feet. One thousand square feet.
Cubic Yard (Cubic Meter). Measured by a three-dimensional volume method. Measure all
“loose material” or material “measured in the vehicle” by the cubic yard (cubic meter). Haul
material “measured in the vehicle” in approved vehicles and measure in the vehicle at the point
of delivery. For this purpose, use approved vehicles of any type or size satisfactory to the
Department, provided the vehicle’s bed is of such type that the actual contents are readily and
accurately determined. Unless all approved vehicles on a job are of uniform capacity, each
approved vehicle must bear a legible identification mark indicating the specific approved
capacity. The Inspector may reject all loads not hauled in such approved vehicles.
Cubic Yard (Cubic Meter) for Asphalt Concrete. Measure as specified in C&MS 401.21.
Acre (Hectare). Measured by a two-dimensional area method on the surface to the nearest 0.1
acre (0.05 ha).
Pound (Kilogram). Measured by actual item net weight avoirdupois (mass).

Ton (Metric Ton). The term “ton” means the short ton consisting of 2000 pounds avoirdupois.
The term “metric ton” means 1000 kilograms. Weigh all materials that are proportioned by
weight on accurate and approved scales that are operated by competent, qualified personnel at
locations approved by the Department. However, car weights will not be acceptable for
Materials to be passed through mixing plants. If trucks are used to haul Material being paid for
by weight, weigh the empty truck at least once daily and as the Department directs and only if
the weight of the truck is used in determining the ticket weight. Place a plainly legible
identification mark on each truck bearing the weight of the truck.
For Work on a tonnage basis, file with the Department receipted freight bills for railroad
shipments and certified weight-bills when Materials are received by any other method, showing
the actual tonnage used. For Work on a volume basis, itemize evidence of the volume used.
Gallon (Liter). Measured by actual item liquid volume. The Department will measure the
following materials by the gallon (liter) at the following temperatures:
Temperatures Items
Creosote for Priming Coat, Creosote Oil, Creosote

60 °F (16 °C) Solutions for Timber Preservatives, Asphalt Primer for
Water-proofing, and Liquefier
RC, MC Asphalt Emulsions, CBAE, Primer 20, and
100 °F (38 °C)
Primer 100
300 °F (149 °C) Asphalt Binder
Measure tank car outage of asphalt material at its destination before any material has been
removed from the tank car according to Supplement 1060.
Convert the net weight of asphalt material shipments to gallons (liters) at the specified pay
temperature according to Supplement 1060.
Convert the gallons (liters) at the measured temperature to gallons (liters) of asphalt material at
the specified pay temperature according to Supplement 1060.
M Gallon. One thousand gallons.
Thousand Board Feet, MBF (Cubic Meter). Measure timber by MBF (cubic meter) actually
incorporated in the structure. Base the measurement on nominal widths, thicknesses, and the
extreme length of each piece.
Standard Manufactured Items. When standard manufactured items are specified such as
fence, wire, plates, rolled shapes, pipe conduit, etc., and these items are identified by size, unit
weight, section dimensions, etc., such identification will be to nominal weights or dimensions set
by the industry.
2. Significant Changes in the Character of the Work (Unit Priced Items)
For Work that is priced using unit priced Contract Items, the Department may increase or
decrease unit priced item quantities and may alter the Work as necessary to complete the
Project. The Department will make appropriate adjustments according to PDBC Section 12.7.2

(Significant Change in the Character of the Work), if such alterations significantly change the
character of the Work.
If the Contractor disagrees as to whether an alteration constitutes a significant change, the

Contractor shall use the notification procedures specified in PDBC Section 18 (Partnering and
Dispute Resolution).
For unit priced items the term “significant change” is defined as follows:
1. When the character of the Work as altered differs materially in kind or nature from that
involved or included in the Contract Documents; or
2. When the product of the quantity in excess of the estimated quantity of a unit priced
Contract Item and the unit price exceeds $100,000.
A quantity underrun is defined as follows:

a. The estimated quantity of a unit priced Contract Item exceeds four units;
b. The decrease in quantity of any unit priced Contract Item exceeds 25 percent of the
estimated quantity; and
c. The total of all such adjustments for all unit priced Contract Items is more than $400.
After the determination of final quantities for unit priced Contract Items, the Department will
adjust the unit prices for the affected unit priced Contract Item by multiplying the unit price by
the factor obtained from Table J-1.
TABLE J-1
% Decrease Factor % Decrease Factor
25 1.08 57 1.33
26 to 27 1.09 58 1.35
28 to 29 1.10 59 1.36
30 to 31 1.11 60 1.38
32 to 33 1.12 61 1.39
34 to 35 1.13 62 1.41
36 1.14 63 1.43
37 to 38 1.15 64 1.44
39 1.16 65 1.46
40 to 41 1.17 66 1.49
42 1.18 67 1.51
43 1.19 68 1.53
44 to 45 1.20 69 1.56

% Decrease Factor % Decrease Factor
46 1.21 70 1.58
47 1.22 71 1.61
48 1.23 72 1.64
49 1.24 73 1.68
50 1.25 74 1.71
51 1.26 75 1.75
52 1.27 76 1.79
53 1.28 77 1.84
54 1.29 78 1.89
55 1.31 79 1.94
56 1.32 80 and over 2.00
When a change does not qualify as a significant change or a quantity underrun, the change is
considered a minor change. The Department will pay for minor changes in the Work at the
applicable unit price for the Contract Item. Table J-1 is not applicable to Lump Sum Contract
Items.
3. Eliminated Items
The Department may partially or completely eliminate Contract Items, or may eliminate portions
of the Work described in the Base Design.
The Department will only make an adjustment to compensate the Contractor for the reasonable
cost incurred in preparation to perform significantly changed Work according to the provisions in
this Exhibit J for significant changes in the character of the Work as defined in Part 2 (Significant
Changes in the Character of the Work (Unit Priced Items)) or Work completely eliminated prior
to the date of the Department’s written order to significantly change or completely eliminate the
Work. The adjustment will be determined according to the provisions in this Exhibit J under the
provisions of Part 4 (Compensation for Altered Quantities) and PDBC Section 12 (Contract
Changes). Such payment will not exceed the price of the Contract Item.
The Department will not seek a savings for maintaining traffic, Mobilization, and construction
layout stakes items for eliminated Contract Items, unless there is a significant change.
4. Compensation for Altered Quantities
If the quantities of unit priced items vary from the quantities in the Contract, the Department will
make payment at the original Contract unit prices for the agreed quantities of Work.
A. If a portion of the Work is eliminated in accordance with Part 3 (Eliminated Items) or the
contract is terminated in accordance with PDBC Section 21 (Termination for

Convenience) the Department will pay the following in addition to that provided by Part 2
(Significant Changes in the Character of the Work (Unit Priced Items)):
1. Restocking charges supported by paid invoices and an additional 5 percent markup
on the compensation for overhead and profit.
2. The cost of Material transferred to the Department or a local government agency in
lieu of restocking or disposal. The allowed compensation is the paid invoice cost plus
15 percent markup, but no more than the unit bid price for the reference number
involved.
3. Hauling costs, if not included in restocking charges, for returned Material and for
Material delivered to the Department.

February 17, 2023 Exhibit K: Form of Payment and Performance Bonds
EXHIBIT K: FORM OF PAYMENT AND PERFORMANCE

BONDS
[Insert here the Form of Payment and Performance Bonds as referred to in PDBC Section 23
(Security for Performance And Warranties)]

February 17, 2023 Exhibit L: Disadvantaged Business Enterprise (DBE)
Performance Plan and Good Faith Efforts
EXHIBIT L: DISADVANTAGED BUSINESS ENTERPRISE

(DBE) PERFORMANCE PLAN AND GOOD FAITH EFFORTS
DBE PERFORMANCE PLAN
The DBE Performance Plan included with the Offeror’s Proposal submitted in response to the
ITO provided initial percentages for use during Phase 1. An updated DBE Performance Plan
shall be submitted by the Contractor to the Department at the execution of the Contract (Sub-
Phase 1A) and each Change Order for Sub-Phase 1B, Early Work Packages, and Phase 2. The
DBE Performance Plan shall set forth specific information demonstrating how the Contractor will
achieve the DBE goal. By submitting a DBE Performance Plan, the Contractor is affirming that
they will be using the DBE firms identified in the Performance Plan to meet the DBE contract
goal.
The DBE Performance Plan shall include the following information:

1. The names and addresses of the certified DBE firm(s) committed;
2. A description of the work that each DBE will perform. To count toward meeting a goal,
each DBE firm must be certified in a NAICS code applicable to the kind of work the firm
would perform on the contract;
3. Whether the DBE firm(s) being used to meet the goal will be utilized as a subcontractor,
regular dealer, manufacturer, consultant or other capacity;
4. The dollar amount of the participation of each DBE firm used to meet the DBE goal;
5. Written documentation of the bidder/offeror’s commitment to use a DBE subcontractor
whose participation it submits to meet a contract goal; and
6. Written confirmation from each listed DBE firm that it is participating in the contract in the
kind and amount of work provided in the prime contractor’s commitment.
DBE AFFIRMATION
The DBT shall ensure the DBE firms being utilized to meet the DBE goal affirm their
participation in the Project prior to submittal of any Work Package Proposal. The contract dollar
amount(s) and/or DBE firm(s) included in the DBT’s DBE Performance Plan must match the
contract dollar amount(s) and/or DBE firm(s) included on the DBE Affirmation Form(s). If the
contract dollar amount(s) and/or DBE firm(s) do not match, the DBT shall utilize the Request to
Terminate/Substitute DBE Form located at
http://Transportation.ohio.gov/Divisions/ODI/SDBE/Pages/Resources.aspx and submit for
review and approval by the Office of Small & Disadvantaged Business Enterprise within five (5)
calendar days of the Work Package Proposal submittal.
The DBT shall utilize the DBE Affirmation Form located at

http://Transportation.ohio.gov/Divisions/ODI/SDBE/Pages/Resources.aspx.The DBE Affirmation
Form will be utilized as written confirmation from each listed DBE firm that it is participating in
the contract in the kind and amount of work provided in the DBT’s DBE Performance Plan. The
DBT shall submit a separate DBE Affirmation Form for each DBE it is utilizing for the DBE goal
and their Good Faith Efforts package if they were not able to attain the DBE Goal via DBE
participation.

In the event a DBE firm fails to confirm the information contained in the DBE Affirmation Form
within five calendar days of Work Package Proposal submittal, the DBT shall submit a Request
to Terminate/Substitute DBE Form, as set forth herein. The Request to Terminate/Substitute
DBE Form shall be submitted within five (5) calendar days after Work Package Proposal
submittal. The DBT shall include as its reason for termination the DBE firm’s failure to provide a
timely affirmation and should include all efforts the DBT made to obtain the affirmation from the
DBE firm and shall attach proof of these efforts, if available. If the DBT intends to replace the
DBE Firm, it shall include the replacement firm’s information on the form. In the event the DBT
is unable to affirm a DBE firm included in its original DBE Performance Plan at Work Package
Proposal submission and it results in a goal shortfall, Good Faith Efforts (GFE’s) must be
submitted by the fifth calendar day after Work Package Proposal submittal. All GFE
documentation submitted for consideration should demonstrate the efforts the DBT made prior
to the time of Work Package Proposal submission to secure sufficient DBE participation on the
project to meet the DBE goal although the DBT was unable to do so. A DBE firm’s failure to
timely confirm information contained in the DBE Affirmation Form will be considered as good
cause to terminate the DBE firm and will also be considered a part of the Contractor’s Good
Faith Efforts in meeting the goal.
GOOD FAITH EFFORTS (GFE’s)
In the event that the DBE contract goal established by ODOT is not met, the DBT shall
demonstrate that it made adequate good faith efforts to meet the goal, even though it did not
succeed in obtaining enough DBE participation to do so.
If the DBT does not meet the goal at Work Package Proposal submittal, the DBT shall submit its
Good Faith Efforts (GFE’s) documentation within five (5) calendar days of Work Package
Proposal submittal. Submission of DBE Affirmation(s) with additional participation sufficient to
the meet the DBE contract goal does not cure the DBT’s failure to meet the goal at bid time or
eliminate the DBT’s responsibility of submitting GFE’s within five (5) calendar days of the Work
Package Proposal submittal.
The DBT shall demonstrate its GFE’s by submitting the following information within five (5)
calendar days after the Work Package Proposal submittal:
1. All written quotes received from certified DBE firms;
2. All written (including email) communications between the Contractor and DBE firms;
3. All written solicitations to DBE firms, even if unsuccessful;
4. Copies of each non-DBE quote when a non-DBE was selected over a DBE for work on
the contract; and
5. Phone logs of communications with DBE firms.
The DBT shall utilize the Pre-Bid GFE Template to document their GFE’s. This template and
supporting documentation shall be sent along with any DBE Affirmation Forms within five (5)
calendar days of Work Package Proposal submittal. ODOT has provided Good Faith Efforts
Guidance located at:
http://www.dot.state.oh.us/Divisions/ODI/SDBE/DBE%20Goal%20Forms/Contractors%20Good
%20Faith%20Efforts%20Guidelines.pdf.

All other Contractors shall submit documentation of GFE’s if notified that the information is
required in order for ODOT to complete its bid assessment. Contractors shall have five (5)
calendar days from the date of notification to submit all required GFE documentation.
Notification will be by phone or email.
ODOT shall utilize the guidance set forth in 49 CFR §26.53 Appendix A in determining whether
the DBT has made adequate good faith efforts to meet the goal.
ADMINISTRATIVE RECONSIDERATION
ODOT will review the GFE documentation and issue a written determination on whether
adequate GFE’s have been demonstrated prior to contract award. If ODOT determines that the
DBT has failed to demonstrate adequate GFE’s to meet the goal, the DBT will have an
opportunity for administrative reconsideration prior to the contract being awarded.
As part of this reconsideration, the DBT may provide written documentation or argument
concerning the issue of whether it met the goal or made adequate good faith efforts to do so.
Such written documentation or argument must be provided to ODOT, attention to the Office of
Chief Legal Counsel, 1980 West Broad Street, MS 1500, Columbus, Ohio 43223 (with copy to
the Office of Contract Sales, MS 4110), within two (2) business days of ODOT’s written
determination that GFE’s were not adequately demonstrated. The DBT may also include in their
written documentation a request for an in person meeting to discuss the issue of whether it met
the goal or made adequate good faith efforts to do so. ODOT’s Office of Chief Legal Counsel
will respond to the Contractor within five (5) business days of receiving written documentation or
holding the in-person meeting.
ODOT will send the DBT a written decision on reconsideration explaining the basis for finding
that the DBT did or did not meet the goal or make adequate good faith efforts to do so. The
result of the reconsideration process is not administratively appealable to the United States
Department of Transportation.
TERMINATION OR REPLACEMENT OF A DBE
By submitting a DBE Performance Plan, the DBT is committing to use the DBE firms identified
in the plan. The DBT shall utilize the specific DBEs listed in the DBE Performance Plan to
perform the Work and supply the Materials for which each is listed unless the DBT obtains
written consent as provided in this paragraph. In order to request termination or substitution of a
DBE firm, the DBT shall utilize the Request to Terminate/Substitute DBE Form located at
http://Transportation.ohio.gov/Divisions/ODI/SDBE/Pages/Resources.aspx.
This termination/replacement procedure applies only to DBE firms or the amount of work being
utilized to meet the goal.
Without ODOT’s written consent to terminate/replace a DBE firm being utilized to meet the goal,
the Contractor shall not be entitled to any payment for DBE listed work or material unless it is
performed or supplied by the listed DBE.
GOOD CAUSE
ODOT may provide written consent to terminate a DBE only if it agrees, for reasons stated in a
concurrence document, that the DBT has good cause to terminate the DBE firm.

For purposes of this paragraph, good cause to terminate a DBE includes the following
circumstances:
1. The listed DBE firm fails or refuses to provide the required DBE Affirmation Form or to
execute a written contract;
2. The listed DBE firm fails or refuses to perform the work of its subcontract in a manner
consistent with normal industry standards. Provided, however, that good cause does not
exist if the failure or refusal of the DBE firm to perform its work on the subcontract results
from the bad faith or discriminatory action of the awarded contractor;
3. The listed DBE firm fails or refuses to meet the awarded contractor's reasonable,
nondiscriminatory bond requirements;
4. The listed DBE firm becomes bankrupt, insolvent, or exhibits credit unworthiness;
5. The listed DBE firm is ineligible to work on public works projects because of suspension
and debarment proceedings pursuant 2 CFR Parts 180, 215 and 1200 or applicable
state law;
6. ODOT has determined that the listed DBE firm is not a responsible contractor;
7. The listed DBE firm voluntarily withdraws from the project and provides to you written
notice of its withdrawal;
8. The listed DBE is ineligible to receive DBE credit for the type of work required;
9. A DBE owner dies or becomes disabled with the result that the listed DBE contractor is
unable to complete its work on the contract; and
10. Other documented good cause that ODOT determines compels the termination of the
DBE firm. Provided, that good cause does not exist if the awarded contractor seeks to
terminate a DBE it relied upon to obtain the contract so that the awarded contractor can
self-perform the work for which the DBE contractor was engaged or so that the awarded
contractor can substitute another DBE or non-DBE contractor after contract award.
REPLACEMENT
When a DBE firm is terminated or fails to complete its work on the contract for any reason the
DBT must make GFEs to find another DBE firm to replace the original DBE. These GFEs shall
be directed at finding another DBE to perform at least the same amount of work under the
contract as the DBE that was terminated, to the extent needed to meet the contract goal. The
GFEs shall be documented by the DBT. If ODOT requests documentation under this provision,
the DBT shall submit the documentation within seven (7) calendar days, which may be
extended for an additional seven (7) calendar days if necessary at the request of the contractor,
and ODOT shall provide a written determination to the contractor stating whether GFEs have
been demonstrated.
ADDITION
In the event additional DBE participation is required beyond the originally approved DBE
Performance Plan for each Phase, the DBT shall utilize the DBE Affirmation Form located at
http://Transportation.ohio.gov/Divisions/ODI/SDBE/Pages/Resources.aspx.The executed DBE
Affirmation Form will be utilized as written confirmation from each DBE firm that it is participating

in the contract in the kind and amount of work on the project and shall be submitted with the
monthly DBE Performance Plan.
WRITTEN NOTICE TO DBE
Before transmitting to ODOT its request to terminate and/or substitute a DBE firm, the DBT
must give notice in writing to the DBE firm, with a copy to ODOT, of its intent to request to
terminate and/or substitute, and the reason(s) for the request.
The DBT must give the DBE five calendar days to respond to the notice, advising ODOT and
the DBT of the reasons, if any, why it objects to the proposed termination of its subcontract and
why ODOT should not approve the DBT's action. If required in a particular case as a matter of
public necessity (e.g., safety), ODOT may provide a response period shorter than five days.
GOAL ATTAINMENT POST AWARD
The DBT shall make available upon request a copy of all DBE subcontracts. The DBT shall
ensure that all subcontracts or agreements with DBEs require that the subcontract and all lower
tier subcontractors be performed in accordance with this Exhibit L.
Approval of a DBE Performance Plan does not ensure approval of C-92 Requests to Sublet nor
does approval of a DBE Performance Plan indicate that the DBE goal has been met. ODOT will
monitor goal attainment throughout the life of the project. It is the responsibility of the DBT to
advise ODOT of any changes to the DBE Performance plan throughout the life of the project.
The DBE goal of a project is stated as a percentage of the contract. In the event the contract
amount increases or decreases, the actual dollar amount of the DBE goal for the project may
increase or decrease accordingly.
SANCTIONS AND ADMINISTRATIVE REMEDIES
POST-BID
Failure by the DBT to carry out the requirements of this Exhibit L, including the submission of
adequate good faith efforts to meet the goal for a project, is a material breach of the contract
and may result in the issuance of sanctions as follows:
• 1st Tier: Letter of Reprimand.
• 2nd Tier: Damages equivalent to the DBE shortfall.
• 3rd Tier: If a pattern of paying damages persists or the DBT has falsified,
misrepresented or withheld information, ODOT can pursue other remedies available by
law including suspension, revocation, and/or debarment.
Factors to be considered in issuing sanctions may include, but are not limited to the following:
• The magnitude and the type of offense.
• The degree of the DBT’s culpability.
• Any steps taken to rectify.
• The DBT’s record of performance on other projects including, but not limited to:
o Annual DBE participation;

o Annual DBE participation on projects without goals;

o The number of complaints ODOT has received regarding the DBT; and
o The number of times the DBT has been previously sanctioned by ODOT.

February 17, 2023 Exhibit M: Disadvantaged Business Enterprise (DBE) Trucking;
DBE Materials and Supplies Vendors (MSVs)
EXHIBIT M: DISADVANTAGED BUSINESS ENTERPRISE

TRUCKING; DBE MATERIALS AND SUPPLIES VENDORS
(MSVS)
COUNTING DBE TRUCKING TOWARDS DBE CONTRACT GOALS
The DBT may meet a Disadvantaged Business Enterprise (DBE) contract goal using DBE
trucking firms, but only when such firms perform a commercially useful function (CUF). The DBT
must not include a DBE trucking firm on its DBE Performance Plan if it is aware that the firm will
not be performing a CUF. Even if a DBE trucking firm will be performing a CUF, the dollar
amount of trucking services it provides may not be fully countable towards the DBE contract
goal. When including a DBE trucking firm that will be performing a CUF on its DBE Performance
Plan, the DBT must only include the portion of the dollar amount of which it is aware will count
towards the DBE contract goal.
The DBT is responsible for performing any Good Faith Efforts (GFEs) that may be necessary if
it includes, in good faith, a DBE trucking firm on its DBE Performance Plan and the DBT
becomes aware (or is made aware) that the DBE trucking firm is not performing a CUF or that
the trucking services provided by the DBE trucking firm are not countable to the extent
previously believed.
A DBE trucking firm performs a CUF only when:

• It provided the DBT with a quote. The DBE trucking firm must be given the opportunity to
negotiate its rates.
• It is responsible for the management and supervision of its entire trucking operation,
including any valid arrangement(s) (as described below) in which its services are
countable towards the DBE contract goal. The extent of the DBE trucking firm’s
management and supervision are considered on a case-by-case basis. The existence of
a contract between the Awarded DBT and the DBE trucking firm is not in and of itself an
indicator that the DBE trucking firm is performing a CUF, especially if the contract exists
for the mere purpose of creating the appearance of DBE participation.
• It must own and operate at least one fully licensed, properly insured, and operational
truck used on the contract.
When a DBE trucking firm performs a CUF, the dollar amount of trucking services it provides
counts towards the DBE contract goal only in instances meeting at least one of the following
criteria:
• It provides trucking services using trucks it owns, properly insures, and operates using
drivers it employs (i.e., that are not 1099 “employees”/independent contractors).
It provides trucking services with trucks that are leased on a long-term basis (i.e., one year or
more) from a non-DBE truck leasing company, properly insured, and operated by drivers it
employs.
The dollar amount of trucking services provided using leased trucks will only be countable in
cases where all the following circumstances apply:

• The DBE trucking firm’s lease indicates that the DBE trucking firm has exclusive use of
and control over the leased truck(s), including responsibility for maintenance and
insurance. This does not preclude the leased truck(s) from working for others during the
term of the lease with the DBE trucking firm’s consent, as long as the lease gives the
DBE trucking firm absolute priority for use of the leased truck(s).
• The leased trucks display the DBE trucking firm’s name and federal identification
number.
• The leased truck(s), when onsite, carry a copy of the lease agreement.
DBE TRUCKING DISCLOSURE AFFIDAVITS
In order to ensure the DBT is monitoring DBE trucking/hauling operations on projects with
federal funding, the DBT must complete monthly DBE Trucking Disclosure Affidavits
(“Affidavits”). An Affidavit must be completed for all DBE trucking/hauling operations, regardless
of whether the work is counting towards a DBE contract goal. The Affidavit will be completed by
the DBT and emailed to the designated Compliance Officer (CO) by the 10th of each month.
This information will be used to affirm DBE and non-DBE trucking utilized by each DBE firm
performing those duties during the previous month.
ODOT will monitor trucking with the following requirements for all ODOT-let projects:
1. The DBT will be required to provide a master list of trucks for all anticipated DBE
trucking firms to the CO within seven days of executing the changed order for Phase 2 of
the contract.
Note: If no DBE trucking is anticipated on a project, the DBT will complete the “No
Anticipated DBE Trucking Affidavit” and submit it to the CO within seven days of the
execution of the change order for Phase 2 of the contract. If DBE trucking/hauling does
occur, the DBT must notify the CO within seven days of the DBE trucking activity. The
DBT will then complete the monthly Affidavits as required below.
2. The CO will email the Affidavit to the DBT, along with the Pre-Construction
documentation. The DBT will be required to complete the Affidavit disclosing the DBE
trucking operations during the previous month. The Prime will return the Affidavit by the
10th day of each month (if the 10th day falls on a weekend, the deadline moves to the
following Monday).
They will select one of the following options on the Affidavit:

• The DBE firm performed trucking by utilizing their own Equipment and workforce and/or
work was subcontracted to another DBE (i.e. only trucking that can be counted for DBE
participation was utilized).
Note: No other information is required. The DBT will sign and submit the Affidavit.
• The DBE firm utilized DBE & Non-DBE trucking.
Note: DBT will provide a list of Non-DBE trucking that was utilized (i.e., not all trucking
will earn DBE credit).
• No trucking was performed.
Note: No other information is required. The DBT will sign and submit the Affidavit.

3. Trucking will continue to be monitored at project sites by construction field staff and the
COs.
Failure by the DBT to follow the DBE Trucking Disclosure Affidavit requirements may result in
the issuance of sanctions as follows:
• 1st Level Occurrence: The Administrator for the Office of Civil Rights Compliance, under
the Division of Opportunity, Diversity & Inclusion (ODI), will issue a Letter of Reprimand
to the DBT (applies if there is a failure to submit the Affidavits and/or the Affidavits are
not submitted timely; if the DBT completes the No Anticipated DBE Trucking Affidavit,
utilizes DBE trucking and does not notify the CO within seven days of the activity).
• 2nd Level Occurrence: ODI may withhold an estimate in the amount due to the DBE
trucking firm(s) that the Affidavit was not submitted for (applies if there is a failure to
submit the Affidavits and/or the Affidavits are not submitted timely; if the DBT completes
the No Anticipated DBE Trucking Affidavit, utilizes DBE trucking and does not notify the
CO within seven days of the activity).
• 3rd Level Occurrence: If a pattern of not submitting the Affidavit(s) persists or the DBT
has falsified, misrepresented or withheld information, ODOT can pursue other remedies
available by law including suspension, revocation, and/or debarment.
• The DBT’s past project practices;
• The magnitude and the type of offense;
• The degree of the DBT’s culpability;
• Any steps taken to rectify;
• The DBT’s record of performance on other projects; and
• The number of times the DBT has been previously sanctioned by ODOT.
COUNTING MATERIALS AND SUPPLIES PURCHASES FROM DBE MATERIALS AND

SUPPLIES VENDORS (MSVS)
The DBE MSV Directory is available within the Ohio Unified DBE Directory at
http://www.dot.state.oh.us/Divisions/ODI/SDBE/Pages/DBE-Directory.aspx (select MSV only).
The DBT may meet a Disadvantaged Business Enterprise (DBE) contract goal using DBE
MSVs. The dollar amount of materials or supplies purchased from a DBE MSV will usually not
be fully countable towards the DBE contract goal. When including a DBE MSV on its DBE
Performance Plan, the DBT must only include the portion of the dollar amount of which it is
aware will count towards the DBE contract goal.
The DBT is responsible for performing any Good Faith Efforts (GFEs) that may be necessary if
it includes, in good faith, a DBE MSV on its DBE Performance Plan and the DBT becomes
aware (or is made aware) that the materials or supplies purchased from the DBE MSV are not
countable to the extent previously believed.

The DBT must seek information from DBE MSVs to allow it to be sufficiently informed about the
nature of the transaction and which scenario listed below applies. The DBT must document this
information on the DBE Affirmation Form:
https://www.transportation.ohio.gov/wps/portal/gov/odot/programs/business-economic-
opportunity/dbe/dbe-resources/pn-013-affirmation)
BE MSV COUNTING SCENARIOS

• The purchase price of materials and supplies obtained from a DBE MSV may be fully
countable only if the DBE MSV:
o Manufactures the item(s), as indicated by the information provided by the DBE MSV
(subject to verification by the Department). A manufacturer DBE MSV is a firm that
operates or maintains a factory or establishment that produces, on the premises, the
materials, supplies, articles, or Equipment required under the contract and of the
general character described by the specifications;
o Is certified in the correct (manufacturer) NAICS code(s) for the item(s); and
o Is certified in the correct MSV descriptor(s) for the item(s), if its manufacturing facility
is located in Ohio.
• The purchase price of materials and supplies obtained from a DBE MSV may be
countable at 60 percent only if the DBE MSV:
o Does not manufacture the item(s);
o Owns, operates, or maintains a store, warehouse, or other establishment in which
item(s) of the general character described by the specifications and required under
the contract are bought, kept in stock, and regularly sold or leased to the public in the
usual course of business, as indicated by the information provided by the DBE MSV
(subject to verification by the Department) (See below for an exception to this
requirement for items that are considered bulk items.);
o Is an established, regular business that engages, as its principal business and under
its own name, in the purchase and sale or lease of the item(s);
o Is certified in the correct (wholesale or retail) NAICS code(s) for the item(s);
o Is certified in the correct MSV descriptor(s) for the item(s), if its
store/warehouse/other establishment is located in Ohio; and
o Does not drop-ship the item(s).
• The purchase price of materials and supplies that are considered bulk items (petroleum
products, steel, cement, gravel, stone, asphalt, and others that ODOT may consider to
be bulk items) and are obtained from a DBE MSV may be countable at 60 percent only if
the DBE MSV:
o Delivers the item(s) using distribution Equipment that it both owns (or for which it has
a long-term (one year or more) lease) and operates with its regular (not ad hoc)
employees, as indicated by the information provided by the DBE MSV (subject to
verification by the Department);
o Is an established, regular business that engages, as its principal business and under
its own name, in the purchase and sale of the item(s);

o Is certified in the correct (wholesale or retail) NAICS code(s) for the item(s);
o Is certified in the correct MSV descriptor(s) for the item(s), if located in Ohio;
o Is certified in the correct trucking NAICS code(s); and
o Does not drop-ship the item(s).
• The purchase price of materials and supplies obtained from a DBE MSV but not in
accordance with any of the above scenarios is not countable, but the fees or
commissions charged by the DBE MSV are countable if the DBE MSV:
o Is certified in NAICS code 425120 Wholesale Trade Agents and Brokers; and
o Convincingly explains how the Selected/Awarded DBT benefits by transacting
business with it rather than directly with the non-DBE vendor from which the DBE
MSV is re-selling.
All credit toward DBE goals is conditional. Actual credit will be determined based upon invoices,
receipts, and/or transportation documents/bills of lading, which must be submitted to ODOT as
they are received throughout the course of the project.

February 17, 2023 Exhibit N: Contract Provisions for Federal Aid Construction Contracts
EXHIBIT N: CONTRACT PROVISIONS FOR FEDERAL AID

CONSTRUCTION CONTRACTS
[This Exhibit N is based on PN 015]
The required contract provisions for federal-aid construction contracts (contained in Form
FHWA 1273 revised July 2022 and located here) are hereby incorporated by reference as if
rewritten herein. Form FHWA-1273 shall be physically incorporated in all contracts,
subcontracts and lower-tier subcontracts (excluding purchase orders, rental agreements and
other agreement for supplies or services related to a construction contract). The Contractor shall
be responsible for ensuring that the FHWA-1273 is physically incorporated into all lower-tier
subcontracts.
Failure by the Contractor to include the provisions of FHWA-1273 in their contract or in their
lower-tier subcontracts may result in the issuance of sanctions as follows:
• 1st Tier: Letter of Reprimand.
• 2nd Tier: Damages equivalent to the daily liquidated damages amount found in C&MS
Section 108.07 for each incident of non-compliance.
• 3rd Tier: If a pattern of paying damages persists or the Contractor has falsified,
misrepresented or withheld information, ODOT can pursue other remedies available by
law including suspension, revocation, and/or debarment.
• The degree of the Contractor’s culpability;
• The Contractor’s record of performance on other projects; and
• The number of times the Contractor has been previously sanctioned by ODOT.

February 17, 2023 Exhibit O: Notice of Requirement of Affirmative Action to Ensure
Equal Employment Opportunity and Workforce Diversity Requirements
on all ODOT Administered Federally Funded Projects
EXHIBIT O: NOTICE OF REQUIREMENT OF AFFIRMATIVE

ACTION TO ENSURE EQUAL OPPORTUNITY AND
WORKFORCE DIVERSITY REQUIREMENTS ON ALL ODOT
ADMINISTERED FEDERALLY FUNDED PROJECTS
The DBT’s attention is called to the affirmative action obligations required by the specifications
set forth in 23 CFR Part 230, 41 CFR Part 60, Executive Order 11246, Section 503, and the
affirmative action provisions of Vietnam Era Veterans' Readjustment Assistance Act (VEVRAA)
of 1974.
Workforce Utilization Goals
Utilization goals applicable to the project, expressed in percentages, for minority and female
participation for each construction craft can be found in the Technical Requirements. These
goals are based on 2020 census data and represent the area, per craft, minority and female
availability pool.
• Census Availability Percentages for minority and female workers by craft per county
(applicable to project):
o http://www.dot.state.oh.us/Divisions/ContractAdmin/Contracts/Construction/CensusF
orAllCounties.xlsx.
o http://www.dot.state.oh.us/Divisions/ContractAdmin/Contracts/Construction/CensusF
orAllCounties.pdf.
• Statewide utilization obligations/ goals for minority workers by county (applicable to
each project).
• Statewide utilization obligation/ goal for female workers is 6.9 percent and applies the
same for each county.
• Source: US Department of Labor’s, Office of Federal Contract Compliance Programs,
Technical Assistance Guide for Construction Contractors (pp. 126 – 127).
o Construction Contractors Technical Assistance Guide (dol.gov).
067 Cincinnati, OH:
SMSA Counties:
1640 Cincinnati, OH-KY-IN_________________________________________________ 11.0
IN Dearborn; KY Boone; KY Campbell; KY Kenton; OH Clermont; OH Hamilton; OH Warren.
3200 Hamilton - Middletown, OH _______________________________________ 5.0
OH Butler.
Non-SMSA Counties ______________________________________________________ 9.2
IN Franklin; IN Ohio; IN Ripley; IN Switzerland; KY Bracken; KY Carroll;
KY Fleming; KY Gallatin; KY Grant; KY Lewis; KY Mason; KY Owen;

KY Pendleton; KY Robertson; OH Adams; OH Brown; OH Clinton; OH Highland.
068 Dayton, OH:
SMSA Counties:
2000 Dayton, OH ________________________________________________ 11.5
OH Greene; ON Miami; OH Montgomery; OH Preble.
7960 Springfield, OH______________________________________________ 7.8
OH Champaign; OH Clark.
Non-SMSA Counties _________________________________________________ 9.9
OH Darke; OH Logan; ON Shelby.
The New Hire Definition for the purposes of on-the-job training and workforce utilization
is as follows:
An individual who has a break in service (not on an employer’s payroll) for a period of 12
months or longer and the person affected is not a salaried employee but belongs to a union
craft. Individuals compensated for training or incidental work which does not cause a break in
unemployment compensation, i.e., paid by voucher check or petty cash, are considered new
hires if the individual’s break in service is 12 months or longer.
The time frame for a new hire shall be associated with the first project worked for the DBT
regardless of whether it is public or private. When reporting a newly hired employee, the DBT
shall identify that employee as a new hire on that specific project only. Subsequent work,
barring a break in service of 12 months or more, would not qualify the employee as a new hire
for the DBT.
Compliance: The DBT's compliance shall be based on the implementation of affirmative action
obligations required by the specifications set forth in 23 CFR Part 230, and its good faith efforts
to meet these obligations. The hours of minority and female employment and training must be
substantially uniform throughout the length of the contract, and in each trade, and the DBT shall
make a good faith effort to employ minorities and females on its project. The transfer of minority
or female employees or trainees from Contractor to Contractor or from project to project for the
sole purpose of meeting the affirmative action obligations shall be a violation of the contract and
regulations in 23 CFR Part 230. The good faith efforts put forth by the DBT will be measured
against the total work hours performed.
Under FHWA, ODOT is the authority tasked with ensuring that the DBT adheres to the
aforementioned regulations. In addition to complying with the Required Contract Provisions, the
DBT shall provide immediate written notification to ODOT when referral practices of the union(s)
with which the DBT has a collective bargaining agreement impede the company's efforts to
meet its equal opportunity obligations.

The U.S. Department of Labor, Office of Federal Contract Compliance Programs (OFCCP),
administers and enforces equal employment opportunity laws that apply to Federal government
contractors and subcontractors supplying goods and services, including construction, to the
Federal Government under 41 CFR Part 60, Executive Order 11246, Section 503, and the
affirmative action provisions of VEVRAA. The OFCCP monitors compliance with these laws
primarily through compliance evaluations, during which a compliance officer examines the
contractor's affirmative action efforts and employment practices. Under Executive Order 11246,
the OFCCP may perform contract compliance reviews on contractors involved with federally
funded ODOT projects.
Requirements for affirmative action obligations governing OFCCP contract compliance reviews
are those listed in the Federal Register for the Economic Area.
Federal Register :: Government Contractors, Affirmative Action Requirements (2000).
Federal Register :: RIN 1250-AA10 (2020 updates).
Additional requirements for ODOT projects with state funding
The Ohio Department of Development (ODOD), Minority Business Division, is responsible for
ensuring state contractors implement and adhere to the State of Ohio’s affirmative action
program pursuant to Ohio Administrative Code (OAC) 123: Chapters 123:2-3-01 through 123:2-
3-07. Specifically, this unit’s responsibilities includes the issuance of certificates of compliance
under ORC 9.47 and 153.08, conducting project site visits, and compliance reviews (desk
audits) to ensure contractors utilize minorities and women in the construction trades, and
maintain a working environment free of discrimination, harassment, and intimidation. The ODOD
may perform contract compliance reviews on contractors involved with state or state assisted
projects. Requirements for affirmative action obligations governing ODOD contract compliance
reviews are those listed in OAC 123:2-3-02, for the Metropolitan Statistical Area in which a
project is located.
The DBT and all subcontractors regardless on the number of employees or the state
contract amount are required to submit monthly utilization reports (Input Form 29) to the
Ohio Department of Development covering the contractor’s total workforce within the
state of Ohio (private sector and public sector projects). The reports must be filed
electronically by the 10th of each month, beginning with the contract award and
continuing until the DBT or subcontractor completes performance of the contract, as set
forth in OAC 123:2-9-01.
I-29 monthly reports must be submitted via the Ohio Business Gateway portal:
https://ohio.gov/wps/portal/gov/site/business/resources/ohio-business-gateway / Ohio
Business Gateway | Ohio.gov | Official Website of the State of Ohio.
Steps to Submit the I-29 Form:
1. Visit Ohio Business Gateway

2. Log in using username and password (OH|ID)
3. Ensure "Equal Opportunity Division" is among available service areas
4. Ensure "Input 29" is among available transactions

5. Select "Input 29" and complete the form
6. Click "File" button on the Summary page to see a confirmation page
7. Submit supporting documentation (if required) to: [email protected]
I-29 reports are used by ODOT to create monthly utilization work hour reports to monitor
adherence to on-the-job training requirements and workforce diversity requirements. The DBT
and all subcontractors shall provide monthly utilization work hour reports for the DBT's or
subcontractor's total workforce within the state of Ohio to the compliance officer of the
contracting agency (ODOT). The DBT's or subcontractor's failure to submit a monthly utilization
work hour report shall be a basis for invoking any of the sanctions set forth in rule 123:2-7-01 of
the Ohio Administrative Code.
Federal Workforce Diversity Requirements
Affirmative Action and Equal Employment Opportunity requirements apply to federal

transportation projects over $10,000 (41 CFR 60-4 and Executive Order 11246). As a part of
these requirements, there are workforce goals for female and minority workers. There is a
statewide goal of 6.9 percent for female workers on all projects over $10,000 and the goal for
minority workers varies by county. (See availability and goal information in links on page 1). The
DBT is required to meet the workforce diversity goals by the end of the project.
ODOT will monitor the progress toward meeting these goals throughout the life of the project.
The totality of the project workforce hours (including the various trades utilized) must be met
and complied with by the DBT and all subcontractors. ODOT will monitor compliance utilizing an
agreed upon process that meets the following requirements:
1) Present quarterly reports showing the percentage of female and minority workers hired
by the DBT and Subcontractors on the project;
2) If female and/or minority workforce goals at not being met, the DBT must demonstrate
Good Faith Efforts were made to meet the goal. Good Faith Efforts must be submitted
within 30 days of Substantial Completion. for approval.
3) The Department will determine whether the Good Faith Efforts are acceptable within 10
days of receiving the checklist from the DBT and will inform the DBT of the decision.

February 17, 2023 Exhibit P: On-the-Job Training Program
EXHIBIT P: ON-THE-JOB TRAINING PROGRAM

The primary objective of the OJT Program is to offer equal opportunity for the training and
upgrading of minorities, women, and disadvantaged persons toward journeyperson status in the
highway construction trades, and to establish a plentiful and well diverse pool of skilled workers
for the highway construction industry.
The DBT shall adhere to all requirements of the OJT Program as set forth in the most recent
version of the ODOT On the Job Training Program Plan located at the link below, and
incorporated in its entirety herein by reference.
http://www.dot.state.oh.us/Divisions/ODI/SDBE/OJTDocs/OJT%20Program%20Plan.pdf

February 17, 2023 Exhibit Q: Prompt Payment: ODOT Let Construction Projects
EXHIBIT Q: PROMPT PAYMENT – ODOT LET

CONSTRUCTION PROJECTS
Prompt payment requirements apply to the Department and, by extension, the Contractor and
Subcontractors (including DBEs and non-DBEs and including traditional Subcontractors as well
as Material Suppliers and trucking firms, collectively referred to herein as Subcontractors). The
State of Ohio’s laws related to prompt payment are published in Ohio Revised Code (ORC)
4113.61. ORC 4113.61 applies to all contracts. The DBT must comply with this Exhibit Q, ORC
4113.61, Section 8.7 (Affiliate Subcontracts) of the PDBC and, for contracts with U.S.
Department of Transportation financial assistance (i.e., federally-funded contracts), Title 49,
Part 26, Section 29 of the Code of Federal Regulations (CFR) (i.e., 49 CFR 26.29).
The Department monitors the payments made by the Contractor and Subcontractors for
compliance with this Exhibit Q, ORC 4113.61, Section 8.10 (Prompt Payment) of the PDBC and,
for federally funded contracts, 49 CFR 26.29. To facilitate this monitoring, the Department
requires the Contractor to report their remitted payments to specified Subcontractors, and
Subcontractors to report their remitted payments to specified lower-tier Subcontractors, as
follows.
• The Contractor must report remitted payments to subcontractors (DBE and non-DBE),
suppliers (DBE only, unless the supplier sublets to a lower-tier DBE firm), and trucking
firms (DBE only, unless the trucking firm sublets to a lower-tier DBE firm) (collectively,
Subcontractors).
• Subcontractors must report remitted payments to lower-tier subcontractors (DBE and

non-DBE), suppliers (DBE only), and trucking firms (DBE only) (collectively, “Lower-tier
Subcontractors”).
The Contractor must report remitted payments to Subcontractors within 10 calendar days of
each payment it receives from the Department. Each Subcontractor must report remitted
payments to Lower-tier Subcontractors within 10 calendar days of receipt of each payment
received from the Contractor. Payers must report return of retainage (and/or other amounts
withheld) within 10 calendar days of release to the payee.
The payer (whether Prime Contractor or Subcontractor) must report the following information:
1.) The name of the payee;
2.) The dollar amount of the payment to the payee;
3.) The date the payee was paid; and
4.) The retainage or other amount withheld (if any), and the reason for the withholding (if
other than for retainage).
Payment reporting(s) must be both gross (i.e., the amount owed without factoring in retainage
and/or other amounts being withheld) and net. The payer must report its return of retainage
(and/or other amounts withheld) in separate, standalone payment entries (i.e., without being
commingled with a payment for work performed or materials supplied).

Payees must verify each payment reported by a payer within 10 calendar days of the payment
being reported by the payer. This verification includes whether the payment was received, and if
so, whether it was as expected or not.
The Contractor must include the above prompt payment and reporting requirements in all
Subcontractor (DBE and non-DBE), supplier (DBE only, unless the supplier sublets to a lower-
tier DBE firm), and trucking firm (DBE only, unless the trucking firm sublets to a lower-tier DBE
firm) agreements that it enters into and further require that all such subcontractors include the
same prompt payment and reporting obligation in their lower-tier Subcontractor (DBE and non-
DBE), supplier (DBE only), and trucking firm (DBE only) agreements.
Note: Payments made to non-DBE suppliers and trucking firms need not be reported. However,
as required in C&MS 107.21 and in accordance with ORC 4113.61, contractors are required to
make payment to each subcontractor and supplier within 10 calendar days after receipt of
payment from the Department for work performed or materials delivered or incorporated into the
project—this requirement includes non-DBE suppliers and trucking firms. If a contractor does
not comply with this requirement, penalties in accordance with ORC 4113.61 may apply.
SUGGESTED SUB AGREEMENT LANGUAGE – FEDERAL-AID CONTRACTS
Suggested language for the federal-aid Contractor to include in its subcontractor agreements:
As a Subcontractor, supplier* and/or trucking firm*, you (the payee) must verify receipt of
payments from the Contractor. You must verify each payment within 10 calendar days of the
payment being reported by the Contractor. This verification includes whether the payment
was received, and if so, whether it was as expected or not. Furthermore, you must report
payments to your lower-tier Subcontractors (DBE and non-DBE), suppliers (DBE only), and
trucking firms (DBE only). The payment data reported must include any retainage (and/or
other amounts) withheld and any previously withheld amounts released. You must report
payments within 10 calendar days of receipt of each payment received from the Contractor.
You must also report return of retainage (and/or other amounts withheld) within 10 calendar
days of release to the payee. Your payees must then verify each payment reported by you
(the payer) within 10 calendar days of the payment being reported. Your lower-tier
Subcontractor (DBE and non-DBE), supplier (DBE only), and trucking firm (DBE only) sub
agreements must include this prompt payment and reporting obligation.
Suggested language for the subcontractor to include in its lower-tier sub agreements:
As a lower-tier subcontractor (DBE or non-DBE), supplier (except non-DBE) and/or trucking
firm (except non-DBE), you (the payee) must verify receipt of payments from the payer (i.e.,
the maker of this sub agreement with you). Payees must verify each payment reported by
the payer within 10 days of the payment being reported. This verification includes whether
the payment was received, and if so, whether it was as expected or not.

PROMPT PAYMENT
Failure by the Contractor to follow Prompt Payment requirements may result in the issuance of
sanctions listed below. The Contractor may also receive the below sanctions if any of their
Subcontractors fail to follow Prompt Payment requirements.
• 1st Level Occurrence: The Department will issue a Letter of Reprimand to the Contractor
(applies if there is a failure to report payments and/or failure to timely pay
subcontractor(s)).
• 2nd Level Occurrence: The Department may withhold an estimate in the amount due to
the subcontractor(s) that was not reported or paid (applies if there is a failure to report
payments and/or failure to timely pay subcontractor(s)).
o If a Contractor receives a 1st Level Occurrence reprimand for a project, all
subsequent Prompt Payment violations on that project (same or different
subcontractor) may result in withholding. In this situation, no 1st Level Occurrence
reprimand letters will be sent.
• 3rd Level Occurrence: The Contractor may be required to pay interest in the amount of
18 percent per annum of the payment due, beginning on the eleventh day following the
receipt of payment from the owner and ending on the date of full payment of the
payment due plus interest (applies if a pattern of not paying subcontractor(s) persists or
the Contractor has falsified, misrepresented or withheld information, ODOT can pursue
other remedies available by law including suspension, revocation and/or debarment).
• The Contractor’s past project practices;
RETURN OF RETAINAGE
Failure by the Contractor to follow Return of Retainage requirements may result in the issuance of
sanctions listed below. The Contractor may also receive the below sanctions if any of their
Subcontractors fail to follow Return of Retainage requirements.
• 1st Level Occurrence: The Department will issue a Letter of Reprimand to the Contractor
(applies if there is a failure to report retainage being held and/or failure to timely return
retainage).
• 2nd Level Occurrence: The Department may withhold an estimate in the amount of
retainage due to the subcontractor(s) (applies if there is a failure to report retainage
being held and/or failure to timely return retainage).

o If a Contractor receives a 1st Level Occurrence reprimand for a project, all

subsequent Return of Retainage violations on that project (same or different
subcontractor) may result in withholding. In this situation, no 1st Level Occurrence
reprimand letters will be sent.
o Repeat Occurrences: Continued non-compliance is a material breach of contract and
will be treated as such. The Department can pursue other remedies available by law
including suspension, revocation and/or debarment.
• The Contractor’s past project practices;

February 17, 2023 Exhibit R: Facilitated Partnering
EXHIBIT R: FACILITATED PARTNERING

This Exhibit R supplements the partnering process as provided in the Technical Requirements
Section 2.2 (Project Meetings). If any term here conflicts with a term in the partnering process
provided in the Technical Requirements, the term provided in the Technical Requirements shall
control.
A. Facilitated Partnering
The type of partnering required on this project is Facilitated Partnering. The Parties shall select
a partnering facilitator from the ODOT prequalified list located on the Division of Construction
Management’s Partnering website:
http://www.dot.state.oh.us/Divisions/ConstructionMgt/Pages/Partnering.aspx.
B. Initial Partnering Session
Every attempt shall be made to hold an Initial Partnering Session prior to beginning the Work
and separately from the Preconstruction Meeting. This session shall be no later than one month
after the Preconstruction Meeting. With reference to the applicable provisions of the Technical
Requirements, identify and invite all Stakeholders necessary to make the Project successful
including utility companies, other transportation entities (i.e., railroads), community leaders, all
Project participants including Subcontractors. The Parties shall develop the Partnering agenda
with the Department and facilitator before holding the Initial Partnering Session.
During the Initial Partnering Session the Parties will collaborate to:
1. Develop Partnering teams consisting of Department and Contractor senior personnel
and Project personnel.
2. Identify and develop a consensus on Project Goals consistent with the contractual
obligations, including specific goals concerning safety, quality, schedule, and budget.
3. Decide on how the teams will measure progress on Project Goals.
4. Identify any potential risks to the project’s success, mitigation strategies and an
implementation plan for appropriate strategies.
5. Define key issues, project concerns, joint expectations, roles of key partnership leaders,
lines of decision making authority, and share relevant information to help determine the
scope of the Partnering efforts.
6. Identify any opportunities for Project enhancement, enhancement strategies, and a
specific action plan for implementing strategies.
7. Develop a communication protocol to enhance communication on the Project.
8. Develop an issue identification and resolution process that identifies and attempts to
resolve issues at the level closest to the Work. The issue identification and resolution
process will develop all the necessary steps for issue elevation as contemplated under
Section 18.2.4 (Step 1: Mitigation and On-Site Determination) of the PDBC.
C. Partnering Update Sessions
Hold quarterly Partnering update sessions, unless the frequency is otherwise determined by the
Parties, to maintain open communication and evaluate the Partnering relationship on the
Project. Identify Partnering successes and possible areas of improvement. Identify and invite all

February 17, 2023 Exhibit R: Facilitated Partnering
stakeholders necessary to make the session successful including utility companies, other
transportation entities (i.e., railroads), community leaders, all project participants including
subcontractors.
D. Partnering Monitoring
Monitor the progress of the Partnering relationship based on the goals decided during the Initial
Partnering Session. On-line surveys of project participants will be used to monitor goals
progress and help identify issues as they arise. The Contractor shall complete the survey prior
to every Partnering Update Session and determine with the Department and facilitator whether
more frequent evaluations are necessary. The on-line surveys will be consistent with the
Department’s Partnering Project Rating Form which is located on the Division of Construction
Management’s Partnering website:
http://www.dot.state.oh.us/Divisions/ConstructionMgt/Pages/Partnering.aspx.
E. Compensation
1. Submission for Compensation. The facilitator shall submit to the Contractor actual
invoice costs.
2. Facilitator Compensation. After review and verification by the Contractor and
Department of the facilitator’s submission for compensation, the Contractor shall pay the
facilitator the fees earned.
3. Contractor Reimbursement. The Department and the Contractor shall bear the costs and
expenses of the facilitator and venue equally.
The facilitator chosen by the Department and the Contractor shall be compensated at a
maximum rate of $3,500 for the Initial Partnering Session. The facilitator shall be compensated
at a maximum rate of $1,500 for the Partnering Update Sessions.
The maximum session rates above shall be considered full compensation for venue cost, on-
site time, travel expenses, transportation, lodging, and incidentals, or portion thereof that the
facilitator is at an authorized meeting.
F. Basis of Payment
The Department will furnish the following item with an amount in the Proposal:
Item Unit Description
Special Lump Sum Department’s Share Facilitated Partnering Costs
The fixed amount shown in the Proposal is included in the Total Bid Amount. This fixed amount
is 50 percent of the Department’s estimate of the total cost of all Partnering Update Sessions
and facilitator expenses
The payments due will be deducted from the item. If the Department’s costs of the Facilitated
Partnering item exceed the fixed amount, the Department will continue to pay its share of the
actual invoice costs of the item by processing a change order.
The Department will not pay a percent mark-up on these costs. The Department will make
partial payments according to C&MS 109.09. This item is exempt from the non-performance
table found in C&MS 104.02.

February 17, 2023 Exhibit S: Lane Value Contract
EXHIBIT S: LANE VALUE CONTRACT

Payment deductions shall be assessed for certain Lane Closures during Phase 2 in accordance
with the Phase 2 Change Order or Early Work Change Order and this Exhibit S.
A. Non-Chargeable Lane Closures and Chargeable Lane Closures
A “Non-Chargeable Lane Closure” is: (i) a Lane Closure for which the minimum number of lanes
and movements to be maintained during the Construction Work are observed, as described in
Section E (Minimum Number of Lanes and Allowable Lane and Roadway Closures) below, or
(ii) a Lane Closure required due to Incidents or Emergencies that are not attributable to, could
not have been avoided by or are not exacerbated by the actions of the Contractor, and only to
the extent necessary to remediate the Incident or Emergency. No Payment deductions /
disincentives shall be assessed for a Non-Chargeable Lane Closure.
A “Chargeable Lane Closure” is any Lane Closure that is not a Non-Chargeable Lane Closure,
regardless of whether the Department has approved the Lane Closure.
B. General Requirements for Lane Closures
Except for Lane Closures required due to Incidents or Emergencies, advance written notice of
any Lane Closure must be provided to the Department as provided in the Contract Documents.
Except for Lane Closures required due to Incidents or Emergencies, all Lane Closures shall be
pursuant to a TCP submitted to the Department for approval 10 Days in advance of the Lane
Closure.
Lane Closures shall comply with the approved Traffic Management Plan and an approved TCP.
No Lane Closure will be permitted unless the Contractor can demonstrate that the Lane Closure
will provide clear benefit to the progress of the Work. When simultaneous requests for traffic
control are received from the Contractor, adjacent projects, and/or Government Entities, the
Department will give priority to the closure request submitted first. For Lane Closures on a non-
Department controlled facility, the Contractor shall obtain approval from the applicable
Government Entity in addition to approval from the Department. The Contractor shall coordinate
Lane Closures that may affect crossing Department facilities with appropriate Department
Project staff, as needed, to ensure that no conflicts occur.
The Contractor shall consider the safety of workers and the traveling public as the primary factor
when determining the appropriate time to implement a Lane Closure.
C. Unauthorized Lane Use Disincentives
The Contractor shall be assessed a payment disincentive as designated in Table S-1 (Payment
Disincentives for Unauthorized Lane Use Closures) for each unit of time a Critical Lane/Ramp is
closed by the Contractor’s action while not otherwise permitted by the Contract Documents. The
payment disincentive will be for any Lane Closures caused by the Contractor during times and
locations not specifically permitted by the Contract Documents.
Unauthorized Lane Use Payment disincentives shall be assessed for (i) Full Roadway Closures,
or (ii) Lane Closures that result in less than the minimum number of lanes that must be
maintained as described in Section D (Lane Value Disincentives) and that occur during a

Holiday, a Special Event, or the Peak Period. For purposes of this Exhibit S, a “Full Roadway
Closure” means a Lane Closure that has no lanes or shoulders available to traffic in one or both
directions of travel. The disincentives for Unauthorized Lane Use Closures are set forth below in
Table S-1 (Payment Disincentives for Unauthorized Lane Use Closures) for the applicable
number of lanes that are closed below the minimum number of lanes required to be kept open
set forth in Section E (Minimum Number of Lanes and Allowable Lane and Roadway Closures).
TABLE S-1: PAYMENT DISINCENTIVES FOR UNAUTHORIZED LANE USE CLOSURES
Full Roadway Lane Closure resulting in less than
Closure minimum number of Lanes
Roadway Type Holiday Periods/

Peak Period
Disincentive $ per Special Events
minute Disincentive $ per
Disincentive $ per
minute per lane
minute per lane
Mainline $1,150 $385 $385
Number of Critical Ramp $1,150 $385 $385

Lanes closed
Crossing Street $420 $140 $140
D. Lane Value Disincentives
The Contractor shall be assessed disincentive as designated in Table S-2 (Lane Value Contract
Table) below for each unit of time the described Critical Lane/Ramp is restricted from full use by
the traveling public within the restricted time period. The payment disincentives will be assessed
for all restrictions of Critical Work defined as having the designated sections open to
unrestricted traffic as shown in the table, or the entire Project if not otherwise listed.
Unrestricted traffic is defined as all traffic lanes being available for use with specified striping
and safety features in place.
The disincentives for Lane Value Closures are set forth below in in Table S-2 (Lane Value
Contract Table) for the applicable number of lanes that are closed below the minimum number
of lanes required to be kept open as set forth in Section E (Minimum Number of Lanes and
Allowable Lane and Roadway Closures) of this Exhibit S.

TABLE S-2: LANE VALUE CONTRACT TABLE

Off-peak period Off-peak period
15 2
Restricted Time
Facility Type Disincentive Disincentive $
Period
$per minute per per minute per
lane lane
Mainline $385 $577

Number of Critical
Lanes closed
Ramp $385 $577
(repeat as needed
for each scenario)
Crossing Street $140 $210
E. Minimum Number of Lanes and Allowable Lane and Roadway Closures
The minimum number of lanes and movements to be maintained after issuance of Construction
NTP are listed below. [Insert minimum requirements].
F. Crossing Streets
[Describe any special requirements for crossing streets].
G. Holidays
The following are “Holidays” for the purpose of this Exhibit S. The Department has the right,
without liability, to lengthen, shorten, or otherwise modify these Holidays as actual, or expected,
traffic conditions may warrant.
• New Year’s Eve and New Year’s Day (12:00pm on December 31 through 10:00pm on
January 1).
• Easter Holiday Weekend (12:00pm on Friday through 10:00pm on Sunday).
• Memorial Day Weekend (12:00pm on Friday through 10:00pm on Monday).
• Independence Day (12:00pm on July 3 through 12:00pm on July 5).
• Labor Day Weekend (12:00pm on Friday through 10:00pm on Monday).
• Thanksgiving Holiday (12:00pm on Wednesday through 10:00pm on Sunday).
• Christmas Day (12:00pm on December 24 through 10:00pm on December 25).
• Total Solar Eclipse per ODOT Traffic Engineering Manual Section 642-6.
• Major events (to be defined in the Phase 2 Change Order).
5Definitions of the peak period during which during which Unauthorized Lane Use payment deductions
shall apply and the off-peak period(s) during which Lane Value payment deductions shall apply will be
based upon impacts to traffic determined in accordance with the findings of the conceptual MOT Plan.

February 17, 2023 Exhibit T: Critical Path Method Progress Schedule
EXHIBIT T: CRITICAL PATH METHOD PROGRESS

SCHEDULE
1.1 Section Includes
• 1.2 General
• 1.3 Quality Assurance
• 1.4 Interim, Phase 1, and Phase 2 Baseline Schedule Requirements
• 1.5 Monthly Progress Update Schedules
• 1.6 Buildable Unit Phase Submission Schedules
• 1.7 Revision and Delay Schedules
• 1.8 Weather Delay Schedules
• 1.9 Recovery Schedules
• 1.10 Float
• 1.11 Progress Schedule
• 1.12 As Built Schedule and Documentation
• 1.13 Other Schedule Submittal Requirements
1.2 General
The Contractor shall plan and schedule the project and report progress to the Department. The
Contractor shall provide the schedule using the Critical Path Method (CPM). The Contractor
shall utilize Primavera P6 software. The Department’s acceptance of any schedule, whether
interim, baseline, update or revised, shall not modify the Contract Documents nor constitute
endorsement or validation by Department of the Contractor’s logic, activity durations nor
assumptions in creating the schedule. By accepting the schedule, the Department does not
guarantee that the Project can be performed or completed as scheduled.
Schedules shall represent a practical plan to design, procure, construct, and complete the Work
within the applicable Milestone Deadlines and shall convey Contractor’s intent in the manner of
prosecution and progress of the Work. The submittal of schedules shall be understood to be the
Contractor’s representation that the schedule meets the requirements of the Contract
Documents and that the Work will be executed in the sequence and duration indicated in the
schedule.
1.3 Quality Assurance
A. Scheduler: Contractor's personnel or Specialist Consultant specializing in CPM
scheduling with five years minimum experience in scheduling construction work of
complexity comparable to this Project, and having use of computer facilities capable of
delivering detailed graphic printouts and electronic files within 48 hours of request. The
Contractor shall designate a Schedule Representative at the post award kick off meeting
who shall be responsible for coordinating with the Department and its representatives
during the preparation and maintenance of the schedule.

1.4 Interim, Phase 1, and Phase 2 Baseline Schedule Requirements

1.4.1 Interim Baseline and Baseline Schedules
A. Definitions:
1. Baseline Schedule: The Baseline represents the contractor’s intended plan for
prosecuting the Work depicted in the contract documents. The baseline is the
reference to which actual progress, delays, and/or acceleration will be compared.
The baseline is intended to be the schedule used to plan, organize, and execute the
Work, record and report actual performance and progress, aid to evaluate time
extensions, and show how the Contractor plans to complete all remaining Work as of
the end of each progress reporting period, and to enable Department to monitor,
compute the value of progress payments and evaluate Work progress.
2. Interim Baseline Schedule: The Interim Baseline Schedule represents the Sub-
Phase 1A Work of the contractor’s intended plan for prosecuting the work depicted in
the contract documents. The Interim Baseline Schedule acts as a short term
planning and schedule monitoring tool while the Phase 1 Baseline Schedule is being
developed.
B. Schedule Levels:
1. For the purposes of this Exhibit T, Schedule Levels shall be defined as follows:
i. Level 1 - The Project Level: includes the project name.
ii. Level 2 – The Phase Level: Includes Sub-Phase 1A, Sub-Phase 1B, Early Work,
and Phase 2
iii. Level 3 - The Work Breakdown Level: Includes each Buildable Unit of the project
(Early Work or Phase 2 only).
iv. Level 4 - Work Element Level: Includes high level activities for each Buildable
Unit. Examples include: perform excavation, install footings, install piers, install
structure, place deck, etc. Level 4 activities are not required to comply with the
20-Day maximum duration requirement of this Exhibit T.
v. Level 5 - The Activity Level: Further details the Level 4 activities for each
Buildable Unit to discrete and measurable activities. Examples related to a Level
4 “install footing” activity would include excavate footing, install formwork,
reinforce footing, place concrete, cure footing, and strip formwork. Level 5
activities shall comply with the 20-Day maximum duration of this Exhibit T.
C. Interim, Phase 1, and Phase Baseline Development Overview:
1. Interim Baseline Schedule Submittal:
i. The Contractor shall submit within 15 days of the Sub-Phase 1A NTP an Interim
Baseline Schedule depicting the Sub-Phase 1A Work, and include recommended
Milestones and Completion Deadlines for Phase 1 and Phase 2 no later than the
specified Contract Completion Time for Department’s review and approval.
ii. The Interim Baseline Schedule shall include the phases as described in Section
1.4.1.C.2 (Design Phase) below.
iii. The Contractor shall provide an updated Interim Schedule with its Base Design
Submittal Package, including all activities and Milestones for the entirety of the

Phase 1 Work. The schedule shall incorporate past feedback from Department
and include recommended Milestones and Completion Deadlines no later than
the specified Contract Completion Time.
iv. The Contractor shall provide a draft Phase 1 Baseline Schedule within 80 Days
of the Department’s acceptance of the Interim Schedule. The draft Phase 1
Baseline Schedule shall include detailed activities and Milestones for the entirety
of the Phase 1 Work and shall include a summary of the major activities, phases,
and Milestones of the Phase 2 work.
2. Design Phase:
i. For the Interim, Phase 1, and Phase 2 Baseline Schedules, the design phase
shall be a Level 5 schedule per Section 1.4.1.B.1.v (Schedule Levels) of this
Exhibit T.
ii. The schedule shall include all phase submissions according to the scope of work,
along with all applicable review times.
3. Construction Phase:
i. For the Interim Baseline Schedule, construction activities outside of Sub-Phase
1A Work shall show Level 3 activities, per Section 1.4.1.B.1.iii (Schedule Levels)
of this Exhibit T, summarizing major elements and Buildable Units.
ii. For the Interim Baseline Schedule, any construction activities following Sub-
Phase 1B NTP and/or Early Work Packages NTP shall be detailed to Level 4
activities and comply with Section 1.4.1.E (Setup and Format for Interim, Phase
1, and Phase 2 Baseline Schedules) below.
iii. For the Phase 1 Baseline Schedule, all construction activities prior to Sub-Phase
1B NTP and/or Early Work Packages NTP and where there are no Released for
Construction (RFC) plans shall be detailed to Level 4 activities and comply with
Section 1.4.1.E (Setup and Format for Interim, Phase 1, and Phase 2 Baseline
Schedules) below.
iv. For the Phase 1 Baseline Schedule, all construction activities after Early Work
Packages NTP shall be detailed to Level 5 activities and comply with Section
1.4.1.E (Setup and Format for Interim, Phase 1, and Phase 2 Baseline
Schedules) below.
v. For the Phase 2 Baseline Schedule, all construction activities where there are no
RFC plans shall be detailed to Level 4 and comply with Section 1.4.1.E (Setup
and Format for Interim, Phase 1, and Phase 2 Baseline Schedules) below.
D. Interim, Phase 1, and Phase 2 Baseline Schedule Workflow:
1. Interim Baseline:
i. The Interim Baseline Schedule shall include the design phase as indicated in
Section 1.4.1.C.2 (Design Phase).
ii. Construction Phase work shall be included as indicated in Section 1.4.1.C.3
(Construction Phase).
iii. Revisions to the Interim Baseline Schedule will not be permitted after the
Department’s acceptance that affect the activity ID’s, activity descriptions,

relationships, or durations.
iv. Following the Department’s acceptance, the Interim Baseline Schedule shall be
updated as per Section 1.5 (Monthly Progress Update Schedules) with actual
progress up to the point that the Phase 1 Baseline is accepted.
v. The activities in the Interim Baseline Schedule shall correlate directly with the
cost loaded schedule per PDBC Section 11.1.2 (Phase 1 Estimates and
Payments) and PDBC Section 11.1.3 (Compensation for the Sub-Phase 1A
Work) from which Progress Payments will be based (for Sub-Phase 1A activities
only) until the Phase 1 Baseline is accepted by the Department.
vi. Time impacts or weather impacts shall be applied to the Phase 1 Baseline
Schedule per Sections 1.6 (Buildable Unit Phase Submission Schedules) and 1.7
(Revision and Delay Schedules), once accepted, until after the Phase 2 Baseline
is accepted.
2. Phase 1 Baseline Schedule:
i. The Phase 1 Baseline Schedule shall be developed according to Sections
1.4.1.C.2 (Design Phase) and 1.4.1.C.3 (Construction Phase).
ii. The Phase 1 Baseline shall include the Interim Baseline Schedule as accepted
by the Department and shall be a continuation of the logic and plan developed in
the interim phase.
iii. Any changes made to the Interim Baseline Schedule and included in the Phase 1
Baseline Schedule will be grounds for immediate rejection.
iv. The Phase 1 Baseline Schedule shall not include any impacts or updates known
at the time of submittal. Any/all impacts are to be strictly contained within the
Interim Schedule until the Baseline Schedule is accepted by the Department in
its entirety.
v. Upon acceptance of the Phase 1 Baseline Schedule, all accepted updates
applied to the Interim Schedule shall be incorporated into the first Phase 1
Schedule Update.
vi. Upon acceptance of the Phase 1 Baseline, any/all known impacts shall be
incorporated into the schedule and the use of the Interim Schedule shall be
discontinued.
vii. The Phase 1 Baseline Schedule shall include a summary of the major activities,
phases, and Milestones of the Phase 2 Work.
viii. The activities in the Phase 1 Baseline Schedule shall correlate directly with the
cost loaded schedule per PDBC Section 11.2.4 (Estimates and Payments) from
which Progress Payments will be based (for Phase 1 Construction Work activities
only) until the Phase 2 Baseline is accepted by the Department.
ix. The activities in Phase 1 Baseline Schedule for Sub-Phase 1A and Sub-Phase
1B direct costs per PDBC Section 11.1.2 (Phase 1 Estimates and Payments),
Contractor shall provide a cash flow curve of expected progress payments over
the performance period. Plot curve using costs assigned to activities in the
Baseline Schedule. Contractor to update the curve with actuals from the
approved bi-monthly invoice payment and forecast progress payments and

submit bi-monthly to the Department per PDBC Section 11.1 (Compensation for
Phase 1 Work).
x. Contractor shall submit progress curves with the Bi-Monthly Progress update.
Show with the curves the cumulative scheduled percent complete of each phase,
time-scaled in calendar days from NTP to Contract completion. Derive schedule,
actual, and forecast progress from cash flow curve. Update progress curves with
each bi-monthly update of the current Baseline Schedule.
xi. Four Week look ahead bar chart schedule.
1. Contractor shall submit a weekly manpower/construction report and progress
schedule listing activities completed and in progress for the previous week
and the activities schedule for the succeeding two weeks that is
produced/generated from the current Baseline Schedule. The four week look
ahead bar chart schedule shall include all activities scheduled including:
activity ID, description, start and finish, total float, original duration, remaining
duration, percent complete, responsible party performing the work and
pertinent remarks as to activity status.
3. Phase 2 Baseline Schedule:
i. The Phase 2 Baseline Schedule shall be developed according to Section
1.4.1.C.2 (Design Phase) and Section 1.4.1.C.3 (Construction Phase).
ii. The Phase 2 Baseline shall include the Phase 1 Baseline accepted by the
Department and shall be a continuation of the logic and plan developed in the
Phase 1 Baseline Schedule.
iii. Any changes made to the Phase 1 Baseline Schedule and included in the Phase
2 Baseline Schedule will be grounds for immediate rejection.
iv. The Phase 2 Baseline Schedule shall not include any impacts or updates known
at the time of submission. Any/all impacts are to be strictly contained within the
Phase 1 Schedule until the Phase 2 Baseline Schedule is accepted by the
Department.
v. Upon acceptance by the Department of the Phase 2 Baseline Schedule, all
accepted updates applied to the Phase 1 Schedule shall be incorporated into the
first Phase 2 Schedule Update.
vi. Upon acceptance by the Department of the Phase 2 Baseline Schedule, any/all
known impacts shall be incorporated into the schedule and the use of the Phase
1 Schedule shall be discontinued.
vii. The Phase 2 Baseline Schedule shall correlate directly with the cost loaded
schedule per PDBC Section 11.2.4 (Estimates and Payments) from which
Progress Payments will be based.
viii. Contractor shall provide Monthly Progress update Schedules based upon the
Phase 2 Baseline Schedule through the end of the Completion of the Contract.
ix. Four Week look ahead bar chart schedule.
1. Contractor shall submit a weekly manpower/construction report and progress
schedule listing activities completed and in progress for the previous week
and the activities schedule for the succeeding two weeks that is

produced/generated from the current Baseline Schedule. The four week look
ahead bar chart schedule shall include all activities scheduled including:
activity ID, description, start and finish, total float, original duration, remaining
duration, percent complete, responsible party performing the work and
pertinent remarks as to activity status.
E. Setup and Format for Interim, Phase 1, and Phase 2 Baseline Schedules:
1. General Requirements:
i. The Contractor shall be responsible for assuring all Work, including all Work
performed by Subcontractors, is included in the schedule.
ii. The Contractor shall be responsible for assuring that all work sequences are
logical and that the schedule indicates a coordinated plan.
iii. Show the order and interdependence of activities, with the use of appropriate
activity relationships, and the sequence for accomplishing the Work.
iv. Where Level 4 detail is required (see Section 1.4.1.B.1.iv (Schedule Levels)),
describe Buildable Units of the Project in enough detail to provide a general
overall duration and sequence of the Buildable Unit. Provide logic indicating
required interdependencies with other Buildable Units or other required work
such as, but not limited to, utility work.
v. Where Level 5 detail is required (see Section 1.3.B.1.v (Schedule Levels)), all
Level 4 elements shall be broken down into measurable activities which can be
identified and tracked by the Department.
vi. The Contractor shall provide for and coordinate independent utility work, and/or
work provided “by others” into the schedule in such a way as to minimize rework,
minimize additional protection of previously installed Work, and in an effort to
mitigate delays.
vii. The schedule shall include activities, regardless of responsibility, that directly or
indirectly relate to or have influence over planning and executing the Work in
strict accordance with the Contract Documents, and shall include all design and
preconstruction activities, procurement, Contractor’s submittals and their
forecasted approval dates.
viii. The Contractor shall be responsible for planning the design and construction of
the Project and must consider the Work to be performed, the Contract tie, the
resources available, vendors, Subcontractors, external constraints, and other
factors affecting the successful completion of the Work.
ix. The Contractor shall not be entitled to establish a Claim if the Department
disallows Contractor from finishing early.
x. The Contractor shall involve and coordinate with all Subconsultants,
Subcontractors, third parties, stakeholders, and Material suppliers in the
development and updating of schedules.
xi. Review, acceptance, or approval of schedules by Department shall not waive any
Contract requirements and shall not relieve the Contractor of any obligation or
responsibility for submitting complete and accurate information.
xii. Failure by the Contractor to include any element of Work required for

performance of the Contract shall not excuse the Contractor from completing all
Work within the Contract Completion Time.
xiii. Acceptance by the Department shall not relieve the Contractor of any of its
responsibilities for the accuracy or feasibility of the schedule.
xiv. Omissions and errors shall be corrected as described in Section 1.6 (Buildable
Unit Phase Submission Schedules) of this Exhibit T and will not entitle the
Contractor to an extension of the Contract Completion Time.
2. General Settings:
i. Calculate the Critical Path as “longest path.”
ii. The schedule may only be calculated using retained logic.
iii. Show open ends as non-critical.
iv. Total Float shall be calculated as finish Float.
v. Ignore relationships to and from other projects.
vi. Use “Duration” as the activity percent complete type.
3. Calendars:
i. All calendars shall be Project level calendars, not global or resource calendars.
ii. Calendar names should include the ODOT project number and a describing
function (i.e. YY-##### - five day w/ holidays and weather, YY-##### - seven day
cure, YY-##### - five day asphalt w/ weather).
iii. At a minimum, calendars should be established for Department reviews,
standard work week, cure/settlement periods, milestones, and any items with
temperature restrictions as per the specifications.
iv. Seasonal (winter) and environmental shutdown periods shall be shown using
non-working calendars.
v. Weather and Seasonal Conditions shall be entered into all calendars containing
physical work as non-work days per month as per Table T-1 (Weather and
Seasonal Conditions Table). Anticipated Days lost due to weather shall be
randomly distributed throughout each calendar containing physical work and
should not be tightly grouped or concentrated on particular days within each
week.
vi. All Project Milestones shall be on a seven day/week calendar with no non-work
days.
vii. All review periods for Department shall be included on a designated calendar of
five days/week and shall include typical government holidays.
viii. Anticipated weather and/or shutdown periods shall not be included for any days
past the contract completion date. In the event the contract completion date is
amended to a later date, weather days will be granted on a day for day basis
pending an Accepted Weather Delay Analysis according to Section 1.7 (Revision
and Delay Schedules).

TABLE T-1: WEATHER AND SEASONAL CONDITIONS TABLE
Weather and Seasonal

Conditions
Anticipated Days
Month Lost days due to
weather
January 8
February 8
March 7
April 6
May 5
June 5
July 4
August 4
September 5
October 6
November 6
December 6
4. Work Breakdown Structure / Activity Codes:
i. The Contractor shall provide an organizational structure consisting of a Work
Area, Phase, and Responsibility (at a minimum).
ii. Activity codes shall be used to represent construction crew types, specialty
equipment, and material(s) procurement.
iii. The structure shall be formed using project activity codes.
iv. A WBS structure may be used, but shall still include the activity codes as
indicated above.
5. Constraints:
i. Use constraints sparingly in the schedule. Constraints should only be used for
contractual Milestones such as the start, interim Milestone Deadlines,
Companion Bridge Opening Deadline, and the finish deadlines.
ii. Constraints should never be used in place of relationship ties. Activities should
be split, if necessary, to create logical ties in lieu of constraining activities.
iii. The start and finish Milestones may contain mandatory start and finish
constraints respectively.
iv. Interim Milestones should use only early or late constraints.

6. Milestones:
i. Start Project: The Contractor shall include as the first Milestone in the schedule,
a Milestone named “Start Project”. The date used for this Milestone is the date
the Sub-Phase 1A NTP is issued by the Department and shall be constrained to
Start On said date.
ii. End Project Milestone: The Contractor shall include as the last activity in the
project schedule, a Milestone named “End Project”. The date used for this
milestone is considered the project completion date and shall be constrained to
Finish On or Before said date.
iii. Start Phase Milestone: The Contractor shall include as the first activity for a
project phase, an activity named "start Phase X", where "X" identifies the phase
of work.
iv. Start Buildable Unit Milestone: The Contractor shall include as the first activity
for a Buildable Unit, an activity named "start BU X", where "X" identifies the
Buildable Unit.
v. End Phase Milestone: The Contractor shall include as the last activity in a
project phase, an activity named "end Phase X" where "X" identifies the phase
of Work, and shall be tied as the predecessor to the Start of the next plan phase
Milestone.
vi. End Buildable Unit Milestone: The Contractor shall include as the last activity in
a Buildable Unit, an activity named "end BU X" where "X" identifies the
Buildable Unit.
vii. The Contractor may include additional Milestones but, as a minimum, shall
include all contractual Milestones. Milestones added by the Contractor, but that
are not contractual Milestones may be tied via activity logic to other activities but
cannot be constrained.
7. Activities:
i. Level 4 Activities shall be included in sufficient detail to represent the contract
scope of work and provide for logical sequencing of major work elements of Work
packages with Buildable Units and demonstrate a logical, reasonable, workable
plan to complete the work on or before the contract completion date.
ii. Level 5 Activities shall be included in sufficient and traceable detail to indicate the
plan for constructing the major work elements within the Buildable Unit. The
activities shall comply with the scope, specifications, and any/all other contract
requirements required to construct the project.
iii. Activity Identification (ID). Assign each activity a unique identification number.
The Contractor shall propose a schedule activity ID nomenclature prior to the
completion of the CPM Baseline. The proposed activity ID nomenclature, at a
minimum, shall reflect the Location, area or segment of the project, the Buildable
Unit, the Work Element, the roadway associated with schedule activity, the
discipline performing the Work, and a unique identifier. The activity ID may
contain additional information but is not to exceed 20 characters in total length.
The activity ID should include decimal places to distinguish the differences in
Nomenclature. Once accepted, the activity ID shall be used for the duration of

the Project.
▪ Example:
• Location.Area. Buildable Unit. Work Element. Roadway. Discipline.
Unique Identifier
• K.1.MS.144.75.BR.15
o K = Kentucky
o 1 = Area 1
o MS = Main Span
o 144 = Block (Contractor Proposed Identifier)
o 75 = Interstate 75
o BR = Bridge Discipline performing the work
o 15 = Unique Identifier
iv. Location identifiers align with the progress payment for activities to roll up to the
location. The Location identify allows pay estimates to meet funding split
requirements between Ohio and Kentucky. The location identifiers are the
following:
1. O = Ohio
2. K = Kentucky
3. C = Companion Bridge
4. E = Existing Brent Spence Bridge
v. Activity Description. Each activity shall have a narrative description consisting of
a verb or work function (e.g.; form, pour, excavate) and an object (e.g.; slab,
footing, underdrain).
vi. Assign a planned duration in Working Days for each activity.
vii. Assign an appropriate project calendar to each activity in the schedule.
viii. Include activities for submittals, Working Drawings, Shop Drawing preparation,
Material procurement and fabrication, delivery of Materials, plant, and
Equipment, long lead items and other similar activities.
ix. Include review activities by the Department with a duration of not less than 10
Working Days on a calendar containing typical government holidays.
x. Do not exceed a duration of 20 Working Days for any construction activity except
as follows:
1. Level 4 activities.
2. Settlement Periods.
3. Long Lead Items.
4. Fabrication Items.
5. Shop drawing preparation.

6. Other items upon Acceptance from Department or their Representative.

xi. Do not represent the maintenance of traffic, erosion control, or any other similar
items as single activities extending to the Completion Date. Break these Contract
Items into component activities such as initial setup, and/or tear down in order to
meet the duration requirements of this Section 1.4.
xii. Include activities such as cure times and/or settlement periods as per the
applicable specifications.
8. Activity Relationships and Logic:
i. All activities, except the first activity, shall have a predecessor(s).
ii. All activities, except the final activity, shall have a successor(s).
iii. All Construction activities shall have a Design Submittal activity as a
Predecessor.
iv. Construction activities shall have a ROW acquisition activity, based on the ROW
availability schedule provided by the Department, or based on Contractor
initiated ROW acquisition as a predecessor.
v. All Final Design activities shall have a Construction activity as a successor.
vi. Use only finish-to-start relationships with no leads or lags to link activities, or use
start-to-start relationships with lags no greater than the predecessor duration to
link activities.
vii. Use of finish-to-finish relationship is required when both activities are already
linked with a start-to-start relationship unless all activities have a successor with
a finish to start relationship.
9. Lag:
i. The use of lag is discouraged and should be used sparingly. Split activities into
initial and final stages with appropriate durations to create logical link points in
lieu of using lag.
ii. Lead is not permitted.
iii. Use lags no greater than the predecessor duration.
10. Level of Effort (LOE) Activities:
i. Use level of effort activities to show the duration of specified contract work
periods, phases and road closures.
ii. The level of effort activity type is allowed to have a start-to-start relationship with
the first activity in a series of activities and a finish-to-finish relationship with the
last activity in a series of activities.
iii. Level of effort activities shall be included to summarize the overall duration of
each Buildable Unit or division of work (Work Package with Buildable Units) for
both Level 4 and Level 5 schedules. The LOE activities shall be tied with a SS
relationship to the “Start BU X” Milestone and as a FF to the “End BU X”
Milestone.
iv. As the Project progresses during Sub-Phase 1A and Sub-Phase 1B and
additional details are required within the schedule, it is permissible for the

Contractor to convert a scheduled activity into a LOE activity. In this instance,

the revenue and resources applied to the original scheduled activity will need to
be spread amongst the newly added subsequent scheduled activities.
11. Cost and Resource Loading:
i. Cost Loading Activities: Costs for incremental design preparation will be
assigned to the respective design phase submittal. Mobilization costs will be
included in activities for which mobilization costs are required per PDBC Section
11.2.6 (Mobilization). Delivered Material costs will be assigned to their respective
procurement activities and invoiced costs shall follow PDBC Section 11.2.5
(Payment for Materials).Costs for installation of the material/Equipment (labor,
construction Equipment, temporary materials, and permanent materials if no
material Procurement Activity is included in the Schedule) will be assigned to
their respective construction activities. Do not cost load LOE activities.
ii. Evenly and properly disperse overhead and profit to each activity over the
duration of the project. The total of all cost loaded activities; including costs for
material and Equipment delivered for installation on the project, and labor and
construction Equipment loaded construction activities shall total to 100 percent of
the value of the contract.
iii. Quantities and Units of Measure: Each cost loaded activity will have a detailed
breakdown of the quantities for each of the various kinds of work and the unit of
measure. These entries are informational only and are non-calculating.
Quantities shall be entered into the schedule at RFC for each Buildable Unit and
shall include all major items of Work (i.e.: structural steel, concrete, asphalt,
earthwork, etc.). These quantities will be used to assist in the material sample
and testing frequency determinations along with other adjustments.
iv. Quantities and Cost Loading information will not be used for determination of
Extra Work costs.
v. Estimated Manhours: Each Cost Loaded Activity will have a detailed breakdown
of the Estimated Manhours for each of the various kinds of work. These entries
are informational only and are non-calculating. Manhours shall be entered into
the schedule at RFC for each Buildable Unit and shall include all major items of
Work (i.e.: structural steel, concrete, asphalt, earthwork, etc.). These Manhours
will be used to assist in the analysis of completed work along with other
adjustments.
vi. Cost and Resource loading along with estimate of the current percentage
completion of each cost loaded schedule activity shall follow PDBC Section
11.2.4 (Estimates and Payments).
F. Submission Requirements:
1. Interim Baseline Schedule Submission:
i. At the pre-design meeting, a formal schedule presentation will be conducted by
the contractor describing the elements of the Scope of Work as depicted by the
schedule in terms of the design, logic, phasing, Milestones, closures, and Utility
Relocations.
ii. No Design Submittals shall occur prior to the Department’s acceptance of an

Interim Baseline Schedule.

iii. Furnish an Interim Baseline Schedule to the Department for review at or before
the Pre-Design Meeting. The Department will review the schedule and within 14
Days of receipt, will either accept the schedule or provide the Contractor with
comments. The Department’s acceptance of the schedule does not revise the
Contract Documents. Provide clarification or any needed additional information
within 10 Days of a written request by the Department. The Department will
withhold payment of appropriate amounts in Estimates until the Department
accepts the schedule. The Department will not measure or pay for the
preparation of the schedule and schedule updates directly. Include the following
Administrative Identifier Information:
1. Project Number.
2. County.
3. Route Number.
4. FHWA Number.
5. PID Number.
6. Contract Number.
7. Date of Contract.
8. Completion Date.
9. Contractor's Name.
10. Contractor's Dated Signature.
11. ODOT's Dated Acceptance Signature.
iv. Provide a Working Day schedule that shows the various activities of Work in
sufficient detail to demonstrate a reasonable and workable plan to achieve each
Milestone and complete the Project by the Substantial Completion Deadline.
Show the order and the sequence for accomplishing the Work. Describe all
activities in sufficient detail so that the Department can readily identify the Work
and measure the progress of each activity. The CPM schedule shall reflect the
scope of work, design Submittals, Department (and/or other designated agency)
Submittal review times, required phasing, Maintenance of Traffic requirements,
Milestone Deadlines, the Substantial Completion Deadline, and other Milestones
established in the Contract Documents. Include activities for Submittals, Working
Drawings and Shop Drawing preparation, Submittal review time for the
Department, Material procurement and fabrication, and the delivery of Materials,
plant, and Equipment, and other similar activities. The schedule must be detailed
on letter or legal sized paper.
v. Submit per Section 1.4.1.F.3 (General Requirements); additionally, 11x17
schedule hard copies and 8.5x11 copies of the narrative shall be provided and
distributed by the Contractor at the pre-design meeting.
2. Baseline Schedule Submission:
i. The Contractor shall provide a draft Phase 1 Baseline Schedule within 80 Days
of the Department’s acceptance of the Interim Schedule. At the pre-construction

meeting, a formal schedule presentation shall be conducted by the Contractor

describing the elements of the Scope of Work as depicted by the schedule in
terms of the design, logic, phasing, Milestones, closures, and Utility Relocations.
ii. No physical construction work shall commence prior to “Acceptance” of a Phase
1 Baseline schedule containing Early Work Packages.
iii. Submit per Section 1.4.1.F.3 (General Requirements).
i. Submit all schedules within the time frames specified.
ii. Provide an electronic .xer or .xml file (to be determined by the Department)
prepared in Primavera P6 software manufactured by Oracle.
iii. Provide an electronic .pdf print out of the full schedule, displaying the Gantt
Chart, Activity ID, Activity Description, Original Duration, Start Date, Finish Date,
and Total Float.
iv. Provide a written schedule narrative in .pdf format describing the following:
1. Current schedule interim Milestone dates and Completion Deadlines.
2. A general description of the Critical Path.
3. Current delays.
4. Anticipated delays.
v. Name the .xer or .xml file as follows:
TABLE T-2: SCHEDULE FILENAME CONVENTION

Progress Schedule 1st Submission 2nd Submission 3rd Submission
Interim Schedule YYPPPP01IS YYPPP02IS YYPPPP03IS
Phase 1 Baseline Schedule YYPPPP011B YYPPPP012B YYPPPP013B
Phase 2 Baseline Schedule YYPPPP021B YYPPPP022B YYPPPP023B
Schedule Update #1 YYPPPP01SU01 YYPPPP02SU01 YYPPPP02SU01
Schedule Update #2 YYPPPP01SU02 YYPPPP02SU02 YYPPPP03SU02
Delay Analysis YYPPPP01TIA01 YYPPPP02TIA01 YYPPPP03TIA01
Weather Delay Analysis YYPPPP01WD01 YYPPPP02WD01 YYPPPP03WD01
Recovery Schedule YYPPPP01RS01 YYPPPP02RS01 YYPPPP03RS01
Revision Schedule YYPPPP01RV01 YYPPPP02RV01 YYPPPP03RV01
Buildable Unit Phase Submission YYPPPP01BU01 YYPPPP02BU01 YYPPPP03BU01
Note: YY – Project Year PPPP – Project Number
G. Interim Baseline and Baseline Schedule Review:

1. Interim Baseline Schedule Review:
i. The Interim Baseline Schedule shall be presented by the Contractor, as a formal

presentation, at the pre-design meeting and will be discussed as a part of said

meeting.
ii. The Interim Baseline Schedule will be accepted or rejected by the Department
within 14 Days. Upon its acceptance, the Phase 1 Baseline Schedule shall adopt
the same interim schedule data and no changes to such data will be permitted.
iii. If the schedule is rejected the Contractor shall revise the schedule and resubmit
within seven Days. The re-submission of the schedule shall occur at a schedule
meeting.
iv. The Department shall have seven (7) Working Days to review the resubmission
of the Interim Baseline Schedule.
v. The Department is entitled to withhold payment associated with Estimates until
the Interim Baseline Schedule is accepted.
2. Phase 1 Baseline Schedule Review:
i. The Draft Phase 1 Baseline Schedule shall be presented by the Contractor, as a
formal presentation, no later than five (5) Working Days after the Department’s
receipt of the draft Phase 1 Baseline Schedule Submittal. This meeting will serve
as the Contractor’s meeting to review, explain, and discuss the Phase 1 Baseline
Schedule with the Department. The Department reserves the right to invite any
Department staff or representatives deemed necessary for this meeting.
Additional meetings may be held between the Department, the Contractor, the
Contractor’s Scheduler, and applicable Major Subcontractors and Suppliers to
resolve any conflicts between the Contractor’s Phase 1 Baseline Project
Schedule and the intent of the Contract.
ii. The Contractor shall submit the draft Phase 1 Baseline Schedule to the
Department within 80 Days of acceptance of the Interim Baseline Schedule.
iii. The review of the Phase 1 Baseline Schedule shall commence the day after it is
received by the Department and shall span twenty-one (21) Working Days
(excepting holidays) in which the Department will either accept, reject, or accept
as noted the Phase 1 Baseline Schedule.
iv. If the Phase 1 Baseline Schedule is “Accepted as noted”, the Contractor shall
make the necessary revisions and resubmit the revised schedule within seven
Days. Revisions to the Phase 1 Baseline Schedule beyond those requested by
the Department as a part of the “Accepted as Noted” status will be grounds for
immediate rejection.
v. If the Phase 1 Baseline Schedule is “rejected”, the Department will indicate in
writing all portions of the schedule that are not in compliance with the Contract
Documents. The contractor and the Contractor’s Schedule Representative shall
attend a meeting with the Department within five (5) Working Days of the
Department’s Notice. The purpose of this meeting is to resolve all issues with the
baseline schedule. At this meeting the Contractor shall provide clarification and
all requested information necessary for the Department to “Accept” the baseline
schedule.
vi. Acceptance of the Phase 1 Baseline Schedule does not revise the Contract
Documents. The Department will not commence the evaluation of any Claim for

extension of time until the Phase 1 Baseline Schedule has been “Accepted” or
“Accepted as noted” by the Department.
vii. Contractor shall provide a cost loaded Schedule in the Sub-Phase 1B Proposal.
The Schedule will be used to negotiate various components of the Contract and
will be used as a basis for developing a detailed Phase 2 Baseline Schedule
during the Sub-Phase 1B Work.
3. Phase 2 Baseline Schedule Review:
i. Provide a Phase 2 Baseline Schedule with the Phase 2 Proposal for the
Department’s review and acceptance. The Phase 2 Baseline Schedule shall
correlate directly with the cost loaded schedule from which progress payments
will be based per PDBC Section 11.2.4 (Estimates and Payments).
ii. The Department will review and respond to the Phase 2 Baseline Schedule
Submittal within twenty-one (21) Working Days (excepting holidays).
iii. The Contractor shall schedule a meeting to review the Phase 2 Baseline
Schedule Submittal no later than five Working Days after Department’s receipt of
the Phase 2 Baseline Schedule Submittal. This meeting will serve as the
Contractor’s meeting to review, explain, and discuss the Contractor’s Baseline
Schedule with the Department. The Department reserves the right to invite any
representatives deemed necessary for this meeting. Additional meetings may be
held between Department, Contractor, Contractor Scheduler, and all major
Subcontractors and Suppliers to resolve any conflicts between Contractor’s
Baseline Project Schedule and the intent of the Contract.
iv. Department will review and make comments on the Contractor’s Phase 2
Baseline Schedule. Comments made by Department on Contractor’s schedule,
during review, will not relieve the Contractor from compliance with the
requirements of the Contract Documents. To the extent that there are any
conflicts between the accepted Phase 1 Baseline Schedule and the requirements
of the Contract Documents, the Contract Documents shall govern.
v. The Contractor’s Scheduler, and all Major Subcontractors and Suppliers shall be
required to participate in all meetings necessary to reach mutual agreement and
the Department’s acceptance of the Contractor’s Phase 2 Baseline Schedule.
vi. The Department will Accept, Accept as noted, or reject in writing Contractor’s
Submittal within twenty-one (21) Working Days (excepting holidays).
vii. If the Phase 2 Baseline Schedule is “Accepted as noted”, the Contractor shall
make the necessary revisions and resubmit the revised schedule within seven
Days. Revisions to the Phase 2 Baseline Schedule beyond those requested by
the Department as a part of the “Accepted as Noted” status will be grounds for
viii. If the Phase 2 Baseline Schedule is “rejected”, the Department will indicate in
writing all portions of the schedule that are not in compliance with the contract
requirements. The Contractor and the Contractor’s Schedule Representative
shall attend a meeting with within five (5) Working Days of the Department’s
Notice. The purpose of this meeting is to resolve all issues with the baseline
schedule. At this meeting the Contractor shall provide clarification and all
requested information necessary for the Department to “Accept” the baseline

schedule.
ix. Upon the Contractor’s successful development of the Phase 2 Baseline
Schedule, the schedule will be accepted by the Department. The Department’s
acceptance is solely acknowledgement that the schedule conforms to the
requirements of this Exhibit T and other requirements of the Contract
Documents. However, acceptance by the Department does not relieve the
Contractor from subsequently correcting errors and omissions, Float
sequestering logic/duration or any other misrepresentation that may have been
included in the approved schedule.
1.5 Monthly Progress Update Schedules

A. Definition:
1. Monthly Progress Update Schedule: The update schedule indicates the actual
progress achieved within a given period (i.e. monthly) and the impact of the actual
progress on the remainder of the activities in the project. The impacts of actual
progress to the remaining activities provides for a predictive measure on the future
course of the project. The Monthly Progress Update Schedule shall only contain
updates to the start, finish, or progress of activities in the schedule from the previous
data date to the current data date. No revisions shall be included in a Monthly
Progress Update Schedule. The actual progress is compared to the Baseline
Schedule, or the latest previously accepted Monthly Progress Update Schedule to
ascertain the actual progress of the project.
B. Monthly Progress Update Schedule Preparation – Interim Schedule:
1. Once the Interim Schedule has been accepted by the Department it shall be updated
in accordance with this Exhibit T.
2. Enter the “Actual Start”, “Actual Finish”, “Remaining Duration”, or “Percent Complete”
as appropriate for each activity within the update period.
3. Any activity with an actual start shall also contain an appropriate percent complete.
4. Update the data date to the end of the update period.
5. The Contractor shall provide an updated Interim Schedule on a monthly basis, until a
Phase 1 Baseline Schedule has been submitted by the Contractor and accepted by
the Department.
C. Monthly Progress Update Schedule Preparation – Phase 1 and Phase 2 Baseline
Schedule:
1. Enter the “Actual Start”, “Actual Finish”, “Remaining Duration”, or “Percent Complete”
as appropriate for each activity within the update period.
2. Any activity with an actual start shall also contain an appropriate percent complete.
3. Update the data date to the end of the update period.
4. The Contractor shall provide an updated Phase 1 Baseline Schedule on a monthly
basis until a Phase 2 Baseline Schedule has been submitted by the Contractor and
accepted by the Department.
D. Submission Requirements:

1. Monthly Progress Update Schedule Submission Deadlines:

i. The monthly update period shall begin on the 1st day of the month and will
terminate on the last day of the month. The Department may adjust these dates
as necessary to meet project conditions or other requirements.
ii. The Contractor shall submit its Monthly Progress Update Schedule, with a data
date of the first day of the month following the update period, no later than the
10th of the month, throughout the Completion of the Contract.
iii. Submit per Section 1.5.D.2 (General Requirements).
ii. Provide an electronic .xer or.xml file prepared in Primavera P6.
and Total Float.
1. Current schedule interim Milestone Deadlines and Completion Deadlines.
3. Changes or shifts in the Critical Path and the reason for these changes or
shifts.
4. Overall project status (ahead, on, or behind schedule).
5. Current Delays.
6. Anticipated Delays.
v. Name the .xer or .xml file as per Table T-2 (Schedule Filename Convention).
E. Monthly Progress Update Schedule Review:
1. The Department will review the Monthly Progress Update Schedule within seven
Days (excepting holidays) beginning on the first Working Day after the contractor’s
submission.
2. The Department will review the Contractor’s actual dates compared to the project
records to verify the accuracy of the information.
i. Alternatively, the Department may provide a listing of the schedule activities for
the update period along with the recorded dates to the Contractor prior to the
update schedule submission.
ii. If the Department provides its dates to the Contractor, the Contractor shall
provide a disposition on the variance of any dates which are more than three
days apart between the recorded dates of the contractor and the recorded dates
of the Department.
3. Any discrepancies between the Contractor’s recorded dates, and the dates recorded
by the Department shall be reconciled before the last day of the month in which the
schedule was submitted. Failure to reconcile before the last day of the month in

which the schedule was submitted shall be grounds for withholding payment with
respect to Estimates.
4. Added work/activities, revisions made to logic, descriptions, calendars or any
adjustments that may manipulate the schedule calculations will result in an
immediate rejection of the schedule.
5. The Department will not process payments associated with Estimates until the
Monthly Progress Update Schedule has been received for the previous period.
1.6 Buildable Unit Phase Submission Schedules

A. Definition:
1. Buildable Unit Phase Submission Schedules: The Phase 1 and Phase 2 baseline
schedules include a combination of Level 4 and Level 5 detail which would be
reasonably understood by the time of the baseline submission. As Buildable Units
are completed to a 100 % stage of design, the Level 4 schedule data from the
baseline submission will be refined and detailed to a Level 5 schedule for each
Buildable Unit. The Buildable Unit Submission indicates the full and complete
schedule for the Buildable Unit along with its logical relationships with other Buildable
Units and required work elements. Upon completion of the design of all Buildable
Units, all elements of the schedule shall be at Level 5 and shall represent the full and
accurate accounting of all activities required to construct all elements of the project.
B. Buildable Unit Phase Submission Overview:
1. Upon Submission of the 100% review plans for each Buildable Unit or group of
Buildable Units, a Buildable Unit Phase Submission schedule shall be submitted
replacing the Level 4 Buildable Unit details with Level 5 detail. The 100% plan
submission design review period will not begin unless the Buildable Unit Phase
submission is included.
2. Buildable Unit Phase submissions shall not be permitted to contribute to negative
float, nor reduce positive float without the expressed consent of the Department upon
review of Buildable Unit Phase submission.
C. Buildable Unit Phase Submission Preparation:
1. The Buildable Unit Phase submission shall be developed using the latest “Accepted”
Phase 2 Baseline, or the most recent “Accepted” update schedule.
2. The Buildable Unit Phase Submission Schedule may include a single buildable unit
or may cover multiple Buildable Units.
3. No changes shall be permitted to any previously “Accepted” Buildable Units. The
submission shall only include details specifically related to the submitted Buildable
Unit(s).
4. Buildable Unit Phase Submission schedules shall be submitted as an independent
schedule from any revision schedules.
5. Each Buildable Unit shall be inserted into the schedule in such a way that the first
activity of the Level 5 schedule utilizes the appropriate predecessors as the first
activity of the Level 4 schedule and the last activity of the Level 5 schedule utilizes
the appropriate successors of the last activity of Level 4 schedule.

6. The Level 4 information shall remain in the schedule until the Level 5 data is
“Accepted” at which time it may be dissolved from the schedule.
7. The Level 5 data shall be constructed according to the applicable requirements of
Section 1.4 (Interim, Phase 1, and Phase 2 Baseline Schedule Requirements).
D. Submission Requirements:
1. Buildable Unit Phase Submission Deadlines:
i. The Phase submission shall be submitted along with the 100% design review
plans. The 100% design review plans will not be accepted by the Department
without inclusion of the Buildable Unit Schedule submission.
ii. Submit per Section 1.6.D.2 (General Requirements).
ii. Provide an electronic .xer or .xml file prepared in Primavera P6.
and Total Float.
3. Provide a written schedule narrative in .pdf format describing the following:
i. Current schedule interim Milestone Deadlines and Completion Deadlines.
ii. A general description of the Critical Path.
iii. Changes or shifts in the Critical Path and the reason for these changes or shifts.
iv. Overall project status (ahead, on, or behind schedule).
v. Current delays.
vi. Anticipated delays.
vi. Name the .xer or .xml file as per Table T-2 (Schedule Filename Convention).
E. Buildable Unit Phase Submission Review:
1. The Department will review the schedule within ten (10) Working Days (excepting
holidays) beginning on the first business day after the Contractor’s submission.
2. Upon “Acceptance” of the Buildable Unit Phase Submission, any all update or impact
data shall be transferred to the “Accepted” Phase Submission Schedule and
submitted to the Department within five (5) Working Days.
1.7 Revision and Delay Schedules

A. Definition:
1. Delay Schedule: During the course of the project, issues may arise that could not
have been anticipated at the time of bid. These issues are entered into a Delay
schedule in order to show the impact of the issue on the contractor’s schedule. Extra
work added by the owner and eligible for a time extension is not considered a delay,
but shall be included in a revision schedule.
2. Fragmentary Network (fragnet): A fragnet is defined as the sequence of new

activities that are proposed to be added to the existing schedule. The fragnet shall
identify the predecessors to the new activities and demonstrate the impacts to
successor activities. Alternatively, the fragnet may indicate a sequence of activities
that have already happened.
3. Revision Schedule: The Work may require, the Department may request, and/or the
Contractor may make revisions to the CPM schedule in order to align the schedule to
the physical work in the field and to maintain the predictive nature of the schedule as
established in the baseline schedule. Addition of new activities or new calendars or
changes to existing activities, calendars or logic constitute a revision. The revision
shall incorporate all actualized activities up to the date of the revision. For revisions
involving extra work requested by the Department, no time extensions will be granted
unless justified in a revision schedule including said work. Any revisions which add or
remove activities from the schedule shall be tracked and be submitted with a
narrative stating the reason for the addition or deletion of activities. The Department
shall review and “approve” or “reject” the revisions. No cost may be added or
removed from the schedule, which affects the overall contract value unless
accompanied by an approved change order. If activities are added or removed from
the CPM, the Contractor may redistribute cost from like activities to account for cost
on the newly added or subtracted schedule activities.
B. Reasons for Revisions:
1. The Contractor shall revise the schedule to correct out-of-sequence logic errors that
impact the critical path.
2. A revision schedule must be compiled in order to justify any time extension related to
extra work.
3. The Contractor may elect to revise the schedule in order to reflect actual/intended
prosecution of the work or as per any part of Section 1.7.B.5.(i-v) (Reasons for
Revisions) below.
4. Department or their Representative may request a schedule revision when the
current schedule does not accurately reflect the current prosecution of the work in
order to align the schedule to actual field operations.
5. Department or their Representative may request a schedule revision when the
current schedule no longer serves as a predictive tool to plan the course of the
project due to:
i. Additional or non-performed work.
ii. Deviations from the schedule by the contractor’s operations.
iii. Progress has accelerated or decelerated.
iv. There is a general deviation in the planned activity dates as compared to
commonly held project knowledge regarding the project’s progress.
v. Accepted phasing adjustments.
C. Revision Schedule Preparation:
1. The basis of any revision or delay schedule shall be the most recently accepted
Monthly Progress Update Schedule.

2. Based on the most recently accepted Monthly Progress Update Schedule, revise the
schedule to provide a predictive tool reflecting the planned course of the project to
achieve the completion of the project by the current contract completion.
3. All revisions shall comply with applicable sections of Section 1.4 (Interim, Phase 1,
and Phase 2 Baseline Schedule Requirements).
D. Delay Schedule Preparation:
1. Determine project progress prior to circumstance(s) necessitating the time impact
analysis. The previous accepted monthly update schedule, updated to the date of the
circumstance(s) alleging to have caused delay, shall be used to display the prior
progress of the project. This schedule is referred to as the Un-impacted Schedule.
2. In a copy of the Un-impacted Schedule, prepare a new Project activity code for the
fragmentary network (fragnet).
3. Prepare a fragnet depicting the circumstance that is believed to have delayed the
project within the new activity code.
4. Insert the fragnet into the schedule logic:
i. The first activity of the fragnet shall be the successor to the last activity that was
completed prior to the alleged delay.
ii. The last activity of the fragnet shall be the predecessor to the first activity that
could not commence due to the alleged delay.
5. Run the schedule calculations and determine the finish date. This schedule is
referred to as the Impacted Schedule.
6. Compare the impacted Schedule finish date with the un-impacted Schedule finish
date in order to determine the duration of any warranted time extension.
E. Submission Requirements:
1. Revision Schedule Submission Deadlines.
i. Revision schedules shall be submitted with a Monthly Progress Update, or within
five (5) Working Days of “acceptance” of a progress update.
ii. In the event discrepancies are discovered in the Monthly Progress Update, said
discrepancies shall be resolved prior to the submission of the Revision schedule
or shall be resolved in both the Monthly Update AND the Revision if submitted
simultaneously.
iii. Revision schedules resulting from extra work believed to have an effect on the
critical path shall be submitted with the cost proposal for the extra work.
iv. Revision schedules shall be separated from Buildable Unit Phase Submissions.
v. Delay Schedule Submission Deadlines.
vi. Delay schedule submissions shall occur within five (5) Working Days of the
alleged delay event.

ii. Revisions shall be based on the latest accepted Monthly Progress Update. The
Revision Schedule shall be submitted with the latest “accepted” Monthly
Progress Update in which it was based on.
iii. Provide an electronic .xer or .xml file prepared in Primavera P6 for both the
Revision schedule as well as the latest “accepted” Monthly Update Schedule.
iv. Provide an electronic .pdf print out of the full schedule, displaying the gantt chart,
activity ID, activity description, original duration, start date, finish date, and Total
Float.
v. Provide a written schedule narrative in .pdf format describing the following:
3. The specific reason(s) for the revision or delay.
4. Changes or shifts in the critical path and the reason for these changes or
shifts.
5. Overall project status (ahead, on, or behind schedule).
6. Current delays.
7. Anticipated delays.
vii. Name the .xer or .xml file as per Table T-2 (Schedule Filename Convention).
F. Revision/Delay Schedule Review:
1. Department or their Representative will review the schedule within ten (10) Working
days (excepting holidays) beginning on the first business day after the contractor’s
submission.
2. If Department or their Representative does not provide written notification regarding
the disposition of the revision schedule within ten (10) Working Days, the submission
will be considered Accepted.
3. For revision schedules that are “Accepted as noted”, the Contractor shall make the
necessary revisions and resubmit the revised schedule within five (5) Working Days.
Revisions to the revision schedule beyond those requested by ODOT or their
Representative as a part of the “Accepted as Noted” status will be grounds for
4. For revision schedules that are “rejected”, ODOT or their Representative shall
indicate in writing all portions of the schedule that are not in compliance with the
contract requirements. ODOT or their Representative shall conduct a mandatory
meeting with the Contractor and the Contractor’s Schedule Representative within five
(5) Working Days of ODOT or their Representative’s written notice. The purpose of
this meeting is to resolve all issues with the revision schedule. At this meeting the
Contractor shall provide clarification and all requested information necessary for
ODOT or their Representative to “Accept” the revision schedule.
5. Acceptance of the revision schedule does not revise the Contract Documents. The
revision schedule shall be “Accepted” or “Accepted as noted” by ODOT or their
Representative prior to ODOT or their Representative evaluating any contractor
claims associated with time impacts.

6. Upon acceptance, the revision schedule shall be the basis for evaluations replacing
the original baseline logic.
1.8 Weather Delay Schedules

A. Definition:
1. Weather Delay Schedule: The schedule which indicates the effect of the actual
weather experienced in a given period as compared to the anticipated weather
included in the baseline schedule as depicted in Table T-1 (Weather and Seasonal
Conditions Table). The Weather Delay Schedule is a calculation performed by the
software after the anticipated weather days have been removed and the actual
Weather Days have been inserted into the appropriate calendar.
B. Weather Delay Schedule Preparation:
1. Make a copy of the previously accepted Monthly Progress Schedule file. This copy is
referred to as the Weather Delay Schedule.
2. For the month that incurred actual weather days, remove the anticipated weather
only from calendars associated with the work that was delayed and input the actual
weather days experienced into the Weather Impacted Schedule.
3. Schedule the project WITHOUT changing the data date.
C. Submission Requirements:
1. Weather Delay Schedule Submission Deadlines.
i. The Weather Delay Schedule shall be submitted no later than the 5th of the
month following the weather impacted work.
ii. Submit the weather impacted schedule, and the previously accepted un-
impacted Monthly Update Schedule.
iii. Provide an electronic .xer or .xml file prepared in Primavera P6 for both
schedules.
iv. Provide an electronic .pdf print out of the full schedule, displaying the gantt chart,
activity ID, activity description, original duration, start date, finish date, and Total
Float.
viii. Name the .xer or .xml file as per Table T-2 (Schedule Filename Convention).
D. Weather Delay Schedule Review:
1. Department or their Representative will review the schedule within five(5) Working
Days (excepting holidays) beginning on the first business day after the contractor’s
submission.
2. Department or their Representative will confirm or dispute the requested weather
days and reconcile with the Contractor within the five (5) Working day period.
3. If warranted, a time extension will be granted for the weather days experienced in the
requested month.

1.9 Recovery Schedules

A. Definition:
1. Recovery Schedule: If an update is submitted showing the Companion Bridge
Opening Deadline, Substantial Completion Deadline, or Completion of the Contract
Deadline more than fourteen (14) calendar days behind schedule, the contractor
shall submit a plan of action for recovering the lost time in order to complete the
project by the established contract completion date. This plan shall be in the form of
a recovery schedule, along with a written narrative.
B. Recovery Schedule Preparation:
1. Make a copy of the latest submitted Monthly Progress Schedule file. This copy will
be used to develop the recovery schedule.
2. Revise the schedule to provide a workable plan for completing the project by the
current contract completion date.
3. All revisions shall comply with applicable sections of Section 1.4 (Interim, Phase 1,
and Phase 2 Baseline Schedule Requirements).
C. Submission Requirements:
1. Recovery Schedule Submission Deadlines:
i. The Recovery Schedule shall be submitted no more than five (5) Working Days
after the submission of an Update Schedule indicating a completion more than
14 calendar days behind schedule.
ii. Provide an electronic .xer or .xml file prepared in Primavera P6.
and Total Float.
3. The specific plan for recovering time to meet the contract completion date.
4. Changes or shifts in the Critical Path and the reason for these changes or
shifts.
v. Name the .xer or .xml as per Table T-2 (Schedule Filename Convention).
D. Recovery Schedule Review:
1. Department or their Representative will review the schedule within ten (10) Working
Days (excepting holidays) beginning on the first business day after the contractor’s
submission.
2. If Department or their Representative does not provide written notification regarding
the disposition of the revision schedule within ten (10) Working Days, the submission

will be considered Accepted.

3. For revision schedules that are “Accepted as noted”, the Contractor shall make the
necessary revisions and resubmit the revised schedule within five (5) Working Days.
Revisions to the recovery schedule beyond those requested by Department or their
Representative as a part of the “Accepted as Noted” status will be grounds for
4. For revision schedules that are “rejected”, Department or their Representative shall
indicate in writing all portions of the schedule that are not in compliance with the
contract requirements. Department or their Representative shall conduct a
mandatory meeting with the Contractor and the Contractor’s Schedule
Representative within five (5) Working Days of Department or their Representative’s
written notice. The purpose of this meeting is to resolve all issues with the revision
schedule. At this meeting the Contractor shall provide clarification and all requested
information necessary for Department or their Representative to “Accept” the revision
schedule.
5. Acceptance of the revision schedule does not revise the Contract Documents. The
Recovery schedule shall be “Accepted” or “Accepted as noted” by Department or
their Representative prior to Department or their Representative evaluating any
contractor claims associated with time impacts.
6. Upon acceptance, the revision schedule shall be the basis for evaluations replacing
the original baseline logic.
7. Department will withhold pay applications until Department or their Representative
Accepts the Recovery Schedule.
8. In the event the current Completion Date is in dispute, the recovery schedule will
need to be submitted once the dispute has been resolved.
1.10 Float
Use of float suppression techniques, such as; preferential sequencing (arranging critical path
through activities more susceptible to Department caused delay), lag logic restraints, zero total
or free float constraints, extending activity times, or imposing constraint dates other than as
required by the contract, shall be cause for rejection of the project schedule or its updates.
A. Definitions of Float: Total Float is the length of time along a given network path that the
actual start and finish of activity(s) can be delayed without delaying the project
completion date. Project Float is the length of time between the End Project Milestone
and the Contract Completion Deadline.
B. Ownership of Float: Float available in the schedule, at any time shall not be considered
for the exclusive use of either Department or the Contractor. During the course of
contract execution, any float generated due to the efficiencies of either party is not for
the sole use of the party generating the float; rather it is a shared commodity to be
reasonably used by either party for project issues. Efficiencies gained as a result of
favorable weather within a calendar month, where the number of days of normally
anticipated weather is less than expected, will also contribute to the Project Float. A
schedule showing work completing in less time than the contract time, and accepted by
Department, will be considered to have Project Float. No time extensions will be
granted nor delay damages paid unless a delay occurs which impacts the project's

critical path, consumes all available float and extends the work beyond the Contract
Completion Date.
C. Negative Float: Negative float will not be a basis for requesting time extensions. Any
extension of time will be addressed in accordance with the applicable sections of this
specification. Scheduled completion date(s) that extend beyond the contract (or phase)
completion date(s) may be used in computations for assessment of liquidated
damages. The use of this computation is not to be construed as an order by
Department to accelerate the project.
1.11 Progress Schedule
A. Prepare a cost loaded schedule of activities for all design and construction Work to be
done in each Phase and show status of completion per PDBC Section 11.1
(Compensation for Phase 1 Work) and Section 11.2.4 (Estimates and Payments).
B. Submit an updated progress schedule when requested by the Department. The
Department may request an updated progress schedule when progress on the Work
has fallen more than fourteen (14) calendar Days behind the latest accepted progress
schedule. Information in the updated progress schedule must include a current
percentage of completion for each cost loaded schedule activity "% Work completed"
value for each activity.
C. Contractor shall submit a cash flow curve of expected progress payments over the
performance period. Plot curve using costs assigned to activities in the Baseline
Schedule. Contractor to update the curve with actuals from the approved bi-monthly
invoice payment and forecast progress payments and submit bi-monthly to the
Department per PDBC Section 11.1 (Compensation for Phase 1 Work)
D. Contractor shall submit progress curves with the Bi-Monthly Progress update. Show
with the curves the cumulative scheduled percent complete of each phase, time-scaled
in calendar days from NTP to Contract completion. Derive schedule, actual, and
forecast progress from cash flow curve. Update progress curves with each bi-monthly
update of the current Baseline Schedule.
1.12 As Built Schedule and Documentation

A. Prior to final release of retention, and after all Contract Items are completed, Contractor
shall submit an “as-built” Contract Schedule (Schedule Data Disks, Reports, and Plots)
showing actual start and finish dates and actual logic used for all work items and
milestones, and actual expenditures of man-hours and costs.
B. The As-Built Schedule will be accompanied by a narrative report titled “Final Schedule
Report” which provides an overview of the Schedule process, the history of changes to
the Schedule and the resulting changes to milestone dates, discusses major schedule
variances (including manpower and cost variances), and identifies any outstanding
schedule issues.
C. Provide two thumb drives or uploaded to a cloud-based server of Department’s
choosing of the electronic Schedule files with two copies of reports, charts and
narratives identified.
D. Contractor shall support the As-Built Schedule and “Final Schedule Report” with a letter
on the Company letter head that confirms all information in the As-Built Schedule is
truthful and accurate pertaining to start and finish dates, as-built logic, cost and

resource loading and final schedule report. The accompanying letter shall be signed by
an officer of the Company.
1.13 Other Schedule Submittal Requirements
A. Contractor shall coordinate schedule Submittals to avoid concurrent Submittals to
maximum extent possible. Where concurrent schedule Submittals cannot be avoided,
Contractor shall increase review time as required, to allow for Department’s review.
B. Where Submittal is concurrent with or overlaps Submittals currently being reviewed,
Contractor shall indicate priority of each outstanding submittal.
C. Following corrections resulting from Department’s Accepted as Noted to Contractors
initial Submittal, and after Department Review, Contractor shall print and electronically
distribute copies to Department, Subcontractors, and other parties required to comply
with Submittal dates indicated.
D. Contractor shall post copies in the Project meeting room at PMO and temporary field
offices.
E. When revisions are made, Contractor shall distribute to the same parties electronically
and post in same locations. Parties shall be deleted from distribution when they have
completed their assigned part of Work and are no longer involved in construction
activities.

February 17, 2023 Exhibit U: Products Made in the United States
EXHIBIT U: PRODUCTS MADE IN THE UNITED STATES

Requirements
The Contractor shall furnish products that are made in the United States according to the
applicable provisions of the Infrastructure Investment and Jobs Act, Pub. L. No. 117-58, which
includes the Build America, Buy America Act Pub. L. 117-58, §§ 70901-52.
A. Federal Requirements. All steel or iron products incorporated permanently into the
Work must be made of steel or iron produced in the United States and all subsequent
manufacturing must be performed in the United States. Manufacturing is any process that
modifies the chemical content; physical shape or size; or final finish of a product. Manufacturing
begins with the initial melting and mixing and continues through the bending and coating stages.
If a domestic product is taken out of the United States for any process, it becomes a foreign
source material.
All manufactured products used in the project are not required to be produced in the United
States.
All construction materials are manufactured in the United States—this means that all
manufacturing processes for the construction material occurred in the United States.
“Construction materials” includes an article, material, or supply—other than an item of primarily

iron or steel; a manufactured product; cement and cementitious materials; aggregates such as
stone, sand, or gravel; or aggregate binding agents or additives—that is or consists primarily of:
• Non-ferrous metals;
• Plastic and polymer-based products (including polyvinylchloride, composite building
materials, and polymers used in fiber optic cables);
• Glass (including optic glass);
• Lumber; or
• Drywall.
To provide clarity to item, product, and material manufacturers and processers, we note that
items that consist of two or more of the listed materials that have been combined together
through a manufacturing process, and items that include at least one of the listed materials
combined with a material that is not listed through a manufacturing process, should be treated
as manufactured products, rather than as construction materials. For example, a plastic framed
sliding window should be treated as a manufactured product while plate glass should be treated
as a construction material.
B. Exceptions. The Director may grant specific written permission to use foreign steel or
iron in any type of construction. The Director may grant such exceptions under the following
condition:
The cost of products to be used does not exceed 0.1 percent of the total Contract cost, or
$2,500, whichever is greater. The cost is the value of the product as delivered to the project.
The Buy America preference only applies to articles, materials, and supplies that are consumed
in, incorporated into, or affixed to an infrastructure project. As such, it does not apply to tools,

February 17, 2023 Exhibit U: Products Made in the United States
equipment, and supplies, such as temporary scaffolding, brought to the construction site and
removed at or before the completion of the infrastructure project. Nor does a Buy America
preference apply to equipment and furnishings, such as movable chairs, desks, and portable
computer equipment, that are used at or within the finished infrastructure project, but are not an
integral part of the structure or permanently affixed to the infrastructure project.
C. Proof of Domestic Origin. Furnish certification to the Department showing the domestic
origin of all products covered by this section, before they are incorporated into the Work.
Products without a traceable domestic origin will be treated as a non-domestic product.

February 17, 2023 Exhibit V: Surface Smoothness Requirements
EXHIBIT V: SURFACE SMOOTHNESS REQUIREMENTS

Surface Smoothness Requirements for Pavements
The Department anticipates incorporating within the Phase 2 Change Order a surface
smoothness for pavements adjustment mechanism based upon ODOT’s PN 420 (01/21/2023)
and KYTC SS410
Surface Smoothness for Bridges and Approaches
The Department anticipates incorporating within the Phase 2 Change Order a surface
smoothness for bridges and approaches adjustment mechanism based upon ODOT’s PN 555
(01/15/2021). Kentucky work starting at the northern approach of the Companion Bridge through
the southern approach span will follow ODOT’s PN 555.

February 17, 2023 Exhibit W: Price Fluctuation Clauses
EXHIBIT W: PRICE FLUCTUATION CLAUSES

Fuel Price adjustment
The Department anticipates incorporating within the Phase 2 Change Order a fuel price
adjustment mechanism based upon ODOT’s PN 520 (07/15/2022)
Steel Price Adjustment
The Department anticipates incorporating within the Phase 2 Change Order a steel price
adjustment mechanism based upon ODOT’s PN 525 (07/15/2022)
Asphalt Binder Price Adjustment
The Department anticipates incorporating within the Phase 2 Change Order an asphalt binder
price adjustment mechanism based upon ODOT’s PN 534 (01/21/2022)
Portland Cement Price Adjustment
The Department anticipates incorporating within the Phase 2 Change Order a Portland cement
price adjustment mechanism based upon ODOT’s PN 540 (10/19/2018)

February 17, 2023 Exhibit X: Digital Data for Material Ticketing
EXHIBIT X: DIGITAL DATA FOR MATERIAL TICKETING

1. General
This Exhibit X describes the Contractor’s responsibilities for transfer of digital data to the
Department for asphalt, concrete and aggregate material weight ticket information.
The Contractor shall provide material ticket information in a digital format directly recorded from
the material loading source as described below.
This Exhibit X in no way supersedes any other commercial regulations or any other legal
requirements regulating the transportation of commercial materials. This does not preclude or
dismiss any requirement for paper tickets required by other rules and regulations.
2. Requirements
The Contractor shall send digital ticket information to the Department’s Digital Ticketing Portal
as the individual material loads are generated and shipped to the Project. The digital material
ticket (“e-Ticket”) shall contain information as required per the applicable material specification
for weight measurement and other material characteristics.
The Department will reject any load that does not have a corresponding e-Ticket unless the
cause is beyond the Contractor’s control, as determined by the Department. In such
circumstances, paper tickets may be permitted.
3. Setup, Calibration, and Data Integration
The Contractor shall cause Suppliers to cooperate with the Department and the Department’s e-
Ticketing vendor to establish digital information transfer from the Supplier’s ticketing system to
the Department’s e-Ticketing portal. No earlier than 14 Days after NTP for Construction for any
Work Package, but not later than 30 Days prior to initiating Construction Work, the Contractor
shall identify in writing the material source load read-out weighing system the Supplier utilizes.
The Contractor shall cause its Suppliers to cooperate with the Ohio Department of
Transportation’s (ODOT’s) e-Ticketing Portal vendor in the creation of an Application
Programming Interface (API) to integrate material source load read-out data with the
Department’s e-Ticketing Portal. The Department’s e-Ticketing portal vendor shall be
responsible for leading the API creation. Upon API creation, the Contractor shall utilize the API
to provide digital material source load read-out data from the material source load read-out
weighing system to the Department’s e-Ticketing Portal.
The Contractor shall conduct a test of each Supplier’s integration with the Department’s e-
Ticketing Portal prior to shipping material to the Project. Complete test at least 14 days prior to
shipping material unless otherwise approved by the Department. The test must involve at least
four test e-Tickets from each Supplier approved for used on the Project for materials to be used
on the Project. The test e-Tickets must accurately reflect the proper nomenclature and accuracy
defined; all other categories shall be marked “TEST”. After the Department confirms the test e-
Tickets have been entered into the Department’s e-Ticket Portal, void the test e-Tickets with the
reason “Setup Testing”. If any load read-out weighing system changes are intended by the
Supplier after the creation of the Supplier-specific API, coordinate with the Department to
ensure API compatibility.

February 17, 2023 Exhibit X: Digital Data for Material Ticketing
The Contractor shall ensure continued internet connectivity during the API usage to maintain
connection the Department’s e-Ticketing Portal during material production and delivery to the
Project. The Contractor shall ensure delivery of e-Ticket prior to the material arriving on the
Project, but not prior to the loading of material at the source.
Upon successful testing of the data integration, physical material tickets are not required to be
submitted to the Department, but may be necessary for truck drivers per Ohio Revised Code
Section 5577.043 and Kentucky Administrative Regulations 603 KAR 5:066.

February 17, 2023 Exhibit Y: Interstate Cooperative Agreement
EXHIBIT Y: INTERSTATE COOPERATIVE AGREEMENT

PROPOSED EXECUTION VERSION 1/18/2023
INTERSTATE COOPERATIVE AGREEMENT
REGARDING THE
BY AND BETWEEN
THE STATE OF OHIO
AND
THE COMMONWEALTH OF KENTUCKY

February 17, 2023 Exhibit Z: Risk Register
EXHIBIT Z: RISK REGISTER

The project risk register is a preliminary working document. Risk assessment, risk allocation, risk acknowledgement, and potential mitigation measures will continue through project development. Potential mitigation measures listed may or may not be implemented through procurement/project
delivery/design/construction. While grouped, the project risk register is not in any order and is the opinions of the BSMT.
Risk Category
Sub-Category Title Cause ("Due to") Risk Description Effect ("Leads to") Potential Risk Mitigation Measures Risk Assignment (Department Risk, Relief/ Provisional Sum Contractor Required Department Approved
Provisional Risk, or Contractor Risk) Mitigation Efforts Effective Date of Risk
Register Event
FEMA - CLOMR / Design Builder bridge FEMA review of the Causes schedule delay and 1. Define the no-net rise and what model does
LOMR Floodplain final design impacts the effective model vs. the additional calculations to FEMA require. 1D vs. 2D model and the process
Drainage
Permit FEMA flood elevation existing model is not FEMA for permit approval. approval.
3rdP
requiring CLOMR/LOMR consistent causing 2. Define the existing and preliminary pier location
additional coordination model with FEMA prior to RFP release.
and schedule delay. 3. Develop a FEMA floodplain task force.
Unknown Soil Design-Builder changes Pre-award soil borings Design-Builder must price 1. ID areas this could occur from borings, base
Conditions near structure design / may not be in locations to the project without configuration.
Structures location significantly support updated design, adequate geotech 2. Obtain additional borings prior to design
from pre-award noise walls or other information and then must completion and prices are due. Potential RFP
Bridges
BRG
configuration structures. obtain additional borings language to request borings from ODOT/KYTC
to support design and to provide testing information to all teams.
Natural variations in 3. Review Risk geotech risk assignment language.
strata Potential site condition 4. Limit the river borings and set the navigable river
claims envelope.
Ohio River Climate Original CER - Ohio River Construction project 1. Structure the contract to allocate this risk so that
Construction
Flooding high water elevation - delays since the area flooding that exceeds a certain level will be
Flooding along the Ohio may not be available for compensable. Allows the contractors to cap their
BRG
River during construction. contractors to construct exposure to difficult to foresee flooding.

and/or require rework
to cofferdams
Design Quality Quality process does Non-conforming design Difficult to rectify 1. Include robust design quality requirements,
Issues (complex not catch issue makes it to construction construction issues including Independent Quality Review for
bridge) companion bridge and Independent Quality Firm
for all design. DB team will provide independent
peer review of erection model. (2 erection models
will be developed using different software under
ODOT/KYTC contract).
2. Design risk assigned to DB through contract
Design
CN
language, including permit revisions. BSMT quality

audits performed.
3. Potential service life requirements in RFP and
identify solutions to put into the design. Will allow
ATC options.
4. Develop a service life, model requirements, and
other requirements for RFP. (Stainless steel vs.
other materials based on service life and structure
type - deck, strains, foundations).
Settlement Pile driving, sheeting, or There is a risk of Settlement could lead to 1. Tracking using monitor surveys of existing utilities.
During other construction unplanned settlement of additional cost or 2. Evaluate non-vibratory means at locations next to
Bridges
Vibratory activities cause existing mainline bridges, schedule impacts to existing sanitary sewers.
CN
Construction significant ground walls, noise walls, utilities analyze and resolve any
Activities vibrations due to soil collapse or structural damage
settlement

Risk Category
Register Event
Unknown/ Presence of unknown Utilities may be in conflict Unanticipated utility Complete utility investigation and conflict
Utilities
Undisclosed or undisclosed with planned work but not conflicts must be identification in pre-award phase. Use RFP to
CN
Utilities underground utilities identified on the plans resolved during allocate and properly share risk with contractor.
construction adding both
cost and time
Differing Site Certain latent There is a risk that Depending on where 1. Complete and review borings
Geotechnical
Conditions- conditions, either restrictive conditions are they are encountered 2. Add appropriate mitigation for Contractor
Geotechnical natural or man-made, discovered during could lead to increased performance and provide relief, if appropriate.
CN
may be unknown or construction, i.e., cost and/or extra time.

undisclosed in the boulders, abandoned
design roads, etc.
Restricted Wall Construction limits are Wall construction has Project cost and schedule Define tight locations, and inform the DBT.
Construction Limits very close to existing potential of damage to increase due to required
Walls
CN
building(s) adjacent buildings remediation, repair,

(vibration, etc.) and/or relocation of
building
Operational Operations such as pile Damage to or failure of Construction schedule 1. Contractor required to monitor utilities.
Utilities
Impacts to Utilities driving and compaction utilities due to vibration delay and cost impacts 2. Basement videotaping required before construction
CN
in close proximity to from construction starts.

utilities activities
Buy America Compliance with Buy Contractor does not Construction acceptance Include Buy America requirements in the RFP.
America requirements provide Buy America not granted until Clearly communicate these requirements during
is not achieved during certifications or does not documentation is meetings with industry.
Requirements
construction include compliant approved, or rework is

materials/products. required with Buy
CN
Federal Buy America Rules America- conforming

are currently under elements, leading to
revision. Currently working overall schedule delay
under the current rules.
Rules in place at the time
the contract is executed.
Railroad Railroad review and Certain work may occur in Contractor is required to 1. Evaluate concept I-W railroad parcel locations for
Coordination and approval process for the RR ROW. Minimum price the project without piers to be included in the railroad agreement.
Railroad
Agreements work inside of RR ROW coordination will include knowing what the RR will 2. Early coordination with railroads to better define
DES
is lengthy and aerial easements. approve or how long it expectations to prepare the RFP.
unpredictable will take to obtain 3. Railroad right of entry will be on the DBT.
approval
Approvals / Permits
United States Undefined Coast Guard Neither BSMT nor the Contractor is delayed with 1. Coordinate CG requirements and include them in
Coast Guard requirements bidders are clear on what beginning work in this the RFP to the extent possible.
ENV
Section 9 the CG will require area or is unable to permit 2. Develop a Task Force Team to coordinate with the
the approach that was Coast Guard and determine risk profile.
included in the proposal.

Risk Category
Register Event
United States Undefined USACOE Permit process cannot Contractor is delayed with 1. Coordinate in advance with executives and high-
Approvals / Permits
Army Corps of requirements begin until design and beginning work in this level staff at USACE.
Engineers 408 means and methods are area or is unable to permit
ENV
Permit determined. Review the approach that was

periods have been known included in the proposal.
to take a substantial
amount of time.
Differing Site Urban area has been Contaminated materials Contamination must be Determine appropriate entity to complete
Conditions- previously used. are discovered during remediated adding cost environmental report. Assess risk after
Haz Mat
HazMat Environmental construction and time baseline cost/schedule are established.

ENV
concerns, e.g.,
contaminated soils,
LUST, within project
limits are not known.
Delayed Utility Utility relocations must Utilities (or tenants) do Contractor is delayed and 1. Improve utility coordination / quality / accuracy by
Relocations be completed prior to not complete relocations must implement reviewing existing "Conflict Matrix" with latest
commencing in time workarounds requiring design and getting new information from utilities.
construction remobilizations / 2. Evaluate / establish relocation timelines based on
Utilities
EXT
resequencing. complexity and criticality.

3. Consider Master Utility Agreements with Utility
Owners that stipulate completion dates and liability
for non-compliance
Decision-Making Critical Program There is a risk that Delays, rework increase 1. Develop Project Management Plan to define roles
Process decisions must be made proactive decisions are project cost and schedule, and responsibilities and define
MANAGEMENT
promptly. A structured not made, and the proper affecting design and/or approvals/coordination requirements. The agreed
Management
and effectively structure is not in place to construction milestones upon review / approval durations will be placed the
Program
implemented approach, allow for well- informed RFP.

along with establishing and timely decisions. 2. Establish a clear dispute resolution process.
proper delegations to
avert bottlenecks, is
essential to timely and
effective decisions.
MANAGEMENT
Too restrictive Too restrictive criteria Right balance between Less innovation leads to 1. Consider opening typical requirements when
Procurement
project scope prohibit innovation project scope and higher bids. developing the RFP.
minimum criteria in order 2. Consider soliciting feedback to Scope prior to
to allow innovation from advertisement.
DBT. 3. Actively engage the ATC process allowing alternative
approaches.

Risk Category
Register Event
Failure To Letting contractor slide Not using DBEs and Federal action, loss to 1. Outreach events.
MANAGEMENT
Management
Attain DBE because they "tried" to instead using "good faith construction community 2. DBE utilization as part of proposal.
Program
Goal/Lack get DBEs to bid and/or effort" to develop and use talent, 3. DBE specific consultant.
of DBE contractor didn't use community loses jobs 4. DBE reciprocity between Ohio and Kentucky.
availability DBE due to cost. 5. Consider DBE coordinator as key person on DBT.
MARKET
Market Conditions Saturated construction Necessary labor for the Contractor labor costs 1. Allow flexibility on interim milestones.
Other
- Labor market or rising project is not available at increase 2. Allow flexibility to work during traditional
inflation typical costs seasonal/weather shutdown.
3. Collaborate on a Workforce development plan.
Market Conditions Materials supply chain Necessary materials for Material cost or 1. Provide flexibility on interim milestones.
Construction
- Materials or rising inflation the project are not procurement time 2. Provide flexibility in materials where possible.
MARKET
available at typical costs or increase 3. Review potential material indexes. Consider using
prices fuel and asphalt, cement, fuel, steel, and
asphalt/binder. Review potential additional project
specific indexes.
Market Capacity Industry of regional There is a risk that this Schedule delay, high 1. Closely monitor other major ODOT / KYTC programs
Exceeded contractors indicates potential capacity pricing, or potentially to watch market trends.
Construction
MARKET
that the market constraint will jeopardize limited competition.

capacity for this type of the planned 2029
work is less than the completion date.
existing market once
the project is added
Market Conditions Saturated construction Number of contractors Higher prices and limited 1. Early outreach and press releases.
- Contractor market or other project capable of delivering large competition 2. Balancing contractor input and accommodation on
Procurement
Interest competition projects is limited. Project risk profile with BSMT needs.
MARKET
may not attract adequate 3. Allow follow up one on one meetings with
competition interested offerors prior to RFQ release to
address their risk concerns and provide a status
update. Also through website notices / updates.
4. Deliver on the procurement schedule dates.
Delayed Steel Schedule includes Structural steel fabrication Delay completion of 1. Consider potential structural steel design hold
point release criteria to allow more fabrication
Procurement
Fabrication minimal time for steel duration is longer than bridge

M A RK E T
procurement and/or planned for in schedule time or early steel fabrication.

steel plant has capacity 2. RFP language includes project management
issues plan requirements for partnering with
fabricators and ODOT/KYTC to address supply
chain risk early.

Risk Category
Register Event
Maintenance of High traffic volume and Ingress/egress into the Safety and travel delay 1. As part of the TMP include the requirements
traffic tight urban setting construction area for the traveling public to be pulled into the maintenance of traffic
plans.
Traffic / Mobility
2. Incident management to support quick clearance

RDWY
of accidents. Consider Design Build team to

provide wrecker services and EMS/fire/police
communication protocols when accident occurs.
3. Engage local EMS/ team to develop requirements
prior to RFP.
Kentucky ROW Concept required ROW New ROW must be ROW acquisition cost and 1. BSMT will develop a right of way clearance schedule
takes in Kentucky acquired schedule increase to be included in the RFP.
2. Consider having Design Builder place the parcel
Schedule
numbers in their CPM to define their schedule.

R W
3. Allow ATCs which increase right of way. For these,

clearly define the environmental reevaluation and
the right of way procurement process for new
parcels by allowing DBT assumption of the risk.
Longworth Hall Building owner delay. Longworth Hall demolition Construction project 1. Include schedule delay relief to the Design Build team
Delay and area made available delays since the area may within the RFP.
Construction
for approach bridge not be available for

construction. The current contractors to construct
RW
plan is to acquire and give approach spans to

the owner "cost to cure" companion bridge.
and let them manage
design, demolition and
reconstruction.

February 17, 2023 Exhibit AA: Worksite Traffic Supervisor Disincentive
EXHIBIT AA: WORKSITE TRAFFIC SUPERVISOR

DISINCENTIVE
Subject to approval of the Department, the Contractor shall employ and identify (someone other
than the superintendent) a prequalified Worksite Traffic Supervisor (WTS) before starting work in
the field. The WTS shall be trained in accordance with CMS 614.03, shall have successfully
completed ODOT administered WTS testing (and re-testing when applicable) and be listed on the
ODOT prequalified WTS roster. Prequalification expires every 5 years. Re-testing shall be
successfully repeated every 5 years to remain prequalified.
The name of the prequalified WTS and related 24-hour contact information shall be provided to
the Department. If the designated WTS will not be available full time (24/7), the Contractor may
designate an alternate (secondary) WTS to be available when the primary is off duty; however
the primary WTS shall remain the point of contact at all times. Any alternate (secondary) WTS is
subject to the same training, prequalification and other requirements outlined within this plan note.
At all times the Department, or Department’s representatives, must be informed of who the
primary WTS (and secondary WTS, if applicable) is at the current time.
The WTS position has the primary responsibility of implementing the Traffic Management Plan
(TMP), monitoring the safety and mobility of the entire work zone, and correcting Temporary
Traffic Control (TTC) deficiencies for the entire work zone. The WTS, and alternate WTS when
on duty, shall have sufficient authority to effectively carry out the identified WTS responsibilities
and duties. The duties of the WTS are as follows:
1. Be available on a 24-hour per day basis.
2. Be on site for all emergency TTC needs within one hour of notification by police or project
staff, and effect corrective measures immediately on existing work zone TTC devices.
3. Attend preconstruction meeting and all project meetings where TTC management is
discussed.
4. Be available on site for other meetings or discussions with the Department upon request.
5. Be aware of all existing and proposed TTC operations of the contractor, subcontractors
and suppliers, and ensure coordination occurs between them to eliminate conflicting
temporary and/or permanent traffic control.
6. Coordinate project activities with all Law Enforcement Officers (LEOs). The WTS shall
also be the main contact person with the LEOs while LEOs are on the project.
7. Coordinate and facilitate meetings with ODOT personnel, LEOs and other applicable
entities before each plan phase switch to discuss the work zone TTC for implementing the
phase switch. Submit a written detail of MOT operations and schedule of events to
implement the switch between phase plans to the Department 5 calendar days prior to this
meeting.
8. Be present, on site for, and involved with, each TTC set up/take down and each phase
change in accordance with CMS 614.03.
9. On a continual basis ensure that the TTC zone and all related devices are installed,
maintained, and removed in compliance with the contract documents.

February 17, 2023 Exhibit AA: Worksite Traffic Supervisor Disincentive
10. On a continual basis facilitate corrective action(s) necessary to bring deficient TTC zones
and all related devices into compliance with contract documents in the timeframe
determined by the Department.
11. Inspect, evaluate, propose necessary modifications to, and document the effectiveness
of, the TTC devices and traffic operations on a DAILY BASIS (7 days a week). In addition,
perform one weekly night inspection of the work zone setup for daytime work operations;
and one daytime inspection per week for nighttime projects. This shall include (but not be
limited to) documentation on the following project events:
a. Initial TTC setup (day and night review).
b. Daily TTC setup and removal.
c. When construction staging causes a change in the TTC setup.
d. Crash occurrences within the construction area and within the influence area(s)
approaching the work zone.
e. Removal of TTC devices at the end of a phase or project.
f. All other emergency TTC needs.
12. Complete the Department approved (CA-D-8) within GoFormz after each inspection as
required in # 11 and submit it to the Department by the end of the workday in which the
inspection occurred. The CA-D-8 includes a checklist of all TTC maintenance items to be
reviewed. Contact [email protected] to obtain a user account. Any
deficiencies observed shall be noted on the CA-D-8, along with recommended or
completed corrective actions and the dates by which such corrections were, or will be,
completed. A copy of the current CA-D-8 document can be found on the Office of
Construction Administration’s Inspection Forms website.
13. Have copies of the ODOT Temporary Traffic Control Manual and contract documents
available at all times on the project.
The Department will deduct:
A. The amount of ($1,000) for any day in which the WTS fails to perform the duties set forth
above.
B. The amount of ($1,000) for any day that a TTC issue is identified in the field and is not
corrected in the given timeframe per the Department. Deduction B shall not apply to
situations covered by Deduction C.
C. The amount of ($5,000) for any day that a lane or ramp is blocked (fully or partially) without
TTC, as determined by the Department. This deduction shall be in addition to any other
disincentives established for unauthorized lane use.
For days in which more than one deduction listed above occur, the highest deduction amount will
apply.
If three or more total days result in TTC issues described in Deduction B or C above, the
primary WTS shall be immediately removed from the work in accordance with C&MS 108.05.
Upon removal the Department shall notify ODOT Central Office
([email protected]) to register a removal against the statewide prequalification
for the primary WTS. Three removals shall cause statewide disqualification for any previously
prequalified WTS.


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BRENT SPENCE BRIDGE CORRIDOR PROJECT

REQUEST FOR PROPOSALS (RFP)

FEBRUARY 17, 2023

2. RFP PROCESS ............................................................................................................................... 5

4. PROCUREMENT PROCESS ........................................................................................................... 8

5. OFFEROR TEAM ORGANIZATION .............................................................................................. 11

BRENT SPENCE BRIDGE CORRIDOR i

5.3 Organizational Conflicts of Interest ............................................................................................ 12

6. PROPOSAL REQUIREMENTS ..................................................................................................... 15

BRENT SPENCE BRIDGE CORRIDOR ii

6.10 Proposal Validity ........................................................................................................................ 27

7. EVALUATION PROCESS ............................................................................................................. 28

8. POST-EVALUATION PROCESS AND EXECUTION .................................................................... 36

BRENT SPENCE BRIDGE CORRIDOR iii

9.3 Protest Process ......................................................................................................................... 40

10. DEPARTMENT RIGHTS AND DISCLAIMERS .............................................................................. 41

Table 2: Preconstruction and Final Engineering and Construction Schedule ......................................... 5

Table 3: Proposal Page Limitations...................................................................................................... 16

Table 4: Key Personnel........................................................................................................................ 21

Table 5: Technical Proposal and Interview Evaluation ......................................................................... 34

BRENT SPENCE BRIDGE CORRIDOR iv

1. INTRODUCTION AND PROJECT INFORMATION

1.1.1 Progressive Design-Build Requirements

BRENT SPENCE BRIDGE CORRIDOR 1

1.2 Project Description

BRENT SPENCE BRIDGE CORRIDOR 2

1.3 Project Goals

1.3.1 Primary Goals

1.3.2 Contract Objectives

BRENT SPENCE BRIDGE CORRIDOR 3

I. Achieve effective project delivery;

1.4 Procurement Schedule

Draft RFP Release Friday, January 13, 2023

Final RFP Release Friday, February 17, 2023

Anticipated final Addenda Friday, March 24, 2023

Friday, March 31, 2023, at 1:00 p.m. Eastern

Interview Tuesday, April 18, 2023

Apparent Best Value Selection Announcement Monday, May 1, 2023

Anticipated Award Date Wednesday, May 31, 2023

1.5 Draft Preconstruction and Construction Schedule

BRENT SPENCE BRIDGE CORRIDOR 4

Table 2: Preconstruction and Final Engineering and Construction Schedule

Design-Build Contractor Notice to Proceed (NTP) July 15, 2023

Sub-Phase 1A (Proof-of-Concept) Interim Completion Date February 16, 2024

Sub-Phase 1B (Project Development) Proposal NTP March 1, 2024

Sub-Phase 1B (Project Development) Interim Completion Date March 18, 2025

Phase 2 (Final Engineering and Construction) Proposal NTP April 1, 2025

Phase 2 Construction Begin Date July2025

Substantial Completion Deadline September 15, 2030

Completion of the Contract Deadline November 1, 2030

1.6 Reference Information Documents

2.1 Examination of RFP and Requests for Clarification

BRENT SPENCE BRIDGE CORRIDOR 5

2.2 Pre-Proposal One-on-One Meetings

BRENT SPENCE BRIDGE CORRIDOR 6

3.2 Federal Requirements

3.3 DBE Requirements

3.4 OJT Requirements

BRENT SPENCE BRIDGE CORRIDOR 7

4.2 Authorized Representatives and Offeror Registration